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E N C Y C L O P E D I A O F
RELIGION
S E C O N D E D I T I O N

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E N C Y C L O P E D I A O F
RELIGION
S E C O N D E D I T I O N
14
TRANSCENDENTAL
LINDSAY JONES
MEDITATION
EDITOR IN CHIEF
•
ZWINGLI,
HULDRYCH
eorel_fm 3/2/05 8:36 AM Page iv
Encyclopedia of Religion, Second Edition
Lindsay Jones, Editor in Chief
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LIBRARY OF CONGRESS CATALOGING-IN-PUBLICATION DATA
Encyclopedia of religion / Lindsay Jones, editor in chief.— 2nd ed.
p. cm.
Includes bibliographical references and index.
ISBN 0-02-865733-0 (SET HARDCOVER : ALK. PAPER) —
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1. RELIGION—ENCYCLOPEDIAS. I. JONES, LINDSAY,
1954-
BL31.E46 2005
200’.3—dc22
2004017052
This title is also available as an e-book.
ISBN 0-02-865997-X
Contact your Thomson Gale representative for ordering information.
Printed in the United States of America
10 9 8 7 6 5 4 3 2 1
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E D I T O R S A N D C O N S U L T A N T S
EDITOR IN CHIEF
Program in Religious Studies,
SIGMA ANKRAVA
LINDSAY JONES
University of Wisconsin—Madison
Professor, Department of Literary and
Associate Professor, Department of
C
Cultural Studies, Faculty of Modern
HARLES H. LONG
Comparative Studies, Ohio State
Professor of History of Religions,
Languages, University of Latvia
University
Baltic Religion and Slavic Religion
Emeritus, and Former Director of
Research Center for Black Studies,
DIANE APOSTOLOS-CAPPADONA
BOARD MEMBERS
University of California, Santa Barbara
Center for Muslim–Christian
DAVÍD CARRASCO
Understanding and Liberal Studies
MARY N. MACDONALD
Neil Rudenstine Professor of Study of
Program, Georgetown University
Professor, History of Religions, Le
Latin America, Divinity School and
Art and Religion
Moyne College (Syracuse, New York)
Department of Anthropology, Harvard
DIANE BELL
DALE B. MARTIN
University
Professor of Anthropology and Women’s
Professor of Religious Studies, and
Studies, George Washington University
GIOVANNI CASADIO
Chair, Department of Religious
Australian Indigenous Religions
Professor of History of Religions,
Studies, Yale University
Dipartimento di Scienze
KEES W. BOLLE
AZIM NANJI
Professor Emeritus of History,
dell’Antichità, Università degli Studi
Professor and Director, The Institute
University of California, Los Angeles,
di Salerno
of Ismaili Studies, London
and Fellow, Netherlands Institute for
WENDY DONIGER
JACOB OLUPONA
Advanced Studies in the Humanities
Mircea Eliade Distinguished Service
Professor, African American and
and Social Sciences
Professor of the History of Religions,
African Studies Program, University
History of Religions
University of Chicago
of California, Davis
MARK CSIKSZENTMIHALYI
GARY L. EBERSOLE
MICHAEL SWARTZ
Associate Professor in the Department
Professor of History and Religious
Professor of Hebrew and Religious
of East Asian Languages and
Studies, and Director, UMKC Center
Studies, Ohio State University
Literature and the Program in
for Religious Studies, University of
Religious Studies, University of
INÉS TALAMANTEZ
Missouri—Kansas City
Wisconsin—Madison
Associate Professor, Religious Studies
Chinese Religions
JANET GYATSO
Department, University of California,
RICHARD A. GARDNER
Hershey Professor of Buddhist Studies,
Santa Barbara
Faculty of Comparative Culture,
The Divinity School, Harvard
Sophia University
University
CONSULTANTS
Humor and Religion
GREGORY D. ALLES
CHARLES HALLISEY
Associate Professor of Religious Studies,
JOHN A. GRIM
Associate Professor, Department of
McDaniel College
Professor of Religion, Bucknell
Languages and Cultures of Asia and
Study of Religion
University and Co-Coordinator,
v
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vi
EDITORS AND CONSULTANTS
Harvard Forum on Religion and
TED PETERS
Religion, University of Chicago
Ecology
Professor of Systematic Theology,
Law and Religion
Ecology and Religion
Pacific Lutheran Theological Seminary
TOD SWANSON
JOSEPH HARRIS
and the Center for Theology and the
Associate Professor of Religious Studies,
Francis Lee Higginson Professor of
Natural Sciences at the Graduate
and Director, Center for Latin
English Literature and Professor of
Theological Union, Berkeley,
American Studies, Arizona State
Folklore, Harvard University
California
University
Germanic Religions
Science and Religion
South American Religions
URSULA KING
FRANK E. REYNOLDS
MARY EVELYN TUCKER
Professor Emerita, Senior Research
Professor of the History of Religions
Professor of Religion, Bucknell
Fellow and Associate Member of the
and Buddhist Studies in the Divinity
University, Founder and Coordinator,
Institute for Advanced Studies,
School and the Department of South
University of Bristol, England, and
Asian Languages and Civilizations,
Harvard Forum on Religion and
Professorial Research Associate, Centre
Emeritus, University of Chicago
Ecology, Research Fellow, Harvard
for Gender and Religions Research,
History of Religions
Yenching Institute, Research Associate,
School of Oriental and African
GONZALO RUBIO
Harvard Reischauer Institute of
Studies, University of London
Assistant Professor, Department of
Japanese Studies
Gender and Religion
Classics and Ancient Mediterranean
Ecology and Religion
DAVID MORGAN
Studies and Department of History
HUGH B. URBAN
Duesenberg Professor of Christianity
and Religious Studies, Pennsylvania
Associate Professor, Department of
and the Arts, and
State University
Comparative Studies, Ohio State
Professor of Humanities and Art
Ancient Near Eastern Religions
University
History, Valparaiso University
SUSAN SERED
Politics and Religion
Color Inserts and Essays
Director of Research, Religion, Health
CATHERINE WESSINGER
JOSEPH F. NAGY
and Healing Initiative, Center for the
Professor of the History of Religions
Professor, Department of English,
Study of World Religions, Harvard
and Women’s Studies, Loyola
University of California, Los Angeles
University, and Senior Research
University New Orleans
Celtic Religion
Associate, Center for Women’s Health
New Religious Movements
M
and Human Rights, Suffolk University
ATTHEW OJO
Healing, Medicine, and Religion
R
Obafemi Awolowo University
OBERT A. YELLE
African Religions
LAWRENCE E. SULLIVAN
Mellon Postdoctoral Fellow, University
of Toronto
J
Professor, Department of Theology,
UHA PENTIKÄINEN
Law and Religion
Professor of Comparative Religion, The
University of Notre Dame
History of Religions
University of Helsinki, Member of
ERIC ZIOLKOWSKI
Academia Scientiarum Fennica,
WINNIFRED FALLERS SULLIVAN
Charles A. Dana Professor of Religious
Finland
Dean of Students and Senior Lecturer
Studies, Lafayette College
Arctic Religions and Uralic Religions
in the Anthropology and Sociology of
Literature and Religion
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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A B B R E V I A T I O N S A N D S Y M B O L S
U S E D I N T H I S W O R K
abbr. abbreviated; abbreviation
3 Bar. 3 Baruch
2 Chr. 2 Chronicles
abr. abridged; abridgment
4 Bar. 4 Baruch
Ch. Slav. Church Slavic
AD anno Domini, in the year of the
B.B. BavaD batraD
cm centimeters
(our) Lord
BBC British Broadcasting
col. column (pl., cols.)
Afrik. Afrikaans
Corporation
Col. Colossians
AH anno Hegirae, in the year of the
BC before Christ
Colo. Colorado
Hijrah
BCE before the common era
comp. compiler (pl., comps.)
Akk. Akkadian
B.D. Bachelor of Divinity
Conn. Connecticut
Ala. Alabama
Beits. Beitsah
cont. continued
Alb. Albanian
Bekh. Bekhorot
Copt. Coptic
Am. Amos
Beng. Bengali
1 Cor. 1 Corinthians
AM ante meridiem, before noon
Ber. Berakhot
2 Cor. 2 Corinthians
amend. amended; amendment
Berb. Berber
corr. corrected
annot. annotated; annotation
Bik. Bikkurim
C.S.P. Congregatio Sancti Pauli,
Ap. Apocalypse
bk. book (pl., bks.)
Congregation of Saint Paul
Apn. Apocryphon
B.M. BavaD metsiEaD
(Paulists)
app. appendix
BP before the present
d. died
Arab. Arabic
B.Q. BavaD qammaD
D Deuteronomic (source of the
EArakh. EArakhin
Bra¯h. Bra¯hman.a
Pentateuch)
Aram. Aramaic
Bret. Breton
Dan. Danish
Ariz. Arizona
B.T. Babylonian Talmud
D.B. Divinitatis Baccalaureus,
Ark. Arkansas
Bulg. Bulgarian
Bachelor of Divinity
Arm. Armenian
Burm. Burmese
D.C. District of Columbia
art. article (pl., arts.)
c. circa, about, approximately
D.D. Divinitatis Doctor, Doctor of
AS Anglo-Saxon
Calif. California
Divinity
Asm. Mos. Assumption of Moses
Can. Canaanite
Del. Delaware
Assyr. Assyrian
Catal. Catalan
Dem. DemaDi
A.S.S.R. Autonomous Soviet Socialist
CE of the common era
dim. diminutive
Republic
Celt. Celtic
diss. dissertation
Av. Avestan
cf. confer, compare
Dn. Daniel
EA.Z. EAvodah zarah
Chald. Chaldean
D.Phil. Doctor of Philosophy
b. born
chap. chapter (pl., chaps.)
Dt. Deuteronomy
Bab. Babylonian
Chin. Chinese
Du. Dutch
Ban. Bantu
C.H.M. Community of the Holy
E Elohist (source of the Pentateuch)
1 Bar. 1 Baruch
Myrrhbearers
Eccl. Ecclesiastes
2 Bar. 2 Baruch
1 Chr. 1 Chronicles
ed. editor (pl., eds.); edition; edited by
vii
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viii
ABBREVIATIONS AND SYMBOLS
EEduy. EEduyyot
Hung. Hungarian
Lith. Lithuanian
e.g. exempli gratia, for example
ibid. ibidem, in the same place (as the
Lk. Luke
Egyp. Egyptian
one immediately preceding)
LL Late Latin
1 En. 1 Enoch
Icel. Icelandic
LL.D. Legum Doctor, Doctor of Laws
2 En. 2 Enoch
i.e. id est, that is
Lv. Leviticus
3 En. 3 Enoch
IE Indo-European
m meters
Eng. English
Ill. Illinois
m. masculine
enl. enlarged
Ind. Indiana
M.A. Master of Arts
Eph. Ephesians
intro. introduction
Ma Eas. MaEaserot
EEruv. EEruvin
Ir. Gael. Irish Gaelic
Ma Eas. Sh. MaE aser sheni
1 Esd. 1 Esdras
Iran. Iranian
Mak. Makkot
2 Esd. 2 Esdras
Is. Isaiah
Makh. Makhshirin
3 Esd. 3 Esdras
Ital. Italian
Mal. Malachi
4 Esd. 4 Esdras
J Yahvist (source of the Pentateuch)
Mar. Marathi
esp. especially
Jas. James
Mass. Massachusetts
Est. Estonian
Jav. Javanese
1 Mc. 1 Maccabees
Est. Esther
Jb. Job
2 Mc. 2 Maccabees
et al. et alii, and others
Jdt. Judith
3 Mc. 3 Maccabees
etc. et cetera, and so forth
Jer. Jeremiah
4 Mc. 4 Maccabees
Eth. Ethiopic
Jgs. Judges
Md. Maryland
EV English version
Jl. Joel
M.D. Medicinae Doctor, Doctor of
Ex. Exodus
Jn. John
Medicine
exp. expanded
1 Jn. 1 John
ME Middle English
Ez. Ezekiel
2 Jn. 2 John
Meg. Megillah
Ezr. Ezra
3 Jn. 3 John
Me Eil. MeEilah
2 Ezr. 2 Ezra
Jon. Jonah
Men. Menah.ot
4 Ezr. 4 Ezra
Jos. Joshua
MHG Middle High German
f. feminine; and following (pl., ff.)
Jpn. Japanese
mi. miles
fasc. fascicle (pl., fascs.)
JPS Jewish Publication Society trans-
Mi. Micah
fig. figure (pl., figs.)
lation (1985) of the Hebrew Bible
Mich. Michigan
Finn. Finnish
J.T. Jerusalem Talmud
Mid. Middot
fl. floruit, flourished
Jub. Jubilees
Minn. Minnesota
Fla. Florida
Kans. Kansas
Miq. MiqvaDot
Fr. French
Kel. Kelim
MIran. Middle Iranian
frag. fragment
Ker. Keritot
Miss. Mississippi
ft. feet
Ket. Ketubbot
Mk. Mark
Ga. Georgia
1 Kgs. 1 Kings
Mo. Missouri
Gal. Galatians
2 Kgs. 2 Kings
MoEed Q. MoEed qat.an
Gaul. Gaulish
Khois. Khoisan
Mont. Montana
Ger. German
Kil. Kil Dayim
MPers. Middle Persian
Git.. Git.t.in
km kilometers
MS. manuscriptum, manuscript (pl.,
Gn. Genesis
Kor. Korean
MSS)
Gr. Greek
Ky. Kentucky
Mt. Matthew
H
. ag. H
. agigah
l. line (pl., ll.)
MT Masoretic text
H
. al. H
. allah
La. Louisiana
n. note
Hau. Hausa
Lam. Lamentations
Na. Nahum
Hb. Habakkuk
Lat. Latin
Nah. Nahuatl
Heb. Hebrew
Latv. Latvian
Naz. Nazir
Heb. Hebrews
L. en Th. Licencié en Théologie,
N.B. nota bene, take careful note
Hg. Haggai
Licentiate in Theology
N.C. North Carolina
Hitt. Hittite
L. ès L. Licencié ès Lettres, Licentiate
n.d. no date
Hor. Horayot
in Literature
N.Dak. North Dakota
Hos. Hosea
Let. Jer. Letter of Jeremiah
NEB New English Bible
H
. ul. H
. ullin
lit. literally
Nebr. Nebraska
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ABBREVIATIONS AND SYMBOLS
ix
Ned. Nedarim
pop. population
sp. species (pl., spp.)
Neg. Nega Eim
Port. Portuguese
Span. Spanish
Neh. Nehemiah
Prv. Proverbs
sq. square
Nev. Nevada
Ps. Psalms
S.S.R. Soviet Socialist Republic
N.H. New Hampshire
Ps. 151 Psalm 151
st. stanza (pl., ss.)
Nid. Niddah
Ps. Sol. Psalms of Solomon
S.T.M. Sacrae Theologiae Magister,
N.J. New Jersey
pt. part (pl., pts.)
Master of Sacred Theology
Nm. Numbers
1Pt. 1 Peter
Suk. Sukkah
N.Mex. New Mexico
2 Pt. 2 Peter
Sum. Sumerian
no. number (pl., nos.)
Pth. Parthian
supp. supplement; supplementary
Nor. Norwegian
Q hypothetical source of the synoptic
Sus. Susanna
n.p. no place
Gospels
s.v. sub verbo, under the word (pl.,
n.s. new series
Qid. Qiddushin
s.v.v.)
N.Y. New York
Qin. Qinnim
Swed. Swedish
Ob. Obadiah
r. reigned; ruled
Syr. Syriac
O.Cist. Ordo Cisterciencium, Order
Rab. Rabbah
Syr. Men. Syriac Menander
of Cîteaux (Cistercians)
rev. revised
TaE an. TaEanit
OCS Old Church Slavonic
R. ha-Sh. RoDsh ha-shanah
Tam. Tamil
OE Old English
R.I. Rhode Island
Tam. Tamid
O.F.M. Ordo Fratrum Minorum,
Rom. Romanian
Tb. Tobit
Order of Friars Minor
Rom. Romans
T.D. Taisho¯ shinshu¯ daizo¯kyo¯, edited
(Franciscans)
R.S.C.J. Societas Sacratissimi Cordis
by Takakusu Junjiro¯ et al.
OFr. Old French
Jesu, Religious of the Sacred Heart
(Tokyo,1922–1934)
Ohal. Ohalot
RSV Revised Standard Version of the
Tem. Temurah
OHG Old High German
Bible
Tenn. Tennessee
OIr. Old Irish
Ru. Ruth
Ter. Terumot
OIran. Old Iranian
Rus. Russian
T
. ev. Y. T
. evul yom
Okla. Oklahoma
Rv. Revelation
Tex. Texas
ON Old Norse
Rv. Ezr. Revelation of Ezra
Th.D. Theologicae Doctor, Doctor of
O.P. Ordo Praedicatorum, Order of
San. Sanhedrin
Theology
Preachers (Dominicans)
S.C. South Carolina
1 Thes. 1 Thessalonians
OPers. Old Persian
Scot. Gael. Scottish Gaelic
2 Thes. 2 Thessalonians
op. cit. opere citato, in the work cited
S.Dak. South Dakota
Thrac. Thracian
OPrus. Old Prussian
sec. section (pl., secs.)
Ti. Titus
Oreg. Oregon
Sem. Semitic
Tib. Tibetan
EOrl. EOrlah
ser. series
1 Tm. 1 Timothy
O.S.B. Ordo Sancti Benedicti, Order
sg. singular
2 Tm. 2 Timothy
of Saint Benedict (Benedictines)
Sg. Song of Songs
T. of 12 Testaments of the Twelve
p. page (pl., pp.)
Sg. of 3 Prayer of Azariah and the
Patriarchs
P Priestly (source of the Pentateuch)
Song of the Three Young Men
T
. oh. t.ohorot
Pa. Pennsylvania
Shab. Shabbat
Tong. Tongan
Pahl. Pahlavi
Shav. ShavuEot
trans. translator, translators; translated
Par. Parah
Sheq. Sheqalim
by; translation
para. paragraph (pl., paras.)
Sib. Or. Sibylline Oracles
Turk. Turkish
Pers. Persian
Sind. Sindhi
Ukr. Ukrainian
Pes. Pesahim
Sinh. Sinhala
Upan. Upanis.ad
Ph.D. Philosophiae Doctor, Doctor
Sir. Ben Sira
U.S. United States
of Philosophy
S.J. Societas Jesu, Society of Jesus
U.S.S.R. Union of Soviet Socialist
Phil. Philippians
(Jesuits)
Republics
Phlm. Philemon
Skt. Sanskrit
Uqts. Uqtsin
Phoen. Phoenician
1 Sm. 1 Samuel
v. verse (pl., vv.)
pl. plural; plate (pl., pls.)
2 Sm. 2 Samuel
Va. Virginia
PM post meridiem, after noon
Sogd. Sogdian
var. variant; variation
Pol. Polish
Sot.. Sot.ah
Viet. Vietnamese
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ABBREVIATIONS AND SYMBOLS
viz. videlicet, namely
Yad. Yadayim
* hypothetical
vol. volume (pl., vols.)
Yev. Yevamot
? uncertain; possibly; perhaps
Vt. Vermont
Yi. Yiddish
° degrees
Wash. Washington
Yor. Yoruba
+ plus
Wel. Welsh
Zav. Zavim
– minus
Wis. Wisconsin
Zec. Zechariah
= equals; is equivalent to
Wis. Wisdom of Solomon
Zep. Zephaniah
× by; multiplied by
W.Va. West Virginia
Zev. Zevah.im
→ yields
Wyo. Wyoming
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
v o l u m e f o u r t e e n
o r d a n d i
w
W Om
R D a
A Ng
D e
I M A G E
In both oral and literate societies, the tendency to intermingle
word and image is irresistible. Spoken words, whether song,
chant, or prose, contain the life-force or spirit of the speaker and are commonly joined
to images by incantation and by rituals designed to charge images with power. Writ-
ten words are themselves signifiers that can be pictorialized in many different ways in
order to compound the potency of images. Word and image are imbricated or pat-
terned one on top of the other for the purpose of enhancing memory, expanding the
capacity of visual narrative, or avoiding the injunctions against visual representation
that some religions enforce. By visualizing spoken or written language in the form of
symbolic devices, image makers are able to create a hybrid form of discourse—picto-
graphs, hieroglyphs, ideograms, or characters. Finally, naming is a universal practice
in human culture. Visualizing names in graphic symbols or pictorial tableaux is often
a way of remembering or evoking the deceased or tapping
the power of the spirit by accessing its essence contained
within the name.
Many religions find ways of integrating the written
word and the image to create composite forms of rep-
resentation. In the case of Sikhism, Judaism, and Islam,
such composites are motivated by the desire to avoid com-
mitting idolatry, reducing the divine to a human inven-
tion. Influenced by Islam, Sikhism, for instance, eschews
cult imagery, but engages in intense forms of devotion to
its gurūs, the ten historical teachers who led Sikhs through
times of tribulation and martyrdom. The hymns of several
gurūs compose the eleventh and final gurū, the collection
of holy writings, known as the Gurū Granth Sāhib (Great
Reverend Teacher). Copies of this book are kept in every
gurdwara or Sikh temple, where they are ritually displayed
on throne-like altars (a) during Sikh worship and even
(a) Gurū Granth Sāhib on display during worship in a Sikh
gurdwara in Merrillville, Indiana, in 2003. [Photograph by David
Morgan]
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WORD AND IMAGE
attended by a fly whisk as if the book were the body of
one of the gurūs. This reverence for the book displaces
the role of images in worship. But Sikhism finds a place
for images, as shown by a gilded plaque at the Golden
Temple in Punjab (b), portraying the revered Gurū Nānak
with attendents. Another (unpictured) example is a deft
intermingling of sacred text with an image of Nānak. The
resulting “imagetext” strikes a higher unity that avoids
confusing image with deity. The image consists of the
opening scripture of the Sikh holy book, composed by
Nānak himself. To see his image congealing in his words
makes the gurū’s wisdom appear palpable.

Micrographs are a common Jewish counterpart to the
Sikh image described above and may have inspired it. One
example shows the prophet Jeremiah lamenting the ruins
(b) TOP. An early-seventeenth-century gilded plaque
depicting Gurū Nānak (center) with two attendants.
Golden Temple, Amritsar, Punjab, India. [©Michael Freeman/
Corbis] (c) LEFT. Jeremiah Mourning the Destruction of the Temple
in Jerusalem, a mid-nineteenth-century lithograph by Beryl Reiss.
[Courtesy of The Library of the Jewish Theological Seminary]
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WORD AND IMAGE
of the Jewish temple (c). Ironically, every aspect of the
image consists of Hebrew text from the book of Jeremiah.
If the second commandment (Dt. 5:8–9) proscribes the
worship of images, or even the creation of images, the
micrograph eludes the proscription by only writing sacred
text. A similar evasion of the injunction against imagery
informs the paper amulet reproduced here (d), a Jewish
print of symbols and objects portrayed by textual inscrip-
tions, used for protection during childbirth. Muslims
could produce comparable imagetexts, though attitudes
varied greatly among Muslims in Persia, Turkey, India,
and Africa, on the one hand, and Arabic Muslims, on the
other. Among the most familiar examples of the Muslim
imagetext is the sumptuous calligraphy and decoration of
the Qur c anic page (e). A qiblah-compass from Istanbul
(d) TOP. A late-nineteenth-century paper amulet from Jerusa-
lem, used by Jewish women for protection during childbirth.
[©Erich Lessing/Art Resource, N.Y.] (e) RIGHT. In the Name of the
Almighty, seventh-century ce calligraphy in the form of a hoo-
poe, ink on paper, Iran. [©Bildarchiv Preussischer Kulturbesitz/Art
Resource, N.Y.]
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WORD AND IMAGE
(f ) shows how word and image could be combined in
order to provide an important form of information for
Muslim piety. This compass was able to find the direction
of Mecca anywhere in the world when adjusted to the
coordinates indicated on its face.

In another form of image dedicated to generating a
kind of useful information, American Protestants relied
on the alphabet page of the New England Primer (g) to
teach their children to read. The page aligns the alphabet
on the left with a central column of imagery, which cor-
responds, in turn, to rhymed phrases on the right. By
embedding imagery in the semantic field of text, Ameri-
can Puritans and their theological descendents did not
mistake image for divine referent, but applied the image
as a form of graphic information to promote literacy, and
to instill in children greater knowledge of the Bible and
morality while doing so. The lesson also affirmed the
important ideology of print: that words correspond clearly
to images, and that both combine to create a uniform,
(f ) TOP. Cardboard qiblah-compass in a brass case, 1808–1809,
reliable system of representing the physical and moral
from Istanbul, Turkey. [©The Nour Foundation: Nasser D. Khalili Collec-
world. Cultural literacy was neatly enfolded in textual
tion of Islamic Art. Accession number: sc1275] (g) ABOVE. Alphabet page
literacy.
from the 1782 editon of the New England Primer, first published in
Boston in about 1690. [Courtesy American Antiquarian Society]

The continuity of word and image in Protestant the-
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WORD AND IMAGE
ology began with Martin Luther, who is shown preaching
in Wittenberg in a print by Lucas Cranach the Younger
(h). Luther preaches a dramatic sermon of propagandistic
rage against the papal party, which is glimpsed in the
smoking maw of a hellish monster, while the Lutheran
party appears below the pulpit and to the left, receiv-
ing the elements of the Eucharist (wine and bread). The
image was intended to register the fine points of doctrinal
controversy between Catholics and Lutherans. The cruci-
fied Jesus flutters above the altar in order to underscore
the Lutheran doctrine of consubstantiation (that the ele-
ments of the sacrament were joined with the substance
of Christ’s body and blood). The laity receives both wine
and bread in contrast to the Catholic practice of distrib-
uting only the bread. The balance of word and image is
tipped in favor of the word in the work of the twentieth-
century Baptist preacher and artist Howard Finster, who,
though he includes a standing figure of Jesus behind the
cross, foregrounds a cross composed of text and recast
as a graphic lesson on moral choice (i). Recalling many
popular prints before it, the subject of Finster’s work is
not the cross or figure of Christ, but, as the title signals,
The Way of Jesus and the viewer’s need to choose to follow
(h) TOP. Woodcut print (c. 1540) by Lucas Cranach the Young-
er depicting Martin Luther preaching to the true church and the
false church. [©Bettmann/Corbis] (i) RIGHT. Howard Finster, The
Way of Jesus, enamel and glitter on plywood, 1982. [Lehigh Uni-
versity Art Galleries Museum Operation]
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WORD AND IMAGE
(j) Visitors in 2002 at the
it. The top of the cross, the direction toward God, as one
Vietnam Veterans Memorial,
arrow indicates, consists of densely inscribed text, while
designed by Maya Ying Lin and
the bottom of the cross fades into a dark field of imag-
built on the National Mall in
ery. Encased in this single work is the radical Protestant
Washington, D.C., in 1982.
antagonism toward the image. Though Jesus is present,
[©2004 Landov LLC. All
he is relegated to the rear of the cross, which Finster has
rights reserved]
visualized as an obdurate block of words.

The capacity of written text to stand for objects
was exploited by Japanese painters of the Lotus Sūtra, an
important Buddhist scripture that encouraged the identi-
fication of the Buddha’s body with the stupa and its relics
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WORD AND IMAGE
and the very text of his teachings laid down in the written
sūtras. In many scroll paintings of the sūtra, artists com-
posed images of stupas from the Japanese characters of
the Buddhist text, creating a visual unity of word, image,
and the object that housed a relic of the Buddha’s body.
To see the sūtra was to see the stupa that contained the
remains of the teacher. Pilgrims to the Vietnam Veterans
Memorial (j) in Washington, D.C., gaze upon the names
of the dead and see behind the inscribed names the reflec-
tions of themselves looking at the names in this moving,
mausoleum-like memorial. The reflections encourage the
idea that there is a space behind the wall, that the wall of
names is a screen through which survivors may sense the
proximity of their lost loved ones. Image and text inter-
mingle to suggest a presence that makes remembering a
poignantly embodied rite.

Symbolic imagery can possess a suggestive power
by virtue of its appearance as a code. Tarot cards, for
example, are clusters of emblematic devices and allegori-
cal figures whose meanings are general and indeterminate
until the cards are progressively configured in a serial
reading that gradually tailors the cards to the personal
reflections of the tarot reader’s client (k). The secrecy
and mystery of the cards is revealed as a divination of
the client’s past, present, and future. Another kind of
secrecy applies to the script of the golden plates found at
Hill Cumorah by Joseph Smith, which he transcribed in
1828 in order for the text to be inspected by a Columbia
University professor of ancient languages. Written in what
the text itself called “Reformed Egyptian,” the script could
be translated only when Smith made use of mysterious
(k) The High Priestess card from the Rider-Waite Tarot Deck®.
[©1971 U.S. Games Systems, Inc.]
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WORD AND IMAGE
(l) The Anthon transcript, which some Mormons believe was
interpretive devices that he called “Urim and Thummim.”
copied in 1828 by Joseph Smith from the Book of Mormon
The putative golden plates, their allegedly ancient script,
plates. [Courtesy Community of Christ, Independence, Mo.]
and the translation of the now-lost text shroud the Book
of Mormon in a mystery that only enhances its authority
as divine revelation for believers. The tantalizing trace of
the transcript shown here (l) imbues the actual absence
of proof with an antiquarian aura. The ancient ciphers
evoke a past in which myth and history are virtually indis-
tinguishable. Religion without suggestion is very little
religion.
BIBLIOGRAPHY
Avrin, Leila. Micrography as Art. Jerusalem, 1981.
Brown, Peter. “Images as a Substitute for Writing.” In East and
West: Modes of Communication, Proceedings of the First Plenary
Conference at Merida, edited by Evangelos Chrysos and Ian
Wood, pp. 15–34. Leiden, 1999.
Givens, Terryl L. By the Hand of Mormon: The American Scripture
that Launched a New World Religion. New York, 2002.
Murck, Alfreda, and Wen C. Fong, eds.Words and Images: Chinese
Poetry, Calligraphy, and Painting. New York and Princeton,
1991.
Rogers, J. M. Empire of the Sultans: Ottoman Art from the Collec-
tion of Nasser D. Khalili. Alexandria, Va., and London, 2000.
Tanabe, Willa J. Paintings of the Lotus Sutra. New York, 1988.
Turner, J. F. Howard Finster: Man of Visions. New York, 1989.
David Morgan ()
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C O T
N T I N U E D
TRANSCENDENTAL MEDITATION. Beginning as a method discovered by
Maharishi Mahesh Yogi (b. 1911), Transcendental Meditation (TM) became an interna-
tional movement in 1958, when it was presented as a scientific response and practical rem-
edy to the various problems of modern life. This thrust was stressed even more when its
founder and teachers denied that the movement was a religion, or that it had been
founded as such. Instead, they argued that it was an easy technique that could be mastered
by anyone. By using this method, a person could overcome ordinary problems such as
mental and emotional stress and high blood pressure while obtaining greater relaxation,
gaining greater physical energy and mental clarity, and achieving more advanced stages
of consciousness. In spite of its many modern benefits, this new method of yoga claimed
to be part of an ancient Hindu spiritual lineage.
Maharishi Mahesh Yogi, who was born Mahesh Prasad Varma on October 18, 1911
in Uttar Kashi, India, traced his spiritual heritage to the great Advaita Veda¯nta thinker
Sankara (c. 788–820), and beyond him to ancient Vedic literature. Maharishi studied for
fourteen years with Swami Brahmananda Saraswati (1869–1953) at the Jyotimath, a mo-
nastic community located high in the Himalayan mountain range of India, although he
was never appointed successor to his own teacher. Before his student apprenticeship, Ma-
harishi earned a college-level degree in physics and mathematics at Allahabad University
in India. His educational background partially explains his tendency to wrap his message
in scientific jargon and to stress the scientific advantages of his method. The Science of
Creative Intelligence (SCI) is, for instance, the official name of his belief system, which
is conceived as dynamic due to its ever expanding and increasing nature.
The use of scientific language to convey a religious message accomplishes at least two
objectives: (1) it gives the belief system legitimacy, and (2) it forms a cognitive connection
to the contemporary Western worldview that is dominated by science. TM operates from
the basic presupposition that there is a compatibility between Advaita Veda¯nta, the Vedas,
and Western science. Since 1988 TM has, for instance, worked intensively to demonstrate
the parallels between quantum physics and its method.
C LOCKWISE FROM TOP LEFT CORNER. The Golden Pavilion, or Kinkakuji, in Kyoto, Japan. [©Dallas
and John Heaton/Corbis]; Thor’s hammer amulet, tenth century. National Museum of Iceland,
Reykjavik. [©Werner Forman/Art Resource, N.Y.]; Tenth- to twelfth-century stone carving of
Chacmool near the Temple of the Warriors at Chichen Itza in Mexico. [©Kevin Schafer/
Corbis]; Temple of Hatshepsut in Luxor, Egypt. [©Dallas and John Heaton/Corbis]; Nepalese
Ta¯ra¯. [©Christie’s Images/Corbis].
9289
9290
TRANSCENDENTAL MEDITATION
MISSION TO THE WEST. Before making his mission to the
called TM-Sidhi with the purpose of teaching students to
West, Maharishi began his spiritual mission beyond India in
achieve yogic powers, such as the ability to fly or levitate.
April 1958 with a trip to Rangoon, Burma. He then traveled
There was a public demonstration before 120 journalists in
to Bangkok, Thailand; the island of Penang; Kuala Lumpur,
Washington, D.C., on July 9, 1986 that did not correspond
Malaysia; Singapore; Hong Kong; Hawai’i; and finally the
with the media hype for the event and resulted in media ridi-
U.S. mainland. On a subsequent journey in 1960 to Germa-
cule of the movement. The members of the media were
ny he opened nine yoga centers, and later that year he trav-
amused at the sham performance of students jumping on
eled to the Scandinavian countries, beginning with Norway,
mats imitating acts of levitation.
before going to Italy, Greece, and Nairobi, Kenya. Later trips
were made to South America, which made his movement a
MEDITATIVE TECHNIQUE AND MESSAGE. The meditative
truly global enterprise.
technique of Maharishi is grounded in a Neo-Veda¯nta meta-
physical philosophy in which an unchanging reality is op-
Maharishi’s introduction of his spiritual discovery to the
posed to an ever-changing phenomenal world. Maharishi’s
West was preceded by the efforts of Swami Vivekananda
book Science of Being and Art of Living: Transcendental Medi-
(1863–1902) and Yogananda (1893–1952). Vivekananada
tation (1963) expresses his basic philosophical position. The
traveled to America to attend the World Parliament of Reli-
unchanging reality is equated with Being, which represents
gions in 1893 and launched the Vedanta Societies, whereas
a state of pure existence that is omnipresent, unmanifested,
Yogananda traveled to America to attend the International
and transcendental. Not only is Being beyond time, space,
Congress of Religious Liberals, organized by the Unitarian
causation, and ever-changing phenomena, it remains unrec-
Church in Boston in 1920, and established the Self-
ognized by human beings because their minds do not realize
Realization Fellowship with more than 150 centers through-
their essential identity with Being, since minds are captive
out the world. Following in their footsteps, Maharishi ar-
to the outward-projecting senses. The essential nature of
rived in America in 1959 and lectured on yoga in San Fran-
Being is further identified with absolute blissful conscious-
cisco, with additional trips to Los Angeles, New York,
ness, which radiates from Being. Maharishi compares Being
London, and Germany. His movement was initially called
to the ocean, upon which there are many waves. These waves
the Spiritual Regeneration Movement, which later became
are like the field of continually changing phenomena. What
the name of the adult branch of the movement. The other
is really important for Maharishi is for human beings to real-
wing of the movement was named the Students International
ize Being, because without this realization a person’s life is
Meditation Society (SIMS), established in 1964 in Germany.
without foundation, meaningless, and fruitless. This realiza-
An early emphasis of the movement was its mission to college
tion is within the capabilities of everyone by means of TM.
campuses, which was given a huge impetus in the mid-1960s
when the British rock group the Beatles studied with the Ma-
This form of meditation is intimately connected to a
harishi in India. This event generated worldwide publicity
person’s breath (Pra¯n:a), which is an expression of Being in
for his movement. After his estrangement from the Beatles,
the sense that it represents a tendency of the unmanifested
the Maharishi initiated, instructed, and toured with the
to reveal itself. The breath represents the latent power of
Beach Boys. Maharishi used his celebrity status with icons
Being within a person. As the nature of Being, breath plays
of popular culture to endear himself with the youth culture.
a role as the motivating force of creation and evolution. The
By the 1970s, student centers could be found at over one
breath can be harnessed and used to help the mind of a per-
thousand campuses. By the beginning of the 1980s the
son realize Being directly. This is accomplished by Transcen-
movement estimated that 1.5 million people had practiced
dental Meditation, which enables a person to extricate one-
Transcendental Meditation with a teacher. The college-
self from a state of relative experience, transcend ordinary
campus focus of the movement culminated with the estab-
thinking, and gain the permanent state of Being. This means
lishment of Maharishi International University in Fairfield,
that a particular mind loses its individuality. It becomes in-
Iowa, in 1974 on the campus of the bankrupted Parsons
stead a cosmic mind that is omnipresent, pure, and eternal.
College.
Before achieving this cosmic state of mind, the human
Pushing the margins of science, Maharishi established
mind is like a seed that produces a tree. What this analogy
the Maharishi European Research University in 1975 at two
attempts to show is the interdependent nature of the mind
lakeside hotels on Lake Lucerne in Switzerland. The purpose
and karma (action). It is impossible for action to occur with-
of the university was to research the effects of Transcendental
out a mind. In turn, it is karma that produces the mind,
Meditation and to determine the existence of higher states
which in turn creates more karma. This suggests that karma
of consciousness. During the following year Maharishi envi-
owes its existence to the mind, and in turn creates the mind.
sioned his own world government with the ancient Indian
By means of karma, the original, pure consciousness of Being
Vedas as the basis of its constitution. He appointed ministers
is transformed into conscious mind. If karma represents what
to various positions with titles like the Development of Con-
is temporary and perishable, Being is its exact opposite be-
sciousness, Prosperity, and Fulfillment and Health and Im-
cause it represents eternal unity. Karma creates diversity
mortality. During the 1980s Maharishi began a program
within the unity of Being.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TRANSCENDENTAL MEDITATION
9291
Within the context of this metaphysical edifice, the
MILLENNIAL EXPECTATIONS. When Maharishi initially ar-
technique of Transcendental Meditation involves saturating
rived in the United States, he stated at a press conference his
the mind with Being by harnessing one’s breath and making
rationale for coming to America. He confessed that he had
it harmonious with the rhythm of nature and cosmic life.
learned a secret, swift, deep form of meditation that he was
Maharishi emphasizes the naturalness of his technique.
now motivated to share with the world for the spiritual re-
Moreover, the technique is a simple, easy, and direct way to
generation of its inhabitants. A few years later, he established
development one’s mental capabilities and latent potentiali-
the Spiritual Regeneration Movement of Great Britain, lo-
ties. In contrast to ancient ascetic traditions of India, in TM
cated in northern London. In 1975 Maharishi announced
it is not necessary to renounce the world or withdraw from
the Dawn of the Age of Enlightenment. His bold and opti-
one’s family. That is an ascetic practice which can be per-
mistic pronouncement suggested the commencement of a
formed within the context of the ordinary activities of the
period during which humans can reach their fullest potential
world.
and that will be characterized by boundless happiness, har-
Instruction in the technique of meditation stresses that
mony, peace, and personal fulfillment. This new dawn will
it is an easy and natural process. Students are instructed to
also represent a period when science will verify and validate
devote twenty minutes each day to practice, ideally in the
the teachings of the Maharishi. Moreover, even those who
morning and early evening. At the beginning stage, a student
did not meditate would enjoy the benefits of this new age.
does not have to be convinced that the method will work.
The Maharishi took this message on tour to various coun-
What is important is the correct practice. If a student per-
tries. The impetus for such millennial hope continued in De-
forms the technique properly, positive results will follow au-
cember 1983–January 1984, when he created the Taste of
tomatically. The proper technique involves seven steps. The
Utopia Assembly, which was staged at Maharishi Interna-
initial step involves attending a introductory lecture that is
tional University. The purpose of this gathering was to unite
intended to prepare a person for what is to follow. In the sec-
Vedic wisdom and the practice of the TM-Sidhi program.
ond step, the theory of Transcendental Meditation is pres-
Their fusion would usher into existence a utopian age of
ented through a preparatory talk. The third step involves an
peace and prosperity. This vision represented a fuller expres-
interview with the teacher, at which time a student is given
sion of a utopian hope embodied within the movement from
a sacred mantra (repetitive formula) that is personally fitted
its earliest moments.
to a person, who is not to reveal it to others. By focusing on
As Transcendental Meditation grew in the awareness of
the mantra, persons are able to concentrate their attention
ordinary citizens, many tended to associate it with New Age
on it. The final steps involve periodic verification and valida-
religion. During the 1960s and 1970s, people were experi-
tion of a person’s experiences by returning to and checking
menting with drugs like LSD to induce altered states of con-
with a teacher.
sciousness and bliss. Within the context of the drug culture
Maharishi identifies seven levels of consciousness, with
and New Age religion, TM appeared to ordinary people to
the final one culminating in a state of unity. The fifth state
be offering similar results. Thus, numerous practitioners of
represents a cosmic consciousness that represents an aware-
various forms of New Age religion and former drug experi-
ness of Being even after the cessation of meditation, whereas
menters were attracted to the TM movement because of its
the fourth stage stands for the transcendental state, which is
apparent kinship with these other forms of spiritual experi-
a state of pure consciousness described as beyond the previ-
mentation. Besides such perceived forms of kinship among
ous state of waking, dream, and deep-sleep consciousness.
TM, drug culture, and New Age spirituality, Transcendental
The fifth stage is an expansion of the pure consciousness
Meditation shared with New Age spirituality a holistic view
achieved on the fourth level from an individual to a wider
of life. This was a form of thinking and living that attempted
cosmic dimension. The sixth state is called God conscious-
to extricate itself from all forms of dualism, such as the di-
ness. Traditional yogic postures are unnecessary—in TM a
chotomy between body and mind. The Transcendental
person can simply sit upright and comfortably on a chair
Meditation movement also intersected with New Age spiri-
with eyes closed. The movement tends to stress that anyone
tualities with respect to organic and vegetarian dietary prac-
can learn this simple, effortless, and easy mental technique.
tices and alternative forms of medicine. In 1985, for in-
From the perspective of Maharishi, this yogic technique
stance, Maharishi launched the World Plan for Perfect
and Neo-Veda¯nta metaphysical edifice are not a form of
Health along with a medical institution, the World Center
Hinduism. In fact, Transcendental Meditation is not a reli-
for Ayurveda, in India.
gion at all. By de-emphasizing its Hindu roots, stressing its
The Transcendental Meditation movement promised a
nonreligious nature, and focusing on the scientifically de-
transformation of both the individual and society by means
monstrable value of the technique, TM created a successful
of an expansion of consciousness to unimagined states. In
message that was embraced by many spiritual seekers and a
short, TM aimed to create a perfect society inhabited by per-
scientifically minded audience. The movement used scientif-
fect individuals. The movement offered a realized eschatolo-
ic means to demonstrate how the technique calmed the
gy for a transformed mode of living in the present moment
mind, increased awareness, relaxed the body, and lowered
that promised a horizon of economic well-being, psychologi-
metabolism.
cal and somatic healing, peace, and mental comfort.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9292
TRANSCULTURATION AND RELIGION: AN OVERVIEW
The Transcendental Meditation movement has attract-
culture from the coming together of indigenous, Spanish,
ed disenfranchised, disaffected, and disenchanted seekers
and African populations. (Ortiz gave prominence to the term
looking for spiritual experience, healing, community, a gen-
in two chapters of his book Tobacco and Sugar, 1947: chapter
eral sense of well-being, and happiness because of the decline
two is entitled “The Social Phenomenon of Transculturation
of community, the rise of impersonal organizations, alien-
and Its Importance,” and chapter seven has the title, “The
ation, fragmentation of life, secularism, competing multicul-
Transculturation of Tobacco.”) In his studies, Ortiz shows
tural messages, and religious pluralism. With the promise of
how these groups interrelated, adopted, and adapted them-
a perfect society, TM offered a personal and private form of
selves in modes of language, music, art, and agricultural pro-
spirituality for many disenchanted seekers.
duction. The contemporary usage of the term owes its aca-
demic parlance to the work of Mary Louise Pratt, who, in
SEE ALSO Millenarianism; New Age Movement; New Reli-
her book Imperial Eyes: Travel Writing and Transculturation
gious Movements; Veda¯nta; Vivekananda; Yogananda.
(1992), following Ortiz, tells us that processes of this kind
occur within “contact zones,” “zones where cultures meet,
BIBLIOGRAPHY
Eck, Diana L. A New Religious America: How a “Christian Coun-
clash, and grapple.” These zones, according to Pratt, express
try” Has Now Become the World’s Most Religiously Diverse Na-
the improvisational dimensions of colonial encounters in the
tion. New York, 2001. A look at the impact of Eastern reli-
modern period. The contact zones show that the encounters
gions on America based on research for the Pluralism Project
between colonizers and colonized, while characterized by the
at Harvard University.
domination of the colonizers, did not simply define separate-
Ellwood, Robert S., Jr. Religious and Spiritual Groups in Modern
ness but many complex interlocking relations. Within this
America. Englewood Cliffs, N.J., 1973. A useful reference
overall context of domination, Pratt foregrounds the copre-
work on new religions and New Age cults that is dated in
sence, interaction, and improvisational dimensions of the
some places.
contact zones (p. 7).
Mahesh Yogi, Maharishi. Science of Being and Art of Living: Tran-
Pratt and others who make use of the term use it primar-
scendental Meditation. New York, 1963; reprint, New York,
ily to describe the contact of Western culture with other cul-
2001. This book sets forth his basic philosophy, yogic meth-
tures over the last five hundred years. These contacts have
od, and its connection to science.
taken on several overlapping forms—conquest, domination,
Mahesh Yogi, Maharishi. Maharishi Mahesh Yogi on the Bhagavad-
reciprocity, adaptation, amalgamation, and so on. The phe-
Gita: A New Translation and Commentary: Chapters 1–6.
nomenon of the contact of cultures is not peculiar to the
London, 1967. Maharishi’s incomplete commentary on this
modern period, however. Given the human capacity for lo-
important text from his own perspective.
comotion, different and diverse groups of people have been
Rothstein, Mikael. Belief Transformations: Some Aspects of the Rela-
“in contact” since human beings have been on earth; cultural
tion between Science and Religion in Transcendental Medita-
contacts have taken place throughout the history of human-
tion (TM) and the International Society for Krishna Conscious-
kind. Prior to the Neolithic period, when humans domesti-
ness (ISKCON). Aarhus, Denmark, Aarhus University Press,
cated animals and began to practice agriculture, small trans-
1996. A comparative study of TM and the International So-
humance bands of humans were in constant movement over
ciety for Krishna Consciousness (ISKCON). The author ex-
plores the former movements embrace of the scientific
designated parts of their regions. With the beginnings of
world-view and the latter movements reject of it.
early citied existence in China, Mesopotamia, and then in
regions all over the world, the sedentary and centered human
Russell, Peter. The TM Technique. London, 1976. A study of the
mode of being gained prestige. Though cities represented the
method and levels of consciousness by a member of the
movement who studied with Maharishi.
human mode as sedentary and centered, movement, travel,
and meetings and encounters with human groups outside the
CARL OLSON (2005)
city centers increased rather than diminished.
Mary Helms’s Ulysses’ Sail (1988) examines the mean-
TRANSCULTURATION AND RELIGION
ing of geographical distance and foreign places in premodern
This entry consists of the following articles:
periods in several cultures of the world. Just as the vertical
AN OVERVIEW
distance between the heavens and the earth expressed the
RELIGION IN THE FORMATION OF MODERN CANADA
spaces and loci for cosmological and theological speculation,
RELIGION IN THE FORMATION OF THE MODERN
the horizontal traversal of space revealed structures of power
CARIBBEAN
and knowledge. Long-distance spaces were traversed by long-
RELIGION IN THE FORMATION OF MODERN JAPAN
RELIGION IN THE FORMATION OF MODERN INDIA
distance travelers who were either themselves elite or repre-
RELIGION IN THE FORMATION OF MODERN OCEANIA
sented the elite orders of society. Helms does not deny that
trade went on through this travel but her emphasis is upon
TRANSCULTURATION AND RELIGION: AN
the creation of the symbolic spaces made through geographi-
OVERVIEW
cal travel.
The term transculturation was first used by the Cuban sociol-
Various kinds of knowledge, including literacy, naviga-
ogist Fernando Ortiz to describe the formation of Cuban
tion, the forging of metals, and astronomy, attended those
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TRANSCULTURATION AND RELIGION: AN OVERVIEW
9293
who made these journeys, thus enhancing their power and
Obviously, theological formulations were given for the
prestige. The symbolic power also accrued from the knowl-
liturgical meaning of pilgrimage; equal theological attention
edge of “outside phenomena.” Thus, in Helms’s study,
was paid to curiosity. It was pointed out that curiosity—
boundaries are equal or even more important than zones.
wanting to know on one’s own—was the original source of
Long-distance travel involved going outside boundaries and
human sin. It was human curiosity in the Garden of Eden
thus the knowledge gained was understood to have the power
that led to the first disobedience to God. Curiosity represent-
of transformation. Helms’s study “rest[s] upon the assump-
ed the human will to know apart from God’s command, and
tion that the significance of interchanges of people and mate-
thus in this independent mode of knowing, humans trans-
rial goods across geographical distances can better be under-
gressed the meaning and roles of proper knowledge. These
stood if we know something of the qualities attributed to
summary statements by Zacher show the marked difference
space and distance in various situations” (p. 10).
between the two modes: “the temptation to curiositas referred
P
to any morally excessive and suspect interest in observing the
ILGRIMAGES. One aspect of the kind of long-distance travel
discussed by Mary Helms has taken the form of pilgrimages
world, seeking novel experience, or acquiring knowledge for
in various cultures throughout the world. While Helms has
its own sake” (p. 4). Regarding the liturgical meaning of pil-
pointed to long-distance travelers as people who went be-
grimage, Zacher states the contrast: “As a form of religious
yond, even transgressed, boundaries in their search for
worship, pilgrimage allowed men to journey through this
knowledge and power, the pilgrimage, though still emphasiz-
present world visiting sacral landscapes as long as they kept
ing travel, specifies a definite destination and purpose for the
their gaze permanently fixed on the invisible world beyond”
traveler. It is this form of long-distance travel that is the pre-
(p. 4). Pilgrimage as a movement through space expressed an
cursor of the long-distance travels of Western peoples begin-
inner and outer process of spiritual meanings.
ning in the fifteenth century of the Common Era.
Two major changes took place that began to transform
The contact of Western cultures from the fifteenth cen-
the pilgrimage from a liturgical ritual of travel into a more
tury with the cultures of the world should be seen against the
purposeful and pragmatic endeavor. The first occurred when
practice, rhetoric, and literature of pilgrimage. Pilgrimage
Pope Urban II in 1095 called for a pilgrimage from the
has a long tradition in European cultures. By the fourteenth
armed knights of Christendom to free the Holy Land from
century one can discern two major meanings arising out of
the Muslims and by so doing reconstitute the meaning of the
the pilgrimage: pilgrimage as a soteriological act or pilgrim-
sacred center of Christendom. This action allowed armed
age as an act of grace. The archetypal pilgrimage was the
knights to undertake a ritual act while still part of a military
Christian pilgrimage to Jerusalem. Jerusalem for the Chris-
order (Elsner and Rubiés, 1999, p. 24). The other change
tian defined the symbolic and geographical center of the
took place when monks and priests from the eleventh centu-
world; this space was saturated with the life and meaning of
ry on began to undertake missionary movements to other
the Christian savior and thus was the most powerful and
lands to convert nonbelievers to the true faith of Christianity.
prestigious place in all Christendom. The pilgrimage to Jeru-
Missions took on a more rationalistic ideological bent that
salem defined a penitential journey, where believers under-
led to rationalistic narratives. Missions and crusades were al-
took a kind of ascesis en route that prepared them for the
lied during the late medieval period and this pattern was
receptive beneficence of being in the Holy Land.
adopted by explorers of Africa and the Atlantic in the fif-
teenth century.
Following Helms, the pilgrimage to Jerusalem, and in
like manner all other Christian pilgrimages, was based upon
Though liturgical ritual pilgrimages were undertaken
the vertical meaning of space, with the heaven above, the
for soteriological purposes, it is clear that a great deal of curi-
human as sinner in the middle, and the earth below. In the
osity was always expressed through them. This curiosity had
pilgrimage to Jerusalem, the penitent was congruent with the
to do with the empirical observations of other lands and hab-
fundamental orders of divine power. At this center, the peni-
its. Victor Turner in his anthropological analysis of pilgrim-
tent could experience the most potent meanings of grace and
age suggests that a kind of tacit curiosity is part of the very
redemption. The pilgrim nevertheless had to travel through
structure of pilgrimage itself.
space to arrive at Jerusalem, and in so doing, the old specter
described by Helms in the horizontal traversal of the earth
The language and style of the pilgrimage structure per-
came back into play. The change of places and spaces
vaded the travel narratives and discourses of Europeans com-
through the journey of the pilgrimage piqued the curiosity
mencing with the voyages of Columbus in the fifteenth cen-
of the traveler. Christian Zacher in Curiosity and Pilgrimage
tury. The pilgrimage model from this time on entered into
(1976) describes the tension between the soteriological and
the travel stylistics and rhetoric of all long-distance travels of
liturgical meaning of pilgrimage and the meaning of the pil-
Europeans. Thus, from the earliest pilgrimage traditions of
grimage as a journey of curiosity. The growing emphasis with
the church to the pilgrimage voyages of the Reformation Pu-
curiosity as a major aspect of pilgrimage came to constitute
ritans to the New World, the pilgrimage model served as
another and often separate motivation for undertaking a pil-
both umbrella and reservoir for the meanings of travel, dis-
grimage.
covery, conquest, and even scientific curiosity.
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TRANSCULTURATION AND RELIGION: AN OVERVIEW
Henri Baudet has noted that the languages of travel and
as formative and necessary for the West, nevertheless exor-
discovery embodied a duality that found expression in two
cised all the mystical and theological meanings from this
relations of Europeans to the non-Europeans they “dis-
temporal process, thus equating and identifying the time of
covered.”
Western culture with the meaning, structure, and order for
a normative understanding of all human time.
One is in the realm of political life—in the concrete re-
lations with concrete non-European countries, peoples
It is a generally accepted notion in the Western social
and worlds. . .The other relationship is an expression
sciences that the history of humankind can be divided into
of the domain of the imagination, of all sorts of images
four stages of development: the hunting-gathering, the pas-
of non-western people not derived from observation,
toral, the agricultural, and the commercial. These stages did
experience or perceptible reality, but from a psychologi-
not arise from empirical observation but as a result of a kind
cal urge—an urge that creates its own reality which may
be different from the realities of the first category. (Bau-
of conjectural history. Ronald L. Meek in Social Science and
det, 1988, p. 6)
the Ignoble Savage (1976) traces this conjectural history as it
emerges from several thinkers during the eighteenth century.
Long-distance travel, the salvation of souls, and military
One prominent element in the development of the theory
missions coalesced into an amalgam of ideology and practice
grew from various theories put forth to account for America,
that became the basic structure of Western explorations, dis-
the lands across the Atlantic. America was seen as the first
coveries, and conquests over the last five hundred years. This
stage of some kind of development of human culture. Meek
ideological orientation led Daniel Defert to make the follow-
tells us that the decisive influence in the general adoption of
ing remark concerning Western expansion:
the four-stage theory of cultural evolution and development
The early Europeans were pilgrims, prudentia pereg-
was the Scottish moral philosophers, the most influential
randi. They were taught languages as languae pereginae,
being Adam Smith. In his lectures on jurisprudence in 1762
that is not languages of a given territory but language
and 1763, Smith used the four-stage theory as the underpin-
necessary for the activity of traveling. . .This vast uni-
ning for explaining the nature and meaning of property with-
verse, known only to a few people, absent from the sa-
in several types of societies. With the growing acceptance of
cred texts and of which Antiquity knew nothing could
the theory, several scholars and literary authors undertook re-
have provided a field of endless invention and exaggera-
search and wrote texts that presupposed these stages as the
tion. But the writer’s obligation to the truth was the re-
“natural” evolution of human cultures. For the popular cul-
sult of a hierarchal network of competition and con-
tures of Europe, the four-stage theory could be turned into
frontation. No doubt the voyage of discovery should be
the binary of primitive/civilized. This theory and its short-
situated historically between medieval crusades which
it miniaturizes and the organization of a laboratory.
hand became a convenient taxonomy for the classification of
(1982, p. 12)
the cultures that Europeans encountered in various parts of
the world.
NORMATIVE MODES OF WESTERN TIME. From the time of
Constantine through the medieval period the West was
While several events, technologies, and ideas contribut-
dominated by a Christian conception of the temporal pro-
ed to the notion of a purely secular temporal process, the sus-
cess. Following the missionary commandment from the Gos-
tained treatment of this conception can be found in eigh-
pels to preach and baptize all humanity, notions of time and
teenth- and nineteenth-century German philosophy, most
space were made to conform to this injunction. Geographical
especially in G. W. F. Hegel and those influenced by him.
space and the temporal process were believed to aid and abet
Karl Löwith’s From Hegel to Nietzsche: The Revolution in
this dictum. While other temporal modes among other peo-
Nineteenth-Century Thought (1964) traces the way in which
ples and cultures were acknowledged, they were understood
these thinkers undertook a critical analysis of the meaning
as stages of preparation for the reception of the true time of
of time within Western culture. Their philosophies were not
Christian faith and practice. It was this conception and un-
a simple rejection of a religious or Christian notion of time.
derstanding of time based on a biblical paradigm that accom-
While Christian notions of time and history were subjected
panied both the Roman Catholic missionary orders and
to critique, they also attempted to show that for a certain pe-
Protestants in their explorations, discoveries, and conquests
riod of Western history, Christianity was the bearer of what
in various parts of the globe at least until the sixteenth
was objectively real in human time. This objective reality of
century.
history has in the modern period moved from the framework
of the Christian faith and is now embodied within the secular
Following certain developments stemming from the
structures of Western culture. While Hegel was the progeni-
Protestant Reformation and various technologies in the
tor of these notions, Löwith points to Johann Friedrich
West, new notions regarding the temporal process emerged
Overbeck as the seminal thinker in the Hegelian school who
from the Western Enlightenment. Both had to do with the
summarized the theory of the ultimate reality of modern his-
secularization of time. One conception offered a critique and
torical temporality.
alternative to the biblical structure of time from creation, to
the passion and resurrection of Christ, to the last days; the
When Europeans made contact with non-European cul-
other, while accepting the basic Christian ordering of time
tures in various parts of the world, they were armed with
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TRANSCULTURATION AND RELIGION: AN OVERVIEW
9295
ideological cultural notions not simply regarding what was
Biddick refers to this kind of time as temporalities—ones not
normative for them but, in addition, their norms were un-
about divisions between then and now, but about passages,
derstood to be normative for all humankind. While they
gaps, intervals, in betweeness. “These unhistorical temporali-
were more often than not bearers of superior military, navi-
ties that do not use time as a utilitarian resource to ground
gational, and other forms of technology, it was their norma-
identity are temporalities that can never be one” (p. 2).
tive understandings of time and space that they desired to
Temporalities within contact zones are very complex.
enforce upon those whom they met. The encounter with
The time of the pre-Western contact is no longer normative,
others must perforce create a “contact zone,” a zone of time/
though dimensions of it may inhere within the language; in-
space that must be adjudicated regardless of the dominating
habitants are forced to accept the official historical time of
power. Conquerors had to learn from the conquered if they
their conquerors, and those oppressed within these spaces
were to maintain their authority and the conquered had to
must express a temporality of their own “lived time,” which
adjust, adapt, and respond to those who came from afar. It
is neither the precontact time of their traditional cultures nor
is clear that since the fifteenth century, the entire globe has
the official time of the conquest.
become the site of hundreds of contact zones. These zones
From the fifteenth century to the present several differ-
were the loci of new forms of language and knowledge, new
ent Western empires have dominated various cultural areas
understandings of the nature of human relations, and the
of the world. While dominance and conquest were common
creation and production of new forms of human communi-
traits, all empires did not undertake these modes of control
ty. These meanings have for the most part been ignored due
in the same manner. Neither did all the cultures within the
to the manner in which the West, in an uncritical manner,
dominated areas respond or adapt in the same manner. The
absolutized its meaning of itself as the norm for all human-
processes and dynamics of these interactions define the vary-
kind.
ing meanings from within the contact zones.
EXCHANGES: LANGUAGES, RATIONALITIES, AND MATERIALI-
These contact zones had an effect upon the literary pro-
TIES. The model of pilgrimage was always caught within a
ductions of Europeans, indicating how the Europeans were
tension between curiosity, on the one hand, and the liturgical
responding and the impact of these non-European cultures
ritual meaning of a soteriology, on the other. It is equally the
upon European sensibilities. Peter Hulme in his Colonial En-
case that much travel was motivated by desire for the form
counters: Europe and the Native Caribbean, 1492–1797
of knowledge that came from visits to distant places. The
(1986) shows how Europeans styled the encounters in liter-
narratives, discourses, and practices hardly revealed the kind
ary form. For example, the encounters of Columbus and
of contingency and descriptions that would open these jour-
other Europeans in the New World are expressed in the dra-
neys to a full portrayal of the wide variety of exchange rela-
mas of Prospero and Caliban, John Smith and Pocahontas,
tions that were attendant to these travels.
Robinson Crusoe and Friday, and Inkle and Yarico; these
Kathleen Biddick in The Typological Imaginary (2003)
dramas are attempts to express these encounters in ways that
traces the origins of the stylization of the kind of “absolute-
would fit within the orders of European cultures (p. xiii).
ness” that became the favored narrative structure. In her re-
Hulme makes it clear that there is much more going on than
search she shows that this stylization of the absoluteness of
simply literary production. These literary forms, he says,
time and space can be traced back to what she calls the
should be seen as colonial discourses. By this he means,
“Christian typological imagination.” This form of historical
an ensemble of linguistically based practices unified by
thinking grows out of the way in which Christianity worked
their common deployment in the management of colo-
out its relationship to the history of Judaism and the Jews.
nial relationship, an ensemble that could combine the
The history of the Jews was subsumed into the Christian
most formulaic and bureaucratic of official docu-
canon through their creation of the Christian Old Testa-
ments. . .underlying colonial discourse, in other
ment. From this perspective, the history of the Jews ended
words, is the presumption that large parts of the non-
or should have ended with the coming of Jesus Christ.
European world were produced for Europe through a
Though the history of Judaism continued and continues to
discourse that imbricated sets of questions and assump-
this day, because of the canonization of the Christian Bible
tions, methods, of procedure and analysis, and kinds of
writing and imagery. (1986, p. 2)
and the ensuing cultural power of Christianity, the Jews and
Judaism were destined to always be seen as a people and tra-
These literary productions taken on face value enabled Euro-
dition who were relegated to a temporal past, Christian time
peans to create stereotypical images of the non-Europeans
becoming the normative meaning of temporality as history.
encountered in colonial and imperial projects. These images
As Biddick put it, “They believed that the Christian new
enhanced the images of the exotic, the oriental, and the noble
time—as ‘this is now’—superseded a ‘that was then’ of Israel”
savage as products of the distances from the center of Euro-
(p. 1). She makes it clear that Western secular time took over
pean metropolises. They fed into the stadial theories of the
this meaning of supercession from the Christians. Now given
historical development of humankind, congealing this differ-
the fact that Western historical time in either its mundane
ence into cultural categories of the West.
or philosophical modes carries this sense, modes of time in
The conjectural theory of history that formed the base
transcultural contact zones are often seen as “unhistorical.”
upon which the stadial theory was erected was correlated
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TRANSCULTURATION AND RELIGION: AN OVERVIEW
with a cultural theory of human intelligence. Thus, various
authentic exchanges that took place in the Atlantic encoun-
stages were expressions of forms of intelligence. This led to
ters, and creating a form of matter that would not bear the
notions of “how natives think,” or “prelogical mentality,”
weight of any human meaning of tradition or origination.
and the like. Such theoretical postulations were based upon
The fetish in Pietz’s description fits perfectly the kind of sig-
the normative structure and meanings of Western thought.
nifications that arise from transcultural contact zones.
Seldom were these issues of thought asked from within the
contact zones, where oppressive administrative colonial
Another phenomenon of such spaces is the cargo cult.
structures, Europeans, and non-Europeans carried on their
The term cargo cult was coined in 1923 in The Vailala Mad-
lives.
ness and the Destruction of Native Ceremonies in the Gulf Divi-
sion, a report by government anthropologist F. E. Williams,
Thus, cultural, literary, philosophical, and scientific lan-
to describe what he considered to be strange ritual phenome-
guages and discourses employing this supercessionary and
na among the population in Papua New Guinea. These ritu-
absolute language of temporality normalized a Western un-
als involved an interpretation of matter from within the con-
derstanding of the nature of the encounters with non-
tact zone. Although Westerners brought a wide variety of
Western peoples. Interwoven and concealed within these lin-
material products to Melanesia during the colonial period,
guistic productions were the actual and authentic relation-
their notion of matter was under the sign of inanimate prod-
ships that were taking place in the contact zones. Two
ucts whose value lay only in their potential for exchange. The
instances of the meaning of contact as it relates to the ex-
natives of Papua New Guinea understood matter and ex-
change of material products can be seen in the events and
change in very different ways. In addition, Westerners were
discourses surrounding the meaning of fetish and fetishism
accompanied by Christian missionaries, who preached a gos-
and the phenomena referred to as cargo cults.
pel of the inherent value of each human soul as the basis for
salvation. The natives of this area quickly perceived that
The fetish and fetishism became popular in European
though Christians preached a message of the salvation of
discourses of the eighteenth century as a definition of the ear-
human souls, they acted in terms of a soteriology based upon
liest form of religion. This definition and its usage was part
the accumulation and distribution of material goods. From
and parcel of a stadial evolutionary variation of supercession-
this perspective they were able to understand the strange and
ary history. The etymological origin of the word fetish is the
almost magical characteristics between money as a mode of
Portuguese feitico, which means “manufactured” or “fabri-
exchange, the inanimate nature of material products, and the
cated.” William Pietz, who has recently undertaken the most
hidden relationship obtaining between these items. Their re-
extensive research into the history of this term and its various
sponse to this conundrum was in the form of rituals involv-
usages in modern times, traces its beginning with the Portu-
ing Western made products, the cargo, and millenarian
guese to its usage by the Dutchmen Pieter de Marees and
hopes.
Bosman through a succession of other European writers, fi-
nally appearing in the work of the first historian of religions,
All forms of human expression, including language,
Friedrich Max Müller. It later becomes an important term
took on different forms within the contact zones. There were
in the writings on political economy of Karl Marx and in the
several languages: the language of the official colonizing cul-
theories of sexuality of Sigmund Freud. Given such a wide
ture, the original or indigenous languages, and languages that
range of significations and connotations, Pietz notes that,
were mixtures of the official and indigenous languages. These
mixed, creole, or pidgin languages were not simply deriva-
fetish has never been a component in a discursive for-
tives from the mixture but equally a system of communica-
mation. Fetish rather describes not societies, institu-
tion that was uniquely suited to render adequately the experi-
tions, or cultures but cross-cultural spaces. From this
ences of those who lived outside and underneath the official
standpoint, the fetish must be viewed as proper to no
historical field other than that of the history of the word
legitimated orders of officialdom.
itself, and to no discrete society or culture, but to a
Exchanges were not limited to languages, products, and
cross-cultural situation formed by the on-going en-
services; there were exchanges of sexualities as well. Ex-
counter of value codes of radically different social or-
changes of sexualities produced offspring of the mixtures in
ders. (1985, p. 11)
the contact zones. Every situation of contact included classes
At one level the fetish is about a new conception of matter
of persons resulting from the union of Westerners and non-
and materiality as these notions undergo transformations
Westerners. These “illegitimate” offspring became in turn
within the Atlantic world of exchanges and discourses. While
complex aspects of the communication systems of the other
the religious world of Christianity was predicated upon the
exchanges between dimensions of work, products, and sexu-
creation of all matter by God, a form of matter was necessary
alities. For example, Magali Carrera (2003) has demonstrat-
in the Atlantic that carried only an exchange and not an in-
ed how the complex mixtures of Spaniards, Indians, and Af-
herent value. The notion of the fetish, as originating in the
ricans in Mexico led to taxonomies of cultural valuation that
Atlantic encounters with radically different cultural notions
were expressed and normalized in a genre of casta paintings.
of the value of matter, developed into the language of the fe-
Exchanges were not limited to human expressions; in the
tish, which performed the dual roles of hiding the true and
United States human beings as enslaved persons were legally
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9297
defined as chattel and exchanged as property. This mode of
One might identify transculturation and contact zones
exchange created almost imponderable issues regarding defi-
as corollaries of a creole or a creolization process. The term
nitions and meanings of human freedom in a democratic so-
creole, from the Spanish criollo, was initially used to identify
ciety. One can see how various forms of fetishism enter into
persons born in the Americas but who claimed white Euro-
and serve to hide the true situation, often making it impossi-
pean ancestry. From this point of view, all of the “Founding
ble for the official linguistic traditions to deal with the mean-
Fathers” of the United States could be called creoles. The
ings and expressions that lie hidden within their legal and
term took on other connotations from within the situations
civil pronouncements.
of transculturation and the many “contact zones” through-
out the world. More often than not, it now refers to the pro-
Karen Fields’s Revival and Rebellion in Colonial Central
cesses and dynamics of the fluid improvisational meanings
Africa (1985) shows in a precise manner “how natives think.”
of cultures that express the survival, critique, and creativity
The “natives” were very capable of not only “living in,” but
of those who occupy these situations and sites.
also “thinking about” and reflecting upon their situation. As
over against an anthropological wisdom that Africans had no
The Martinican intellectual Edouard Glissant has pro-
objective knowledge of the forces determining their behav-
posed the term creolization to describe a more general philo-
ior, she shows that they not only possessed such knowledge
sophical stance of transculturation and contact zones. Such
but were capable of making creative, critical, and intelligent
a stance undertakes a critique of the official histories and the
use of it. Her book also enables us to see that within the con-
implicit notions of time and space embedded within them.
Glissant calls for a “creolization process” of relationship and
tact zone the cultural categories of the West are taken up and
relativity. In the introduction to Glissant’s Caribbean Dis-
reinterpreted in ways that give them a freshness and novelty.
courses, J. Michael Dash characterizes one of his positions:
In the search and desire for another source of power that is
“But the world can no longer be shaped into a system. Too
no longer derivative of traditional resources, nor simply ac-
many Others and Elsewheres disturb the placid sur-
quiescent to colonial authorities, the native in question, Sha-
face. . .Glissant is a natural deconstructionist who cele-
drack, saw the God of the Watch Tower Society as the foun-
brates latency, opacity, infinite metamorphosis” (Glissant,
dation for a critical and revolutionary meaning within the
1989, p. xii).
contact zone.
These works and several others of this genre are the re-
Another example of reason and intelligence from the
sult of serious questions asked from within contact zones
contact zone can be seen in Margaret J. Wiener’s Visible and
rather than from the ideologically normative positions of
Invisible Realms: Power, Magic, and Colonial Conquest in Bali
Western categories. While the term globalization is used to
(1995), which demonstrates the persistence of the meaning
refer to the various aspects of a worldwide capitalistic mar-
of the “other” and the invisible world of value and orienta-
ket-consumer system, the term might equally specify the
tion in the midst of contemporary life. She also makes clear
myriad contact zones throughout the world where Western
that Klungkung, the Balinese kingdom, did not anticipate
cultures and non-Western cultures have encountered each
the entrance into Western civilization as a heralded event.
other. In these in-between spaces inhabited by both, ex-
changes, violent and reciprocal, have taken place. From
John D. Kelly (1991) studied the meaning of virtue as
places such as these a more authentic sense of humankind’s
a value within the structures of imported indentured workers
place in the world might be forged.
from India on the island of Fiji in the early part of the twenti-
eth century. His discussion raises issues regarding the nature
of virtue when one wishes to be modern and at the same time
BIBLIOGRAPHY
appreciates the authentic limits placed upon one by tradi-
In On the Social Phenomenon of “Transculturation” and its Impor-
tance in Cuba, Fernando Ortiz opened the door to the signif-
tion. These issues bear upon the nature of work, sexuality,
icance of cultural contact through his studies of the forma-
kinship systems, and anti-colonialist organization and agita-
tion of the Afro-Cuban dimensions of Cuban culture. His
tion. This study from within a contact zone adds much to
publication, Tobacco and Sugar, translated from the Spanish
the range of the meaning of virtue. Michael Taussig’s The
by Harriet de Onis (New York, 1947) marks the first scholar-
Devil and Commodity Fetishism in South America (1980), fol-
ly usage of the term “transculturation.” The contemporary
lowing a neo-Marxist methodology, is able to show a new
study of cultural contact within an orientation of transcul-
valorization of the meaning of the devil from within the con-
turation as both a description and critique of colonialism and
texts of several contact zones in South America. Fernando
imperialism was initiated by Mary Louise Pratt’s Imperial
Cervantes’s The Devil in the New World: The Impact of Diab-
Eyes: Travel Writing and Transculturation (London, 1992).
olism in New Spain (1994) shows how this same figure of the
Pratt’s work served as a catalyst for other works published be-
fore and subsequent to her work, including Fredi Chiapelli,
devil brought by the Spanish missionaries developed in op-
ed., First Images of America: The Impact of the New World on
position, on the one hand, and in parallel, on the other hand,
the Old, 2 vols. (Berkeley, 1976). Henri Baudet’s Paradise on
to the understandings of the Aztecs. Cervantes’s thorough
Earth: Some Thoughts on European Images of Non-European
study lays the grounds for a mature notion of evil emerging
Man, translated by Elizabeth Wentholt (New Haven, 1965;
from the realities of the contact zone.
reprints, Westport, Conn., 1976, and Middletown, Conn.,
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TRANSCULTURATION AND RELIGION: AN OVERVIEW
1988), shows how travel leads to images of non-European
ford, 1967), is a good discussion of social time; it should be
peoples, even though these images are not based upon obser-
read along with Fabian’s work, cited above. Kathleen Bidd-
vation or perceptions. See also Nicholas Thomas’s Entangled
ick’s The Typological Imaginary: Circumcision, Technology,
Objects: Exchange, Material Culture, and Colonialism in the
History (Philadelphia, 2003) demonstrates how medieval
Pacific (Cambridge, Mass., 1991). Charles H. Long devoted
Christian time, later inherited by secular time, was based
a section of his Significations: Signs, Symbols, and Images in
upon the placement of Jews and Judaism in time and space;
the Interpretation of Religion, 2d ed. (Aurora, Colo., 1995),
this work should be seen as a counter to the kind of conjec-
to an understanding of cultural contact and religion. Arjun
tural history that produced a stadial theory of cultural devel-
Appadurai, ed., The Social Life of Things: Commodities in
opment as discussed in Ronald L. Meek’s Social Science and
Cultural Perspective (Cambridge, U.K., 1986), extends the
the Ignoble Savage (Cambridge, U.K., 1976). The relation-
meaning of transculturation to the nature and meaning of ob-
ship of time, travel, and literary images is explored in Peter
jects. The display and meaning that objects take in this pro-
Hulme’s Colonial Encounters: Europe and the Native Caribbe-
cess were enhanced by the “world fairs” that became interna-
an, 1492–1797 (London and New York, 1986; reprint,
tional exhibits for exotic and esoteric objects. Two important
1992). The philosophical justification and amalgam of
works discuss this aspect, Paul Greenhalgh’s Ephemeral Vis-
Christian time with secular time is the task of Karl Löwith’s
tas: The Expositions Universelles, Great Exhibitions, and World
From Hegel to Nietzsche: The Revolution in Nineteenth Centu-
Fairs, 1851–1939 (Manchester, U.K., 1988), and John Bur-
ry Thought, translated by David E. Green (New York, 1964;
ris’s Exhibiting Religion: Colonialism and Spectacle at Interna-
reprint, 1991).
tional Expositions, 1851–1893 (Charlottesville, Va., 2001).
One of the earliest reports of a contact site in a transcultural situa-
The impact of studies of cultural contact on the discipline
tion is F. E. William’s classic statement in The Vailala Mad-
of anthropology can be seen in Johannes Fabian’s Time and
ness and the Destruction of Native Ceremonies in the Gulf Divi-
the Other: How Anthropology Makes Its Object (New York,
sion (Port Moresby, Papua New Guinea, 1923). This report,
1983) and Nicholas B. Dirks, ed., Colonialism and Culture
which led to the notion of “cargo cults,” was followed by sev-
(Ann Arbor, Mich., 1992).
eral works, the most notable being Peter Lawrence’s Road Be-
The literature on travel as pilgrimage is extensive. Mary Helms’s
long Cargo: A Study of the Cargo Movement in the Southern
study of travel in Ulysses’ Sail: An Ethnographic Odyssey of
Madang District, New Guinea (Manchester, U.K., 1964) and
Power, Knowledge, and Geographical Distance (Princeton,
the following works by Kenelm O. Burridge: Mambu: A Mel-
1988) adds a new dimension to the meaning of travel and
anesian Millennium (London, 1960; reprint, Princeton,
the nature and quality of knowledge. Victor Turner’s analysis
1995) and Tangu Traditions: A Study of the Way of Life, My-
of Christian pilgrimage in Image and Pilgrimage in Christian
thology, and Developing Experience of a New Guinea People
Culture: Anthropological Perspectives (New York, 1978) speci-
(Oxford, 1969). A comprehensive study of this area is found
fies the ritual elements and processes within the structure of
in G. W. Trompf, Payback: The Logic of Retribution in Mela-
Christian pilgrimages. For discussion of medieval European
nesian Religions (Cambridge, U.K., 1994).
pilgrimages see, Christian Zacher, Curiosity and Pilgrimage:
Examples of historical empirical studies of contact zones include:
The Literature of Discovery in Fourteenth-Century England
for Africa, Karen E. Fields, Revival and Rebellion in Colonial
(Baltimore and London, 1976); Lionel Rothkrug’s several
Central Africa (Princeton, 1985); for Fiji, John D. Kelly, A
studies include “Popular Religion and Holy Shrines: Their
Politics of Virtue: Hinduism, Sexuality, and Countercolonial
Influence on the Origins of the German Reformation and
Discourse in Fiji (Chicago and London, 1991); and for Bali,
Their Role in German Cultural Development,” in Religion
Margaret J. Wiener, Visible and Invisible Realms: Power,
and the People, 800–1700, edited by Jim Obelkevich (Chapel
Magic, and Colonial Conquest in Bali (Chicago and London,
Hill, 1979); and Religious Practices and Collective Perceptions:
1995), which shows in stark relief how religious powers and
Hidden Homologies in the Renaissance and Reformation (Wa-
resources of an “invisible world” emerge and come to play
terloo, Ont., 1980).
decisive roles in the Dutch conquest of Bali. Magali Carrera’s
Two edited works on pilgrimage contain excellent articles with ex-
Imagining Identity in New Spain: Race, Lineage, and the Colo-
tensive bibliographies: Implicit Understandings: Observing,
nial Body in Portraiture and Casta Paintings (Austin, Tex.,
Reporting, and Reflecting on the Encounters Between Europeans
2003) demonstrates not only how the complex issue of race,
and Other Peoples in the Early Modern Era (Cambridge, U.K.,
class, and gender were managed but equally how they were
1994), edited by Stuart B. Schwartz; and Voyages and Visions:
normalized in domestic portraiture in the Mexican colonial
Towards a Cultural History of Travel, edited by Ja´s Elsner and
family. John Cowley’s Carnival, Canboulay, and Calypso:
Joan-Pau Rubiés (London, 1999)—see in particular Elsner
Traditions in the Making (Cambridge, U.K., 1996) describes
and Rubiés’s introduction: “Travel and the Problem of Mo-
how the carnival tradition becomes the container, expression,
dernity.” Daniel Defert’s “The Collection of the World: Ac-
and critique of an ongoing tradition in the Caribbean. Final-
counts of Voyages from the Sixteenth to the Eighteenth Cen-
ly, Fernando Cervantes’s The Devil in the New World: The
turies,” Dialectical Anthropology 7 (1982): 11–20, presages
Impact of Diabolism in New Spain (New Haven, 1994) and
the world fairs mentioned above in the works of Greenhalgh
Michael Taussig’s, The Devil and Commodity Fetishism in
and Burris. For a discussion of the tension in liturgical time
South America (Chapel Hill, N.C., 1980) present, on the one
that ensued in medieval societies under the impact of tech-
hand, theological ramifications of this Christian symbol in
nology and trade, see Harald Kleinschmidt, Understanding
a contact zone, and, on the other, the popular manifestations
the Middle Ages: The Transformations of Ideas and Attitudes
of this meaning as related to work and the economic system.
in the Medieval World (Woodbridge, U.K., 2000). Norbert
No discussion of transculturation or contacts zones can proceed
Elias’s Time: An Essay, translated by Edmund Jephcott (Ox-
very far without dealing with the issue of the fetish or what
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TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN CANADA
9299
is implied in the modern discourse about fetishism. The
commissioned by Henry VII in the late fifteenth century to
most profound researches on the fetish are those of William
seek out spices. By the end of the sixteenth century French
Pietz, whose essays have been published in several issues of
fishers and aboriginal peoples had established a lucrative
the journal RES: Anthropology and Aesthetics. These include:
trade in furs, laying the foundation for a staple trade that
“The Problem of the Fetish I,” RES 9 (1985): 5–18; “The
would continue to bring the French to the northern part of
Problem of the Fetish II: The Origin of the Fetish,” RES 13
the continent. The first permanent French settlements were
(1987): 23–41; and “The Problem of the Fetish, IIIa: Bos-
man’s Guinea and the Enlightenment Theory of Fetishism,”
established in Acadia in 1604 and Quebec in 1608. At the
RES 16 (1988): 105–124. The importance of Pietz’s research
time of their founding, France was undergoing a period of
is shown by the fact that it is made use of by Biddick (cited
religious revitalization. The counter-reformation had engen-
above) and constitutes a significant part of the discussion of
dered a firm association between an increasingly missionary
another important text dealing with issues related to contact
Catholic Church and the state, and all colonial ventures were
zones, Anne McClintock’s Imperial Leather: Race, Gender,
consequently required to carry Catholicism with them and
and Sexuality in the Colonial Context (New York and Lon-
to missionize among native peoples. Aside from a few itiner-
don, 1995).
ant priests among the Mi’kmaq of Acadia from 1604 to
Almost all of the above works state explicitly or imply theoretical
1613, active evangelization in North America was un-
or methodological positions. However, a few texts directly
dertaken by religious orders, beginning with the Récollets
set forth theoretical and methodological positions based
who arrived at Quebec in 1615, and then the Society of Jesus
upon transculturation and the contact zones. These include
(Jesuits) in 1625. French/aboriginal relations were relatively
Ashis Nandy’s The Intimate Enemy: Loss and Recovery of Self
amicable during this period, due to the fact that French set-
Under Colonialism (Delhi, 1983). Another text containing an
tlements were tied primarily to the trade in furs, an enterprise
unique interpretation and extension of thought is Vinay Lal’s
Dissenting Knowledges, Open Futures: The Multiple Selves and
that did not give rise to large-scale colonization and required
Strange Destinations of Ashis Nandy (New Delhi, 2000). Edo-
a level of cordiality among interested parties. Additionally,
uard Glissant’s Caribbean Discourse: Selected Essays, translat-
the French fostered alliances through the extension of trad-
ed by J. Michael Dash (Charlottesville, Va., 1989), comes
ing privileges to baptized aboriginals.
from a completely different experience of the contact zone,
and expresses many of the same meanings and styles as does
In 1627, the French crown transferred control of the
Nandy.
colony to the Company of New France, whose charter re-
quired the importation of four thousand French settlers with
CHARLES H. LONG (2005)
the services of priests, who would also evangelize among the
native population. Baptized aboriginals were to be afforded
the same rights as French citizens. Over the next quarter cen-
tury the Jesuits established missions among the Algonquin,
TRANSCULTURATION AND RELIGION:
RELIGION IN THE FORMATION OF MODERN
Montagnais, Abenaki, and to a lesser degree, Mohawk. The
CANADA
order assumed a prominent role in New France, due primari-
ly to the fact that it was the principle purveyor of education,
The history of modern Canada has been characterized by a
health care, and social assistance. Over time, much of this
concurrence of dichotomies typified by the ongoing discord
work would be undertaken by French and Canadian reli-
between French and English Canadians. This dichotomy,
gious orders of women, such as the Ursulines, who arrived
however, has been only one of a number of defining antithe-
at Quebec in 1639 and established a boarding school for
ses involving ethnicity, religion, and regionalism. Historians
French and native girls.
have long recognized the preeminent role of religion in the
formation of the nation, and the relationship of religion—
By 1700, France controlled most of North America,
particularly the churches—to the growth of the specific di-
aside from some parts of Newfoundland and the thirteen col-
chotomies that define the Canadian Confederation. The
onies. New France, however, was not isolated from the En-
churches, and religion more broadly, have been thoroughly
glish colonies; indeed, conflict between them began in 1613,
bound to the political, social, and cultural development of
when Samuel Argall sailed from Virginia and destroyed the
this nation whose designation of “dominion,” and motto,
French trading post on Mount Desert Island (in present-day
“from sea to sea,” are both taken from the seventy-second
Maine). In 1627, the Kirk brothers took Quebec, and main-
Psalm.
tained control of the colony until 1633; and in 1690, Wil-
THE CHURCHES. The relationship between churches and
liam Phips unsuccessfully attacked Quebec. French control
state in Canada was inaugurated in 1534, when Jacques Car-
began to wane with the conquest of Acadia by seven hundred
tier erected a cross at the Gaspé Peninsula around which he
New England soldiers in 1710. By the Treaty of Utrecht
and his companions knelt to pray. Cartier had sailed from
(ending the War of the Spanish Succession in 1713), France
Saint Malo, a French seaport connected with the transatlan-
surrendered Hudson Bay, Newfoundland, and Acadia (Nova
tic fishery that had emerged in the wake of the discovery of
Scotia); while maintaining control of the Saint Lawrence col-
cod stocks off the coast of Newfoundland by Giovanni Ca-
onies, Ile Saint-Jean (Prince Edward Island), and Ile Royale
boto (John Cabot) and his son Sebastian, who had been
(Cape Breton). The Treaty established two separate legal
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TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN CANADA
structures for the French Acadians and the Mi’kmaq popula-
tion balance. Between 1750 and 1800, English immigrants
tion in the region, and guaranteed freedom of religion to the
attempted to establish the Church of England, an effort that
Acadians in return for oaths of allegiance, which they refused
failed in Quebec, but succeeded to varying degrees in Nova
to take. The legal separation of ethnic groups was unstable,
Scotia, Prince Edward Island, Newfoundland, and what
given that trade, intermarriage, and missionization had creat-
would become Ontario. In 1758, for instance, the Nova Sco-
ed an Acadian community that lacked such distinctions. The
tia legislature instituted the Church of England, allowed free-
situation was epitomized by the request by the Acadians for
dom to Protestant dissenters, and prohibited Catholic priests
a ruling on whether a 1744 order placing bounties on
from ministering in the province. In 1769, Prince Edward
Mi’kmaq scalps applied to mixed-blood peoples. Frustrated
Island limited the rights of Roman Catholics, and by the
with resistance from an allied Acadian and Mi’kmaq popula-
turn of the century established the Church of England.
tion, the English began forcibly deporting the Acadians in
Following the American Revolution, seven thousand
1755.
loyalists claimed land in Quebec, where there were ninety
The Seven Years’ War (1756–1763) marked the end of
thousand French Catholics. Loyalist demand for constitu-
French control in North America, but colonial animosities
tional amendments resulted in the Constitutional Act of
had reached a pitch before the end of the war. On September
1791, which divided Quebec into two provinces: Upper and
13, 1759, the Canadians surrendered Quebec, following a
Lower Canada. The Act implemented elected assemblies, set
confrontation with the New Englanders on the Plains of
aside one-seventh of the land as clergy reserves for the sup-
Abraham. A year later, Montreal followed suit. Until the end
port of the Anglican Church, and stipulated that only Angli-
of the Seven Years’ War, the two cities were occupied by the
can ministers could perform marriages. Ultimately, however,
British. The treaty ending the war was signed in 1763; within
it effectively gave power in each of the Canadas to a leader-
a year, the colony was renamed the Province of Quebec and
ship that could override legislation passed by their assem-
the Royal Proclamation of 1763 established the administra-
blies. Upper Canada’s political elite, the Family Compact,
tion of the country. England had no clear policy toward the
was firmly allied with the Anglican Church, despite the fact
colony in the decade following the fall of Quebec. The Proc-
that Anglicans constituted a minority of Protestants in the
lamation was vague, apparently presuming that English im-
province (by 1800 there were, among others, Presbyterians,
migration would define the colony’s political, economic, and
Methodists, Quakers, Congregationalists, Lutherans, and
religious temperament; but a consistent policy was not artic-
Mennonites); and the Compact’s counterpart in Lower Can-
ulated during the 1760s due to the fact that England was po-
ada, the Chateau Clique, was controlled by the English and
litically unstable, with six administrations in the span of a
their French supporters. Popular rebellions were crushed in
decade. This haphazard mode of control was ended by the
both provinces in 1837 and 1838, and Lord Durham was
need to counter revolutionary rumblings in the thirteen colo-
dispatched from England to report on the causes of the un-
nies, and the result was the Quebec Act of 1774, the first
rest. His recommendations, which included the granting of
constitution created by a parliamentary statute for a British
responsible government, the union of the two provinces, and
colony. The Act inaugurated England’s “second empire,” a
the systematic assimilation of the French, resulted in the Act
period during which parliament became chiefly responsible
of Union of 1841. The Union created an inevitable tension
for imperial affairs. The Quebec Act guaranteed freedom of
between French Catholics demanding protection for their
religion to French Catholics in return for an oath of alle-
national distinctiveness, and English Protestants who began
giance that was modified to exclude potentially offensive ref-
to lobby for denominational equality in a definitively Protes-
erences to religion. The Coutume de Paris remained the civil
tant society (the secularization of clergy reserves in 1854, for
law of Quebec, while English law applied in criminal cases.
instance, was an offshoot of these efforts). Evangelicalism
There was no habeas corpus. The Act made no provision for
within both groups became prominent after 1840, as each
an elected legislature, and left the Canadians comparatively
sought to influence the fabric of Canadian institutions and
free of taxation. Many in the thirteen colonies regarded the
laws. Catholic energies were focused on French Canada,
Act as an assault, objecting to the creation of nonrepresenta-
while Protestants concentrated on the nation as a whole.
tive government, the “establishment” of Roman Catholicism
in the colony, and the prerogative assumed by the British
By the British North America Act of 1867, Ontario,
Parliament in its enactment. It is consequently cited as one
Quebec, New Brunswick, and Nova Scotia were united into
of the causes of the American Revolution. More critically for
a Confederation: the Dominion of Canada. Newfoundland,
Canada, it was the first British statute that conceded the pres-
Prince Edward Island, and British Columbia were identified
ence of multiple ethnic groups in a colony.
as “colonies or provinces” that could join the Confederation
by means of a joint action of their legislatures and the federal
At the time of the conquest of Quebec, French Catho-
parliament. A year later, the Imperial Parliament enacted the
lics represented 95 percent of the province’s non-aboriginal
Rupert’s Land Act, providing for the surrender of Hudson’s
population. Although a few thousand European immigrants
Bay Company land to England (Charles II had granted the
arrived after 1750, the influx of American loyalists instigated
entire territory surrounding Hudson Bay to his cousin Prince
by the Revolutionary War dramatically altered the popula-
Rupert and seventeen associates in 1670), and the subse-
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TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN CANADA
9301
quent transfer of the territory to the Canadian government.
come prominent by the late nineteenth century, a movement
No provision was made for the territory’s admittance into
motivated by the belief that social reforms would establish
the Confederation; it was regarded as a colony of a colony,
God’s kingdom, and that capitalism must be tempered by
a foundation that would perpetually cause western resent-
cooperation between business, workers, and consumers. The
ment toward central Canada.
United Church of Canada institutionalized the vision of the
Social Gospellers, and is acknowledged as having contributed
In one respect, the Dominion was the project of politi-
significantly to the development of the Canadian welfare
cians and advocates for a transcontinental railroad; and in
state.
this sense, the nation had a secular foundation. Still, Confed-
eration provided for substantial provincial autonomy in mat-
While Protestants generally pressed for the development
ters of religion, language, and education, provisions that ac-
of an English-Protestant nation, the Catholic Church was
knowledged the failure of the attempt, by means of the
engendering its own forms of social action. Catholic social
Union of 1840, to submerge French Catholic nationalism
action emerged in Nova Scotia in the 1930s in cooperative
within a dominant English political structure. The British
organizations like the Antigonish Movement that involved
North America Act addressed more fully the constitutional
fishers and farmers. In the late 1920s, Action Catholique be-
rights of religious minorities, than those of ethnic groups;
came prominent in Quebec, contributing to a general
yet, although the Act confirmed the rights of French Canadi-
growth of social and political awareness in the province.
ans, the Confederation itself did not mitigate their fear of
Many of its young members eventually assumed prominent
cultural eclipse within a prevailing English national culture.
roles in academia and the media in Quebec during what was
As early as 1871, for instance, the New Brunswick legislature
called the Quiet Revolution. Quebec underwent a dramatic
prohibited the teaching of religion and the use of the French
transformation during the 1960s, whereby a social order that
language in state-supported schools. During the same period,
had functioned relatively uninterrupted since the Union of
rival Protestant factions were creating coalitions that ex-
1841 was overturned. The Quiet Revolution profoundly al-
pressed a desire for the newly formed nation to assume an
tered the province’s social structure, where an Anglophone
Anglo-Protestant character. The move toward Protestant
elite had for over a century controlled the economy, and the
unification was widespread in Anglo-Saxon nations during
Catholic Church had assumed responsibility for protecting
the nineteenth century; but Canadian churches generally ac-
Francophone culture through education and social welfare.
complished the move earlier than others. Nineteenth-
In 1960, the Quebec government began nationalizing major
century intradenominational unions established a model that
industries, providing for the rise of trade unions, and assum-
was expanded following Confederation, and that ultimately
ing control of health, social welfare, and education. As the
resulted in the creation of the United Church of Canada in
Catholic Church lost control of these institutions, church at-
1925 (bringing together Methodists, Congregationalists, and
tendance plummeted.
many Presbyterians).
Declining church attendance ultimately affected not
The acquisition of the west aroused in many evangelical
only the Catholic Church in Quebec. Prior to 1950, two-
Protestant churches a millennial desire to extend “His” do-
thirds of Canadians attended a church on a regular basis; by
minion from one ocean to another, by assimilating immi-
1980, only one-third did so. Scholars have noted that evan-
grants into a dominant Protestant national culture. Compe-
gelical Protestantism and Catholicism, which had been as-
tition among denominations quickly became economically
sertive forces for more than a century, had ceased to inspire
unfeasible, and the need for a united response to the task lent
Canadians. In addition to the Quiet Revolution, an obvious
urgency to the movement for union. Interest in a national
reason for this decline was the fact that Canada’s ethnic com-
church was fueled also, in part, by the desire to influence leg-
position no longer lent itself to the traditional cultural duali-
islation, and by Anglo concern over increasing Roman Cath-
ty of English/French: by the early 1960s, over one third of
olic influence in politics, especially in Quebec. By 1902, a
the nation’s population did not identity with either group.
number of anti-Catholic associations were already in exis-
For Protestants in particular, any aspiration for a monolithic
tence whose aim it was to curb the expansion of Catholic in-
Protestant nation was simply anachronistic. Additionally, a
fluence. Unionists believed that a single Protestant church
transformation of higher education during the period may
would foster an Anglo-Protestant form of national unity, a
have contributed to the decline. Until the 1960s, most Cana-
sentiment that was expressed in the preamble to the United
dian universities and colleges were owned and managed by
Church’s 1908 Basis of Union, which described “a national
churches, but increased costs forced the churches to turn to
church with a national mission.”
government for subsidization, and provincial legislatures re-
Although no formal agreement was reached until 1925,
fused to support church-controlled institutions. Some
local Protestant churches in Ontario, the Maritime Prov-
closed, while others secularized. The trend toward seculariza-
inces, and the west began to initiate their own unions in
tion has continued, with the result that churches no longer
1908. The unions coincided with a general wave of social ac-
exercise direct influence over the public sphere. Many be-
tion in Canada within which churches were deeply implicat-
lieve, consequently, that religion has become a private phe-
ed. Among Protestants generally, the Social Gospel had be-
nomenon for Canadians, involving such things as belief in
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TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN CANADA
the supernatural, the questioning of life’s meaning, and insti-
1885. Riel was born at Red River (in what would become
tutional memory that draws them back to the churches for
the province of Manitoba) in 1844. He was Métis—a mem-
selective events (Bibby, 2002). The public role of religion,
ber of a community created by the Canadian fur trade, the
as typified by the churches, has been all but eliminated.
descendants predominantly of French Catholic men and ab-
original women. The Métis, and in particular, the Métis buf-
BETWEEN THE DICHOTOMIES. The churches have indelibly
falo hunt, were integral components of the society of the
marked the development of modern Canada. In this respect,
nineteenth century north-West until the transfer of the terri-
religion has played a key role in the creation of the nation
tory from the Hudson’s Bay Company to the Dominion.
but, since the 1960s, has ceased to pervasively define the
The transfer was badly managed, with the Canadian govern-
public sphere, nor to influence Canadians’ collective sense
ment initiating land surveys before the territory had been
of national identity. This aspect of religion in Canada has
formally transferred to the Dominion. Residents of the area
essentially revolved around a series of dichotomies: English/
around Red River (a large number of whom were Métis)
French, Catholic/Protestant, native/white, east/west (me-
were led to believe that existing land titles would not be
tropolis/hinterland). Within this framework of dichotomies,
acknowledged, and under the leadership of Riel formed a
another modality of religion has expressed itself from the
margins of the dominant culture and its various national vi-
provisional government to oppose the transfer without legiti-
sions. The impact of this religious mode upon the formation
mate attention to their grievances. Central to the negotia-
of modern Canada is not immediately discernable in tradi-
tions between Canada and Riel’s provisional government was
tional narratives of the nation’s religious history, but it has
the assurance of representative government and recognition
been, in many instances, profound. Although examples of
of land claims. The result was the Manitoba Act, which cre-
this form of religion are numerous (Grant, 1980), one of the
ated the province of Manitoba in 1870. Among other assur-
most significant instances is the religiously inspired leader-
ances, the Act guaranteed that land grants would be made
ship of Louis Riel in the North-West Rebellion of 1885. Riel
to all mixed-blood residents of the territory. In the immedi-
provides a vantage point from which to explore another rela-
ate wake of the creation of the province, Riel, the Métis, and
tionship between religion and the formation of Canada, one
the region’s aboriginal population found themselves very
that may well continue to have an effect on the nation during
much enmeshed in the Acadian pattern outlined above. Riel
its so-called secular period.
had expected to be a central figure in the transition of the
territory to a province, but instead, a warrant for his arrest
This relationship is imbedded in an abiding historical
was issued (pertaining to an execution that had occurred in
pattern foreshadowed by events in Acadia at the turn of the
the course of the Métis resistance), and the Ontario legisla-
seventeenth century. In 1610 a secular priest in Acadia, Jessé
ture subsequently placed a $5000 bounty on him. He was
Fléché, baptized the Mi’kmaq chief Membertou and twenty
a fugitive until 1875, when the federal government imposed
members of his family. Given that Fléché could speak no
a five year banishment. The Métis and aboriginals fared little
Mi’kmaq (and Membertou appears to have been under the
better. The Métis land base did not materialize, and they
impression that he was entering into a trading alliance),
were forced to migrate north and west as immigrants from
the legitimacy of these baptisms was called into question by
central Canada inundated the province. Meanwhile, Canadi-
the Church and by Jesuits who arrived in Acadia a year later.
an and American hunters were decimating the buffalo, which
To redress the problem, the Jesuit Enemond Massé availed
had been the foundation of both Métis and aboriginal life.
himself of the hospitality of the Mi’kmaq, choosing to live
The disappearance of the buffalo, in addition to epidemic
within the community and learn their language, a move
disease, and insufficient assistance to native peoples who had
made possible by a half century of previous goodwill between
signed treaties extinguishing land rights in return for re-
aboriginals and French fishers in Acadia, and that would de-
serves, led to starvation. Cree leaders petitioned the Canadi-
fine the nature of Jesuit/native relations in North America.
an government and Prime Minister John A. Macdonald, but
His residence among the Mi’kmaq was short-lived. In 1613,
received no replies.
the New Englander, Samuel Argall captured Acadia. During
the battle for control of the region, Gilbert Du Thet was shot
During his exile Riel began receiving visions, beginning
fatally, making him the first Jesuit to die in New France. Du
at Washington Cathedral in Washington, D.C., in 1875,
Thet was killed while manning a canon. The events of 1610
where the Holy Spirit anointed him “Prophet of the New
to 1613 to a great degree established a pattern within which
World.” His visions would ultimately map out a different
much of Canada’s subsequent history can be situated. The
kind of Canada. From his position between the dichotomy
pattern involves at least three distinct aspects: (1) a French/
of ethnicity, Riel perceived a creative space within which a
aboriginal foundation based on trade and Catholicism; (2)
new orientation emerged with the potential for a different
a violent English overlay that results in a French/English di-
kind of unified national body. This nation was defined be-
chotomy that takes precedence over the aboriginal founda-
tween the various Canadian dichotomies of ethnicity (En-
tion; and (3) the implication of religion in this dichotomy.
glish/French, native/white), religion (Catholic/Protestant),
and metropolis/hinterland. In respect to ethnicity, he envi-
This Acadian configuration is an especially apt model
sioned massive immigration of Italians, Poles, Belgians,
in respect to Louis Riel and the North-West Rebellion of
Scandinavians, converted Jews, and Germans who together
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TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN CANADA
9303
with the aboriginal population, the French, the Métis, and
have been prompted by news of successful Métis action, this
the “great Anglo-Saxon race” would each inhabit equal shares
resistance was in no way executed under the leadership of
of the nation’s territory, creating hybrid ethnicities. The Ger-
Riel. Nonetheless, contemporary authorities melded the re-
mans would, for instance, “make a new German-Indian
sistances, going so far as to accuse Riel at his trial of “arousing
world” (Morton, 1974, pp. 355, 366). Religion, too, was to
the Indians” and letting “loose the flood-gates of rapine and
undergo a radical transformation through which the dichot-
bloodshed” (Morton, 1974, p. 371). In the year following
omy of Catholic/Protestant would be subsumed by a new
the events of 1885, aboriginal peoples were increasingly mar-
universal Catholicism. “I wish to leave Rome aside,” he said,
ginalized from mainstream society. The Department of Indi-
an Affairs began to assume greater control over their lives,
Inasmuch as it is the cause of division between Catho-
a trend that continued for almost a century, and resulted in
lics and Protestants. . . . If I have any influence in the
wide-ranging regulation from education to the writing of
new world it is to help in that way and even if it takes
200 years to become practical. . .then my children’s
wills. An aboriginal pass system was introduced, effectively
children will shake hands with the Protestants of the
restricting native peoples to their reserves. This was justified
new world in a friendly manner. I do not wish these
by the contention that participation in the rebellion consti-
evils that exist in Europe to be. . .repeated in America.
tuted a violation of treaty agreements. Later “pass laws”
(Morton, 1974, p. 319)
adopted by the South African apartheid regime were pat-
terned on this Canadian model.
Finally, the dichotomy of metropolis/hinterland was recast
with Canada as the center of a new world. It was obvious to
As for the Métis generally (who were not afforded status
Riel that the territories, the hinterland of central Canada,
by the Canadian government until 1982), the community
would be the fulcrum of this new order: “although the Prov-
became virtually invisible to the dominant culture. Many
ince of Ontario is great it is not as great as the North-West”
changed their names, others immigrated to the United
(Morton, 1974, p. 321). The north-West was also to be the
States, some moved onto native reserves, while others moved
seat of a new Roman Catholic church, with Saint Boniface
northward. It seems that Riel’s religiously-inspired rebellion
(present-day Winnipeg) as the new Rome, the Métis as the
did not immediately inform the creation of modern Canada,
new “sacerdotal people,” and A. A. Taché, archbishop of
except insofar as it solidified a basic Canadian pattern that
Saint Boniface, the new pontiff. The removal of the papacy
would inform the nation’s next century.
from Rome was warranted by the simple fact that “Rome did
THE TWENTY-FIRST CENTURY. Turning to Canada a centu-
not pay attention to us” (Morton, 1974, p. 322). Ultimately
ry after the hanging of Riel, a number of dramatic alterations
it was clear to Riel that with all these transformations, Cana-
in this pattern have occurred. First, as church historians have
da was to “become one of the most prosperous centres of the
noted, the nation has become secularized, and increasingly
world, thanks to God” (Flanagan, 1974, p. 26).
Canadians no longer associate themselves with the churches
Driven by this vision of a new Canada in which existing
that informed so much of the nation’s development. Addi-
dichotomies would be rendered meaningless, Riel led a sec-
tionally, the delicate antagonism between English and
ond Métis rebellion against the Dominion in present-day
French entered into a new phase in the final decades of the
Saskatchewan in 1885. It coincided with similar uprisings
century, through which their ongoing dichotomous relation-
from the region’s aboriginal population, and both resistances
ship could well be dissolved. On October 16, 1970, the fed-
were crushed by Dominion forces. Riel was tried and found
eral government declared the War Measures Act (a presump-
guilty of high treason, and was hanged on November 16,
tion of virtually unlimited power) in response to the
1885. Riel’s religiously inspired resistance to central Canada
kidnapping of British senior trade commissioner, James
seemed to have little effect on the formation of the nation,
Cross, and Pierre Laporte, a Quebec cabinet minister. The
beyond apparently intensifying an existing historical pattern
kidnappings and subsequent murder of Laporte were attri-
of an English Protestant/French Catholic dichotomy and an
buted to the Front de Liberation du Québec. Although the
increasingly marginalized aboriginal and Métis community.
events of October 1970 did not initiate further efforts to se-
The hanging of Riel fueled the French press and leadership,
cure an independent Quebec through violence, the question
who found common cause with Riel’s French ancestry, and
of separation remained a serious political issue, culminating
accused the English of ethnic prejudice and religious fanati-
in the election in Quebec of the separatist Parti Québecois
cism. Reaction among English Canadians quickly turned to
in 1976, and two narrowly rejected referendums on sover-
an anti-Quebec sentiment, and amplified calls for national
eignty in 1980 and 1995. Additionally, constitutional
unity based on Anglo-Protestant patriotism. The execution
changes have created a context for the assertion of aboriginal
has been linked to subsequent attacks on French Catholic ed-
and Métis land claims, which are only beginning to be felt.
ucation, resistance to the creation of French divisions in the
The Constitutional Act of 1982 (through which Canada
world wars, and opposition to the institution of official bilin-
gained its own constitution) vaguely recognized “existing”
gualism after 1960.
aboriginal and treaty rights, and recognized the Métis as ab-
original peoples. Land claims recognition has been slow but
In 1885 aboriginal grievances were not the same as those
profound. In the mid-1990s, for instance, Donald Marshall
of the Métis, and although at least two native actions may
was found guilty in the Nova Scotia Court of Appeal of fish-
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TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF THE MODERN CARIBBEAN
ing eels illegally. A team of lawyers (four of whom were
for the continued role of religion in the formation of a twen-
Mi’kmaq) took the case to the Supreme Court of Canada,
ty-first century Confederation.
and in 1999 the Court upheld Marshall’s right to catch and
sell fish in accordance with treaties ratified in 1760 and
BIBLIOGRAPHY
1761. The same year that the constitution was patriated, the
Bibby, Reginald W. Restless Gods: The Renaissance of Religion in
Constitutional Alliance of the Northwest Territories was
Canada. Toronto, 2002.
formed to press for the division of the Northwest Territories
Campeau, Lucien. La mission des jésuites chez les Hurons 1634–
into two distinct territories. The subject had been discussed
1650. Montreal, 1987.
for a number of decades, and on April 1, 1999, the central
Choquette, Robert. Canada’s Religions. Ottawa, 2003.
and eastern part of the territories (a region constituting near-
Dickason, Olive Patricia. Canada’s First Nations: A History of
ly one-fifth of Canada’s land mass) was established as the ter-
Founding Peoples from Earliest Times. Toronto, 1992.
ritory of Nunavut, marking the largest aboriginal land claim
Flanagan, Thomas. “Louis Riel’s Religious Beliefs: A Letter to
settlement in Canadian history. The creation of Nunavut ef-
Bishop Taché.” Saskatchewan History 27, no. 1 (1974):
fectively gave the population (85% Inuit) control over edu-
15–28.
cation, health and social services, and the management of
Flanagan, Thomas. Louis “David” Riel: Prophet of the New World.
natural resources. In September 2003, the Supreme Court
Rev. ed. Toronto, 1996.
overturned an earlier conviction of Métis Steve Powley for
hunting illegally. In the landmark ruling, the court declared
Grant, John Webster. “Missionaries and Messiahs in the North-
west.” Sciences Religieuse/Studies in Religion 9, no. 2 (1980):
that Powley could exercise the right to hunt without a license
125–136.
on the basis of the definition of the Métis as “aboriginal” in
the Constitution of 1982 (council for Powley included law-
Grant, John Webster. Moon of Wintertime: Missionaries and the
Indians of Canada in Encounter since 1534. Toronto, 1984.
yer Jean Teillet, great-great-grandniece of Louis Riel).
Miller, J. R. Skyscrapers Hide the Heavens: A History of Indian-
As Canada entered the twenty-first century many as-
White Relations in Canada. Rev. ed. Toronto, 1991.
pects of the national pattern of English overlay on an aborigi-
Moir, John S. Church and State in Canada, 1627–1867. Toronto,
nal/French foundation were disintegrating, while longstand-
1967.
ing dichotomies were reshaping the national landscape.
Moir, John S. The Church in the British Era. Toronto, 1972.
What might now be said of Louis Riel, who was religiously
inspired to conceive of the nation in a radically different way,
Mol, Hans. Faith and Fragility: Religion and Identity in Canada.
but whose life seemed to have accomplished little beyond the
Burlington, Ont., 1985.
reification of the established order? This man was situated
Morton, Desmond. The Queen v Louis Riel. Toronto, 1974; re-
in the space between the dichotomies of ethnicity, was called
print, New York, 1992.
by God to break with Rome and refashion a new universal
Murphy, Terrence, and Roberto Perin. A Concise History of Chris-
Catholicism, envisioned the geographical center of Canada
tianity in Canada. Toronto, 1996.
as the defining center of the nation, and was tried and exe-
Rawlyk, George A. The Canadian Protestant Experience, 1760 to
cuted as a Canadian traitor. Yet, a statue of Riel now graces
1990. Burlington, Ont., 1990.
the grounds of the Manitoba Legislature, and an accompany-
Reeves, Ted. Claiming the Social Passion: The Role of the United
ing plaque reads: “In 1992, the Parliament of Canada and
Church of Canada in Creating a Culture of Social Well-Being
the Legislative Assembly of Manitoba formally recognized
in Canadian Society. Etobicoke, Ont., 1999.
Riel’s contribution to the development of the Canadian
Riel, Louis. The Collected Writings of Louis Riel/Les écrits complets
Confederation and his role, and that of the Métis, as found-
de Louis Riel. 5 vols. Edited by George F. G. Stanley. Ed-
ers of Manitoba.” Riel is the hero of over twenty plays, an
monton, Alberta, 1985.
opera, radio and television dramas, novels, poetry, music,
Voisine, Nive, ed. Histoire du catholicisme québécois. Vol. 2: Les
cartoons, and a comic book. He is the only Canadian public
XVIIIe et XIXe siècles; and Vol. 3: Le XXe siècle. Montreal,
figure whose writings have been published in their entirety
1984–1991.
(Riel, 1985), a project undertaken jointly by the federal gov-
Westfall, William. Two Worlds: The Protestant Culture of Nine-
ernment and a number of universities to mark the one hun-
teenth-Century Ontario. Kingston, Ont., and Montreal,
dredth anniversary of Riel’s execution; in recent years, he has
1989.
emerged as a national hero, especially, among English-
JENNIFER I. M. REID (2005)
speaking writers. Riel has been called a mythic figure, a mad
messiah, a prophet, a savior, a mystic, a visionary, a Canadian
Joan of Arc, a saint, and a martyr. Such frankly religious lan-
guage is not accidental. As scholars announced the triumph
TRANSCULTURATION AND RELIGION:
of secularization and the privatization of religion in Canada
RELIGION IN THE FORMATION OF THE
at the end of the twentieth century, Riel was simultaneously
MODERN CARIBBEAN
emerging as a religious figure implicated in the meaning of
Ciboney, Arawak-speaking Taíno, and Carib Amerindians
a changing nation. As such, he may well constitute a resource
crisscrossed the islands of the Caribbean archipelago for a
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9305
millennium prior to the arrival of Europeans. Columbus
through the modern exodus to globalized cities such as New
learned from the Lucaya, a subgroup of the Taíno, that the
York; and in Brazil, the forging of a new religion in the con-
island in the Bahamas where he first alighted was named
tact zone out of the cross-fertilization of religious ideas from
Guanahani. He nevertheless christened (and Christianized)
Africa and Europe. All four cases address the issue of recep-
it as San Salvador before taking six Lucaya back to Spain as
tion and change—how ideas, objects, and people produced
exotica to present at court in 1492—the first transcultura-
in one place take on new meaning when displaced, circulat-
tion between Europe and the Caribbean. In 1493 the second
ed, and rerooted in new soil in new ground.
voyage carried sugar cane from Europe to Hispaniola (Isla
The entry does not give an exhaustive account of the re-
Española), and the Taíno gave Europe tobacco in return—a
gion but rather illuminates key processes through select ex-
further and consequential moment of transculturation. By
amples. As the inclusion of Brazil indicates, this essay is on
1501 Nicolás de Ovando, governor of Hispaniola, ordered
the “big Caribbean,” defined not only by territorial contigu-
the delivery of the first Africans (Spanish-speaking Ladinos
ity but also by shared social history.
already enslaved in Iberia) to the New World. The Africans
replaced dying Amerindians in the gold mines in a third mo-
TRANSCULTURATION AS A CARIBBEAN PRODUCT. The term
ment of transculturation, in which the powers guiding all fu-
transculturation is itself an intellectual product of the Carib-
ture exchange became transparent.
bean, appearing in Fernando Ortiz’s Contrapunteo cubano del
Thus began the recurrent economic and social pattern
tabaco y el azúcar (Cuban counterpoint: Tobacco and sugar),
that created the Caribbean, built from its florid exploitation
first published in 1940. Ortiz proposed that the new word
and from the regular resistance to it. Already in 1511 the
was superior to acculturation (a term especially associated
Taíno had rebelled against the new order on Puerto Rico,
with Melville Herskovits) because it did not imply a unilineal
and Africans on Hispaniola revolted not long after in 1521.
process of adopting a new culture—the idea that the former
slate is completely erased before the new one is written. Rath-
Three centuries later, following the abolition of slavery
er, it suggested the nuances of culture loss or deracination;
in the British holdings of Jamaica and Trinidad in 1834, East
as such, losses and the responses to them continue to inform
Indians and Chinese were imported en masse as indentured
the experience of the new situation. It also connoted the only
workers to labor next to or as overseers of Africans. Here was
partial and fragmentary assimilation of a new culture as well
yet another moment of transculturation, bringing new rites
as the completely novel creations that were bound to arise
and new gods: Ka¯l¯ı, Hanuma¯n, Laks:m¯ı, and Ra¯ma. Indian
in what Ortiz called “neo-culturation.”
deities were now ritualized in the same zones as African or-
ishas, and the signs and symbols of European Masonic secret
More important than this semantic dexterity was the
societies shared the same space as those of Afro-Cuban cabil-
way Ortiz wrote about culture in the history of Cuba, as the
dos.
process of human interaction with and thinking through the
material resources at hand. Tobacco and sugar in Ortiz’s
During the intervening centuries, a solid social template
hands became nothing less than a total semiotic system of
emerged from between the same grinding continental plates
contrasts through which the world was humanly experi-
that had thrust up Caribbean volcanoes. Europeans ruled
enced. For example, whereas tobacco recalls magic and is im-
over slaves whose labor produced sugar, the source of wealth
mutably dark, sugar connotes the commodification of a
that built the palaces of Antwerp and Versailles and foment-
product born brown, then standardized to become white. In
ed the Industrial Revolution of England. Yet if the lands of
Ortiz’s view, the material products of the island provided the
the Caribbean took on a shared economic form in the first
lens through which issues of race and religion were perceived,
global economy, they also developed unique religious pat-
contemplated, worked, and transformed.
terns in accord with the particular objects, ideas, migrants,
and languages that arrived at each place. Even when those
If tobacco and sugar could be detached from their status
objects, ideas, and peoples were similar, they were adopted
as mere agricultural products to be recirculated as a symbolic
by different means and with varying effects as they were re-
system of meanings applied to every domain of experience,
ceived and made to signify in relation to specific landscapes,
no less are the deracinated people of the Caribbean transcul-
needs, histories, and contexts of implementation.
tured through their interactions with each other and with the
products through which they know and make themselves.
This essay proceeds by first examining the term transcul-
turation as itself a product of the Caribbean. It then considers
CUBA: MATERIAL NICHES OF REMEMBRANCE IN THE CON-
four cases of religious transculturation: Cuba, Jamaica, Saint
TACT ZONE. Most prominent among distinctively Cuban re-
Vincent, and Brazil. For each case, a different issue of trans-
ligions is Santería. The name of Santería, implying the devo-
culturation is interpreted: in Cuba, the material and tempo-
tion to saints by santeros, was an innovation of the 1930s
ral niches in which old religions were received, remade, or
initiated by the Afro-Cuban scholar Romulo Lachatañeré.
lost; in Jamaica (and Rastafarians), the problem of indigeniz-
The new moniker was intended to counter state witch hunts
ing English, the colonial idiom, to make it able to “speak”
levied against what was popularly called witchcraft (brujería)
religiously; in Saint Vincent, the phenomenon of physical
by granting the religion a more legitimate, Catholic reso-
emigration and the shifts in Garifuna religion that occur
nance. Hence the very naming of the religion, which has real
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effects on religious practice, stands as testimony to the inter-
banners and chromolithographs depicting a lightning strike
action between religion and political power.
(in Catholic hagiography Barbara’s father was struck by
lightning) provided a semiotic set into which Changó, a deity
Whether called Santería or La Regla de Ocha (The Rule
of lighting whose colors are red and white, could visually be
of the Orisha), the religion derived from the quest of African
integrated. Therefore devotees of Changó were able to cere-
slaves to reconstruct a shared religion out of disparate African
monialize and cognitively retain his memory. Many of the
traditions, which had been lumped together in the new terri-
gods found no such fit, no material or calendrical niches of
tory. The great majority of African slaves disembarked in
remembrance, and these gods died with those who last car-
Cuba were set to work on giant sugar plantations, especially
ried and incorporated them.
after the Haitian revolutions that began in 1791 and left
Cuba the dominant world supplier of sugar. In the cities,
Condensation was one process, and aesthetic innovation
however, especially Havana and Matanzas, a thriving free
was another. The aesthetics of African royal power had to be
black society grew up in the niches of the slave economy.
transferred to the idiom of European finery adopted from the
Out of these came black Catholic cabildos and cofradías, the
Spanish colonial court. Santería initiates undergoing the day
councils and brotherhoods that, under the mantle of their
of enthronement and public display were (and are) dressed
devotion of Catholic saints, offered sites of mutual aid. By
in long gowns of fine silk brocades and lace that emulated
1800 there were cabildos of fourteen different African “na-
Spanish royalty but also served as memory bridges to recall
tions,” each with its own king and queen, flag, and house.
African royalism. Likewise, the containers (sopera) of sacred
These were veritable rebuilt African monarchies, albeit with
stones that served as indexes of the sacred union between ini-
few temporal powers, in which the devotion to African gods
tiated persons and the orisha, were in many cases of fine por-
could be remembered and recreated. Preeminent among the
celain, another European import applied to ritually sustain-
nations were the Yoruba, who were brought in great numbers
ing the memory of Africa.
after 1790 and carried with them a mythically rich, colorful,
The importance of such transcultured ritual objects is
compelling pantheon of gods called orisha (Yoruba ori-se, lit-
revealed by the periodic persecutions that were suffered by
erally “head-source”). Also prominent were the Kongo peo-
practitioners of Santería, in which invasions of cult houses
ples, who comprised by far the largest group of slaves
focused on the confiscation of objects such as drums, cloth-
brought during the trade’s first three centuries. These created
ing, scepters, and the vases and porcelain bowls that held the
another distinct Afro-Cuban religious lineage, Palo Monte.
iconic seats of the saints. Similarly transcultured material
Palo invoked spirits of central West Africa, called minkisi,
niches were also created in the Kongo legacy of Palo Monte.
and contracted them to the living ritualizer through “bind-
The palos (sticks) assembled in a cauldron signify a contract
ing” and “enclosing” their symbols in cauldrons, bottles, or
of power between a practitioner and an ancestral spirit, but
bundles.
they also contain a specific Cuban history within them. They
In every case, the religion had to be reconstructed out
recall the palisades (defenses built of sharpened sticks) run-
of the available materials and within the limited available
away slave communities erected for their protection from
spatial and temporal niches presented by colonial Cuba.
slave hunters. Those palisades have now been transcultured
West African religious were based above all in ritual practices
to serve the purpose of protecting their users in contempo-
choreographed out of a vast and complex set of iconic, culi-
rary urban centers.
nary, musical, sartorial, and spatial cues. The gods were pres-
JAMAICA: TRANSCULTURING SPEECH IN THE CONTACT
ent only insofar as they could be rendered present through
ZONE. Named from the Arawak word Xayaca (Land of
ritual work correctly executed to produce spirit possession.
Wood and Water), Jamaica has loaned its soil to manifold
This meant that the gods that did not fit the niches presented
ethnic groups. Arawak and then Carib Amerindian societies
were eventually lost, forgotten, or rendered superfluous. For
were followed by Spaniards, Africans, the British, and then
example, the African gods related to agriculture remained
Asians. Africans were brought and set to labor by 1513, and
important in Haiti because the religion of vodou emerged
during the late 1600s Jamaica’s sugar production was the
in a peasant farming society of small landholders after the
most advanced in the Caribbean. Following emancipation in
revolution. Yet the analogous deities became largely inconse-
1834, Great Britain tapped another of its colonies for thirty
quential in Cuba and Brazil, because Santería and Candom-
thousand East Indians who were imported as laborers. Hence
blé took shape in and around cities where agriculture was not
diverse religious expressions converged and combined: Myal
a pressing concern of everyday experience.
and Obeah (the latter derived from the West African Ashanti
word obeye, meaning sorcerer); central African-derived
A progressive condensation and canonization of a rela-
Pukumina; the indigenized Christianity of Zion Revivalism;
tively fixed set of orishas took shape. The Afro-Cuban Catho-
and during the twentieth century, Rastafarianism.
lic confradías celebrated these orishas in the temporal and ma-
terial niches available under slave law. For example, Changó,
In its simplest form, Rastafarianism viewed the crown-
the orisha of kingship, lightning, and male seductive power
ing of the new Ethiopian emperor, Haile Selassie (1892–
was (and is) celebrated on December 4, the day of the Catho-
1975), as the arrival of a new messiah, a Black Christ who
lic calendar devoted to Santa Barbara. Her red and white
would lead black Jamaicans back to Africa. Indeed, this
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9307
projected return was to be the salvation of the people. Rasta-
Rastafarianism is practiced in a variant of English is precisely
farianism presented a fusion of diverse factors: revival mille-
that which aided and abetted its global dissemination as a
narianism; Marcus Garvey’s (1887–1940) back-to-Africa
Pan-African symbol. This was accomplished above all
movement; Jamaican urbanization, industrialization, and the
through reggae, disseminated during the 1970s by Bob Mar-
creation of an urban underclass; an Ethiopianism inspired by
ley, Peter Tosh, Jimmy Cliff, and others as well as through
Garvey applied to a selective reading of the Hebrew Bible;
the aesthetic codes rendered fashionable through the popu-
the timely ascent of Haile Selassie—or Ras (Prince) Tafari—
larity of that music. At the beginning of the twenty-first cen-
as emperor of Ethiopia in 1930; and the inversion of key
tury African identity is commonly expressed in Bahia, Brazil,
markers like dreadlocks and ganja (marijuana) use from out-
Bronx, New York, and Port of Spain, Trinidad, through the
cast symbols to expressions of defiant power.
colors, flags, clothes, music, and hairstyles of Rastafarianism.
In this sense, the English language as a transcultured linguis-
Any of these elements moreover can be further divided
tic object cuts in two ways: dissented from, it also allows for
into more complex transculturations. Garvey’s message was
that dissent to travel and be heard.
a product not only of his Jamaican birth but also of his trajec-
tory passing through Central America, Europe, Africa, and
THE GARIFUNA: TRANSMIGRATION AND THE MULTIPLYING
most important, the Pan-African centers of Harlem and
OF CONTACT ZONES. The Garifuna stand as the finest exem-
Paris. The adoption of dreadlocks in the late 1940s may have
plars of the simplest cause of transculturation: human migra-
imitated one or all of several influences: Kenya’s anticolonial
tion. An ethnic group born on the island of Saint Vincent
Mau Mau revolt against the British in the 1950s, the emula-
in the seventeenth and eighteenth centuries through the ex-
tion of the styles of East Indian ascetics, or the Youth Black
change between African and Carib groups, they were initially
Faith movement of the 1940s that was indigenous to Jamai-
known as the Black Carib. They were deported en masse by
ca. Similarly, ganja arrived with East Indian laborers before
the British in 1797 to the coast of Central America. In addi-
being adopted by revival millenarianism and later Rastafari-
tion to their own Arawak-derived language, many also spoke
anism as a key component of its “reasoning” rituals, in which
French and English, a repertoire to which they rapidly added
it was used to inspire impassioned exchanges of religiopoliti-
Spanish. Garifuna religion reflected these transmigrations,
cal speech.
including elements of African, Amerindian, and Roman
Catholic Christian belief and practice. During the nine-
It is such idiosyncratic speech that is the key transcul-
teenth century, the Garifuna emigrated up and down the
tured marker of Rastafarianism. Because standard English is
Central American coast of the Caribbean by canoe as dedi-
regarded as a colonial and compromised tongue and yet is
cated traders and travelers and in the process settled in some
the sole language of most Jamaicans, Rastafarian practition-
forty villages from Nicaragua to Belize.
ers developed a means of at once distancing themselves from
that language even as they worked through it by communi-
That relative territorial stability changed dramatically in
cating in the dialect of “dread-talk.” This occurs through
the twentieth century, during which time a third of Garifuna
multiple linguistic innovations. In the first, terms of standard
emigrated abroad, especially to the United States. The phe-
English are varied or endowed with new meanings (e.g., rea-
nomenon of frequent migration and returns, related to con-
son, for ritually inspired discourses; chalice, for the pipe used
temporary labor patterns, had two dramatic effects on the re-
to inhale the smoke of the herb; and bald-tail, for shorn, un-
ligious life of the Garifuna and by extension of the Caribbean
enlightened non-Rastas). A second innovation is playing
region in general. One effect is the burgeoning Protestant
with standard words, which are altered in relation to phono-
neo-Pentecostal affiliations. Employing high-tech sound sys-
logical implications, such as politricks (politics), live-icate (as
tems, formal dress codes, and dramatic preaching styles,
opposed to dedicate), or jollification (enjoyment). The most
these neo-Pentecostal groups emulate—and are often funded
important revision of standard English occurs in the creation
by—U.S. denominational patrons. The second effect is the
of I-words: Ital (natural), Irie (truth), I-ration (creation), I-
revivalist acceleration of discourses and practices of tradition-
thiopia (Ethiopia), plus the reference to oneself and others
al ritual events, whose meanings are transformed in the pro-
as “I and I.” Explanations for the invocation of “I and I” in
cess of being revived. For the Garifuna, traditional ancestor
dread-talk include: (1) the refusal to make a subject of anoth-
rituals that were once simply considered indigenous to them-
er person, hence the use of only first person address; (2) the
selves are increasingly understood as African in origin. As
verbal expression of the idea that one is never utterly separate
Garifuna migrants to U.S. cities have been exposed to the re-
from God (Jah) or from other persons, hence always “I and
ligions of their neighbors, such as Cuban Santería, Haitian
I”; and (3) the rejection of the term me, which connotes slave
vodou, Trinidadian orisha, and Puerto Rican Santerismo,
speech and subservience compared with I, a term of agency
they begun to view their religion in relation to that set and
and choice.
to perceive themselves as members of the religious African
diaspora.
Whereas English was the language given to members of
the urban underclass in Kingston, the Rastafarian communi-
The two new directions of Garifuna religious change—
ty transcultured it to signify distinction from rather than in-
toward Pentecostal modernity and reformed tradition—are
clusion in the British linguistic legacy. Yet the fact that
not socially bifurcated but rather work in tandem, because
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TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF THE MODERN CARIBBEAN
they signify over and against and in rivalry with each other.
In the contact zone, religious identities take on force
Both proffer membership in global networks rather than
through boundary work, that is, the marking and parsing of
local, village-based ones, and both are reliant on modern
differences and similarities between a given religion and its
technologies of semiotic reproduction (e.g., videos, compact
neighbors. So Candomblé also began to be defined by its re-
discs, books, and magazines) as they compete for adherents
lation to, resistance against, and adaptation from other popu-
in the marketplace of identities and for recognition from
lar Brazilian religious expressions, such as French-descended
state and international authorities. The Garífuna, like practi-
spiritism.
tioners of other religions in the Caribbean region, are in the
Spiritism arrived in Brazil in the late nineteenth century
process of mastering and transculturing new objects of mo-
via the teachings of Allan Kardec, also known as Hippolyte
dernity to make them their own: communication systems,
Léon Denizard Rivail. Its popularity derived from its healing
recording devices, legal documents, and other devices of
techniques, enacted through mediums in ways as emotional-
“making history” in rationalized forms that can be used for
ly compelling as they seemed scientific. For spiritists, medi-
pedagogy and legal defense. For the Garifuna, as elsewhere
ums became effective healers when possessed by more an-
in the Caribbean, there exists a growing sense that local reli-
cient, enlightened souls. In the twenty-first century the
gion must be given global range—witnessed to, recorded,
mediums dress in white or blue medical clothing to offer pas-
publicized, discursively defended, and disseminated—to ac-
sos (passes) over the bodies of their subjects, moving their
quire exchange value in the marketplace of religions. Other-
hands over the skin to attract negative vibrations to their own
wise, they risk losing their place.
hands and cast them into the air. The healing spirits come
Through migrations of the last generation, some Carib-
from members of civilizations considered to be evolved—
bean religions of the region like Santería have already become
doctors or healers from Europe, ancient Egypt, or the Aztec
sophisticated transnational religions with a solid footing in
Empire. Sickness is regarded as obsession, and the ritual in-
legal and academic settings. Others, like practitioners of the
tervention is a disobsession wherein one medium incorpo-
ancestor religion of the Garifuna, remain ambivalent in rela-
rates the obsessing spirit, while other mediums use their
tion to such processes of deliberate transculturation and what
evolved entities to advocate for their client’s release. Meet-
hidden risks they may hold.
ings reflect a high degree of rational bureaucratic organ-
BRAZIL: MAKING NEW RELIGIONS IN THE CONTACT ZONE.
ization.
Like Cuban Santería, the Afro-Brazilian religion of Candom-
The Afro-Brazilian religion of Candomblé and French-
blé traces its origins to one of the city-states of the Yoruba,
derived Spiritism transcultured each other. Spiritist groups
Dahomean, or Kongolese peoples of West and West Central
were inspired by the African deities of Candomblé, and Can-
Africa. It was forcibly brought to Brazil during the Portu-
domblé groups were rationalized in similar ways to spiritism.
guese slave trade over four centuries. As in Santería, Can-
Adopting elements of both, Umbanda is the result of the
domblé reconstructs a link to Africa through the reverence
convergence of these two groups into a new, national reli-
of deities (orixás) to generate power, or axé, for human use
gion. Umbanda was born in the industrializing south of Bra-
in its most worldly forms—luck, fertility, wealth, prestige,
zil in the 1920s. It shared aspects with Candomblé (such as
and health.
possession, specific drumming patterns that call the spirits
Axé can imply transformative capacity, charisma, fecun-
and orixás as heads of spirit divisions) and with spiritism
dity, success, or physical force like electricity. As a quality of
(such as the manifestation of spirits of the dead for the pur-
a house or a drum, however, it connotes tradition, lineage,
pose of consultation and healing and a rigid hierarchy of
and legitimate foundations. Producing axé entails a series of
more and less evolved spirits).
material practices that contain, enclose, and bind the elusive
Umbanda spirits are organized hierarchically in a com-
axé into loci (e.g., altars, vases, heads) from which its force
plex system of seven lineages, called phalanxes, each headed
can be received and redistributed. The techniques and tools
by an orixá or saint. One kind of spirit of light is the caboclo,
of condensing and containing axé are known as the founda-
the spirit of the indigenous Brazilian Indian. Another is the
tional secrets (fundamentos) of the religion. One gains access
preto-velho, the spirit of the old African slave, who manifests
to this secret knowledge or, more properly, to the places and
humility, kindliness, comfort, and sympathy. The erês or cri-
practice of secrecy by performing progressive initiations into
anças are spirits of children who are playful and innocent. Fi-
increasingly important functions in the house (terreiro). The
nally, the exús, derived from the Yoruba trickster-messenger
import of religious secrecy was augmented, however, by the
Eshu, are considered evil and must be rigorously controlled.
new terrain from which Candomblé grew during the 1800s.
Secrecy was transcultured and began to signify doubly: first
Although these are the most characteristic, traditional
in relation to West African ideals of contained, “cool” power
spirit roles in Umbanda, there is enormous flexibility for new
and second as resistance to the police forces of the national
spiritual entities to emerge, such as manifestations of home-
context in which the rituals were practiced. Yoruba ideals of
less street children or the folkloric, hard-drinking bandits
religious secrecy were overlapped with the Afro-Brazilian no-
(cangaçeiros) of the arid northeast. Embedded in the spirits
tion of fundamentos, deep knowledge based in practices hid-
of Umbanda and the material processes through which they
den from the gaze of potential noninitiate encroachers.
are incorporated is the ongoing transculturation of Brazilian
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN JAPAN
9309
history as it continually reworks the national mythology of
Mintz, Sidney W. Sweetness and Power: The Place of Sugar in Mod-
the “three races”—Amerindian, African, white European—
ern History. New York, 1985.
for a new time.
Mintz, Sidney W., and Richard Price. The Birth of African Ameri-
can Culture. Boston, 1992.
SEE ALSO Caribbean Religions, article on Afro-Caribbean
Murphy, Joseph M. Santería: An African Religion in America. Bos-
Religions; Garvey, Marcus; Rastafarianism; Santería.
ton, 1988.
B
Murphy, Joseph M. Working the Spirit: Ceremonies of the African
IBLIOGRAPHY
Bastide, Roger. The African Religions of Brazil: Towards a Sociology
Diaspora. Boston, 1993.
of the Interpenetration of Civilizations. Translated by Helen
Murrell, Nathaniel Samuel, William David Spencer, and Adrian
Sebba. Baltimore, 1978.
Anthony McFarlane, eds. Chanting Down Babylon: The
Benítez-Rojo, Antonio. The Repeating Island: The Caribbean and
Rastafari Reader. Philadelphia, 1998.
the Postmodern Perspective. Translated by James E. Maraniss.
Olmos, Margarite Fernández, and Lizabeth Paravisini-Gebert.
2d ed. Durham, N.C., 1996.
Creole Religions of the Caribbean: An Introduction from Vodou
Blier, Suzanne. African Vodun: Art, Psychology, and Power. Chica-
and Santería to Obeah and Espiritismo. New York, 2003.
go, 1994.
Ortiz, Fernando. Cuban Counterpoint: Tobacco and Sugar. Trans-
Brandon, George. Santeria from Africa to the New World: The
lated by Harriet de Onís. Durham, N.C., 1995.
Dead Sell Memories. Bloomington, Ind., 1993.
Palmié, Stephan. Wizards and Scientists: Explorations in Afro-
Brown, David. Santería Enthroned: Art, Ritual, and Innovation in
Cuban Modernity and Tradition. Durham, N.C., 2002.
an Afro-Cuban Religion. Chicago, 2003.
Pollard, Velma. Dread Talk: The Language of Rastafari. Kingston,
Brown, Diane D. Umbanda and Politics in Urban Brazil. Ann
West Indies, 1994.
Arbor, Mich., 1986.
Pratt, Mary Louise. Imperial Eyes: Travel Writing and Transcul-
Brown, Karen McCarthy. Mama Lola: A Vodou Priestess in Brook-
turation. London, 1992.
lyn. Berkeley, Calif., 1991.
Thompson, Robert Farris. Flash of the Spirit: African and Afro-
Cabrera, Lydia. Reglas de Congo. Palo Monte. Mayombe. Miami,
American Art and Philosophy. New York, 1983.
1979.
Voeks, Robert A. Sacred Leaves of Candomblé: African Magic, Med-
Chevannes, Barry. Rastafari: Roots and Ideology. Syracuse, N.Y.,
icine, and Religion in Brazil. Austin, Tex., 1997.
1994.
Wafer, Jim. The Taste of Blood: Spirit Possession in Brazilian Can-
Coronil, Fernando. “Introduction to the Duke University Press
domblé. Philadelphia, 1991.
Edition: Transculturation and the Politics of Theory: Coun-
PAUL CHRISTOPHER JOHNSON (2005)
tering the Center, Cuban Counterpoint.” In Cuban Counter-
point: Tobacco and Sugar, by Fernando Ortiz, pp. ix–lvi.
Durham, N.C., 1995.
Cosentino, Donald J., ed. Sacred Arts of Haitian Vodou. Los Ange-
TRANSCULTURATION AND RELIGION:
les, 1995.
RELIGION IN THE FORMATION OF MODERN
Edmonds, Ennis Barrington. Rastafari: From Outcasts to Culture
JAPAN
Bearers. New York, 2003.
Japan began forming a modern culture when it came into
Gonzalez, Nancie L. Sojourners of the Caribbean: Ethnogenesis and
contact with the West. Then the Portuguese brought match-
Ethnohistory of the Garifuna. Urbana, Ill., 1988.
locks to Japan, and Francis Xavier brought Christianity. In
Harding, Rachel. A Refuge in Thunder: Candomblé and Alternative
the nineteenth century, Japan underwent crucial develop-
Spaces of Blackness. Bloomington, Ind., 2000.
ment as a result of exchanges with the West, and this devel-
Herskovits, Melville. Acculuration: The Study of Culture Contact.
opment has continued to the present with ongoing cultural
Locust Valley, N.Y., 1938.
contacts.
Hess, David J. Spirits and Scientists: Ideology, Spiritism, and Brazil-
This was not the first time that Japan borrowed from
ian Culture. University Park, Pa., 1991.
other cultures. Yet Japanese borrowing in the modern period
Houk, James T. Spirits, Blood, and Drums: The Orisha Religion in
was much different from Japanese contacts with Chinese and
Trinidad. Philadelphia, 1995.
Korean civilizations between the fifth and thirteenth centu-
Johnson, Paul Christopher. “Migrating Bodies, Circulating Signs:
ries. In the case of these earlier contacts, because seafaring
Brazilian Candomblé, the Garífuna of the Caribbean, and
voyages were full of danger, the oceans surrounding the Japa-
the Category of ‘Indigenous Religions.’” History of Religions
nese archipelago provided a buffer zone. Moreover, the cul-
41, no. 4 (2002): 301–328.
tures and civilizations of China and Korea, imbued with
Johnson, Paul Christopher. Secrets, Gossip, and Gods: The Trans-
Confucian, Taoist, and Buddhist philosophies, were not as
formation of Brazilian Candomblé. New York, 2003.
aggressive as modern Western powers, armed with steam
Kerns, Virginia. Women and the Ancestors: Black Carib Kinship and
ships, modern military forces, modern capitalism, and impe-
Ritual. 2d ed. Urbana, Ill., 1997.
rialist tendencies. As a result, Japanese assimilation of Chi-
McAlister, Elizabeth. Rara! Vodou, Power, and Performance in
nese and Korean civilization was more gradual, gentler, and
Haiti and Its Diaspora. Berkeley, Calif., 2002.
more deeply penetrating.
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TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN JAPAN
GUNS AND CHRISTIANITY. As mentioned, Japan’s contact
trade with the Dutch, who did not engage in any missionary
with the West began around the time when Portuguese mer-
activity, at the port of Nagasaki, from then on the only port
chants drifted ashore a southern island of the Japanese archi-
officially open for international trade and exchanges. The
pelago in 1543. The matchlocks they brought with them
Tokugawa feudal regime thus started the policy of seclusion,
were mastered quickly, reproduced in large quantities by na-
which was to last for 260 years.
tive craftsmen, and spread quickly and widely throughout
PROSPERITY AMIDST SECLUSION. Several external factors
the country. These guns not only changed military tactics
made possible the long, peaceful seclusion of Japan. Vast
but also transformed the structure of castles and other fortifi-
oceans lay between Europe and Japan. At the time the center
cations. Eventually, Oda Nobunaga (1534–1582), Toyo-
of political and economic power in Europe was shifting from
tomi Hideyoshi (1538–1598), and Tokugawa Ieyasu (1542–
Spain and Portugal to England and Holland, and this affect-
1616), successive unifiers of the country, used such guns
ed the ability of these counties to develop colonial empires.
quite successfully in battles to unify the country.
Also, the industrial revolution had not yet taken hold in Eu-
The Catholic Church began missionary activities in
rope. Later, in the eighteenth and nineteenth centuries, when
Japan when Francis Xavier and other Jesuit priests arrived in
steam ships and the accelerating industrial revolution en-
1549 on Kagoshima to evangelize in western Japan. In the
abled Western countries to project power all over the world,
beginning, Christianity was well received by warlords and
Japan was revisited, this time by the fleets of various Western
later the Tokugawa shogunate. Portuguese merchants began
nations to force open its doors. The vast oceans were no lon-
international trade with Japan, followed by the Spanish in
ger a barrier to Western civilization. The oceanic space was
1580, the Dutch in 1609, and the British in 1613. Japanese
becoming domesticated more and more by the power of cap-
mercantile ships, which had trading abroad since the middle
italism, colonialism and imperialism as well as the science
of fourteenth century, continued trade with China, Korea,
and technology of the West.
Formosa, the Philippines, Java, Vietnam, Malaysia, and
Domestically, the Tokugawa regime carried out an apt
Thailand. Japanese leaders were interested in new informa-
set of policies to order society and stabilize the country. It
tion about Europe and the outside world, and in new scien-
established a rigid social hierarchy consisting of four main
tific and technical knowledge, including knowledge about
social classes—warriors, farmers, artisans, and merchants—
imported European firearms. Since Catholic missionary ac-
and prohibited upward mobility. In another important poli-
tivities and the merchant trade were intimately connected,
cy it confiscated weapons, allowing only hunters to use fire-
many warlords interested in the profits of trade readily con-
arms and only warriors to use swords. And it rigidly regulated
verted to Christianity.
Buddhist temples and Shinto¯ shrines. On Buddhist temples
In 1587 Hideyoshi banished the missionaries and pro-
it imposed the temple parish system (jidan seido). This policy
hibited the Christian faith among the warlords. But only a
required individuals to be certified by their local Buddhist
few missionaries left Japan, and those who remained success-
temples not to be a member of the “evil religion” Chris-
fully propagated Christianity among the masses, gaining as
tianity.
many as 700,000 devotees by the early seventeenth century,
Neo-Confucian philosophy provided the Tokugawa re-
more than two times the population of the capital city of
gime with a powerful political ideology, with distinctions of
Kyoto at that time. Later the Tokugawa shogunate, perceiv-
rank and status, for ruling feudal society. As a result, Confu-
ing the colonialist interests of foreign powers and fearing up-
cian studies prospered under the patronage of the shogunate
risings among the masses, started to ban the Christian faith
and many daimyo. The regime used neo-Confucian philoso-
by issuing successive ordinances in 1614, 1616, and 1623.
phy to regulate all Buddhist temples and Shinto¯ shrines and
During this time the government destroyed churches, de-
suppress underground Christians. The Bureau of Buddhist
ported missionaries, and tortured and executed defiant
Temples and Shinto¯ Shrines organized Buddhist temples, in
Christians. All the Christian warlords but a few famous con-
sectarian divisions, into a hierarchy of a central temple on
verts renounced their faith.
top and more local temples further down. Temples thus
functioned as a bureaucracy to control the spiritual life of the
Some Christians went underground and maintained
people. The government also banned new doctrines and in-
their faith for generations until the reopening of the country
terpretations in Buddhist and Shinto¯ communities. Though
in the nineteenth century. Underground Christianity, sepa-
the Tokugawa government recognized Buddhist sects as offi-
rated from the Catholic orders, became indigenized and syn-
cial religions, Buddhist priests thus lost their religious free-
cretized with folk Buddhism for outward appearances. The
dom and spontaneity. Young novices trained as priests at
virgin Mary was amalgamated with Kannon (Avalokite´s-
head temples, upon completing their training, went back to
vara), Buddhist goddess of mercy, and called “Maria Kan-
local temples to teach children Confucian ethics and the An-
non.”
alects. The official schools of the clans (hanko¯) and the many
After the Shimabara uprising of Christians, in which
private temple schools (terakoya) greatly contributed to the
forty thousand people fought on the Christian side, the
prevalence of literacy among the populace in Tokugawa peri-
Tokugawa government, in 1639, took the extreme measure
od (1603–1867). With its power to proscribe sects, the re-
of closing Japan to all foreign trade. The only exception was
gime controlled the scope of activities of the temples.
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TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN JAPAN
9311
The Tokugawa government, by establishing the peace
intervening Chinese influences and by living it as the Way
and making life secure, encouraged the growth of industry
of the Gods. Motoori deciphered and interpreted the Kojiki
and commerce, as well as the development of a transporta-
as sacred. Motoori’s scholarship came to be accepted by
tion system centered around the waterways of sea, rivers, and
Shinto¯ theologians as the foundation of Shinto¯ theology and,
canals. Within the feudal social-class system there developed
together with the scholarship of Hirata Atsutane, one of
a mercantile economy with currency and credit, and this en-
Motoori’s posthumous disciples, laid the foundation for later
couraged the production of various agricultural and industri-
nationalist Shinto¯ movements during the Meiji period
al commodities within the country. People were already con-
(1868–1912).
suming such commercial products as cotton, sugar, silk, and
Dutch Learning (Rangaku) was primarily the learning
tea, all of which had a foreign origin. These commodities be-
of Dutch medicine. Dutch Learning produced such positiv-
came important trade goods when Japan resumed trading
istic spirits as Yamawaki To¯yo¯, who studied the internal or-
with Western nations: Japanese imported cotton products
gans of the dissected body, and Maeno Ryo¯taku and Sugita
and sugar and exported silk and tea.
Genpaku, who not only examined the anatomized body but
JAPANESE THOUGHT. The neo-Confucian school not only
also translated a Dutch book on anatomy as Kaitai shinsho
synthesized the concept of li (reason, principle) with the
(New anatomy).
Great Ultimate, material forces (qi), human nature, and the
mind; in Japan it also later equated li with the Way of the
A positivist attitude can also be observed in the social
Gods (the literal meaning of “Shinto¯”). Joseph Kitagawa
reformer Ando¯ Sho¯eki (d. 1762), who criticized traditional
points out that since warrior-administrators translated philo-
Confucian and Buddhist thinking as artificial and asserted
sophical ideas into practical measures for governing the
the importance of learning directly from nature. For Ando¯,
country, the Tokugawa regime tended to be free from Chi-
everyone must return to the Way of Nature (or the Life of
nese models. Since neo-Confucianism provided the ideologi-
Nature) by partaking in production, that is, agriculture. Na-
cal foundation of the regime, this school produced many fa-
ture is not an object of observation or contemplation, but
mous scholars.
what life partakes in. “By human participation, the True
Way of Life reveals itself as the Truly Wondrous Way of
Equally important was the Wang Yangming school,
Life.” “Farmers cultivate land, weave cloths, eat simple food,
which interpreted li as identical with the mind and viewed
wear simple cloths, selflessly and self-containedly. They are
each individual mind as the manifestation of the Universal
the direct children of Nature” (Shizen Shin-ei-do, vol. 4,
Mind. Though the regime did not support the Wang Yang-
pp. 57-69). Ando¯ repudiated the feudalistic social hierarchy
ming school, the idea of moral cultivation based on the Uni-
of Tokugawa society as artificial and to be avoided.
versal Mind appealed to many Japanese and gave rise to
many important social reformers. Mind Learning (Shin-
These schools of learning sought to return to the old,
gaku), a popular version of Confucianism with Shinto¯ and
that is, to go back to origins in classical texts or back to origi-
Buddhist elements, taught commoners the importance of
nal paradigms, and realize them here and now, or they
disciplining the mind with simple, easy-to-understand lan-
sought to prove texts in a positivist spirit. These traditions
guage.
later became the basis for responses to Western civilization,
whether the response be to introduce a new approach, to ap-
Besides these three schools of Confucianism, a variety
propriate critically, or to oppose.
of other schools of learning thrived during the Tokugawa pe-
riod. Ancient Learning (Kogaku) advocated directly studying
The Tokugawa period also witnessed the development
the texts of Confucius and Mencius. This gesture of return-
of popular arts, such as painting, woodblock prints, poetry,
ing to origins by reading the classical texts was a radical criti-
Kabuki theater, and puppet theater (Ningyo¯ Jo¯ruri). Each of
cism of the neo-Confucian and Wang Yangming schools as
these genres responded to the imaginary needs of the people
later departures from the original Way.
in highly creative ways. These arts were sustained by wealthy
merchants living in urban centers and later spread to local
National Learning (Kokugaku) was born as the antithe-
villages.
sis of Chinese Learning, specifically the school of Ancient
THE RISE OF RELIGIOUS MOVEMENTS. The Tokugawa re-
Learning, which advocated returning to classical Chinese
gime rigidly controlled and manipulated the Buddhist sects
texts. The school of National Learning created a tradition of
and Shinto¯ shrines as official religions. Institutional forms of
textual criticism for the interpretation of Japanese classical
religion, when they emerged, were suppressed and went un-
texts that did away with all Chinese influences on the inter-
derground during the Tokugawa period. Having lost free-
pretation of Japanese texts. The most outstanding scholar of
dom and mobility within the feudal parish system, Bud-
National Learning was Motoori Norinaga (1730–1801),
dhism and Shinto¯, as institutions, lost their religiosity and
who studied the Kojiki (Records of ancient matters), which
degenerated into funeral services and administrators of an-
is written in manyo¯gana (Chinese characters used phonetical-
cestor veneration, respectively.
ly). As is often pointed out, he tried to return to the world
of meaning revealed by the ancient text itself, to grasp the
But various important folk religious movements
meaning of the text by directly participating in it without any
emerged spontaneously from the lower strata of society. One
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TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN JAPAN
such movement was large scale pilgrimages, which often un-
academies. Then, in 1853, the four “black ships” led by
dercut feudal space boundaries. There were mass pilgrimages
Commodore Matthew Perry, with their powerful cannons,
to the Grand Shrine of Ise, repeated every sixty years, which
appeared off the shore of Japan and asked for the opening
developed into the Anything-Goes Dance (Eejanaika Odori),
of Japanese ports.
in which the masses, dancing and singing, went toward Ise.
The regime was forced to make treaties with the United
Other pilgrimages were the Pilgrimage to the Eighty-Eight
States, Holland, England, France, and Russia on unequal
Sacred Places of Shikoku (Shikoku Henro) and the Pilgrim-
terms, granting extraterritorial rights and giving up the right
age to the Thirty-Three Sacred Places of Kannon in Western
to levy tariffs. To avoid colonization and attain equilibrium
Japan (Saigoku Junrei). All of these pilgrimages expressed a
with the Western powers, leaders felt the need to plan for
yearning for a worldly paradise apart from the realities of the
enriching the nation and building up defenses. The whole
contemporary world.
country was divided into two factions: one for the shogunate
Three religions—Kurozumikyo¯, Tenrikyo¯, and Kon-
and the other for the emperor, one for opening the country
ko¯kyo¯—emerged from the villages toward the end of the
to foreigners and the other for excluding foreigners. The
Tokugawa period. These popular religions became the pro-
peaceful country, suddenly surrounded by the powerful mili-
totypes of new religions in modern Japan. Each of these reli-
tary powers of the West, was thrown into an unprecedented
gions was based upon the religious experience of its founder
crisis. Thus began a new cycle of contact with the West. It
and sustained people with simple but universal teachings.
was the beginning of the perpetual fast changes in life and
R
society that have continued into the twenty-first century.
ESPONSES TO FOREIGN CIVILIZATIONS. In Japanese con-
tacts with the Chinese and Korean civilizations in the fifth
Out of the crisis, people searched for a new unity and
to ninth centuries, Kitagawa finds a threefold response: a
new order for the nation and ultimately chose to reinvigorate
welcome introduction, integration and assimilation, and re-
the country by reverting to the ancient ideal of an emperor-
jection or transformation. This threefold process greatly en-
centered religious, political, and national polity. The design
riched indigenous culture and tradition through the assimila-
of the Meiji imperial regime was to construct a modern na-
tion and integration of Buddhism, Confucianism, and
tion-state by negating the recent past (the feudal Tokugawa
Daoism. These contacts even stimulated the native religious
tradition) and restoring the monarchical rule of the eighth
tradition to develop Shinto¯ and gave birth to many new reli-
century, centered on the traditional Japanese notion of a sa-
gions, including indigenous forms of Buddhism. By this con-
cred emperor at the top of all hierarchies. This was another
tact, Japanese culture and society was greatly enriched.
phase of traditional Japanese “immanent theocracy,” to use
Kitagawa’s term. Meiji leaders followed the ancient model
Prior to direct contact with modern Western powers,
of unity of religion and state (saisei itchi). In this new regime,
various aspects of Tokugawa feudal society were becoming
the former social hierarchy of warrior, farmer, artisan, and
modern. But the need to modernize took on a whole new
merchant was eliminated, and all the people were now treat-
meaning and urgency after Japanese contact with the West.
ed equally as the subjects of the semidivine emperor.
When Portuguese traders and Jesuit Catholicism arrived in
Japan, in the initial phases they were welcome. Later on in
WESTERNIZATION. The modernization of Japan was not im-
the historical process, however, Western culture could not
posed on the Japanese people from the outside by colonial-
be assimilated or integrated well because the Catholic
ism. Rather, it was what the Japanese were determined to ac-
Church demanded wholehearted allegiance and the Western
complish to overcome the disequilibrium of Western and
powers had aggressive colonial interests. Thus, in a natural
Japanese power. A basic strategy of the regime was to use the
response, the Tokugawa regime rejected Western culture and
Japanese spirit and Western knowledge (wakon-yo¯sai). Learn-
Christianity except for Dutch trade, although many frag-
ing the knowledge of the West was the secret to equalization
mental influences from Western culture remained.
and rectification of the power imbalance.
The second cycle of contact with Western civilizations
Recognizing that the Western powers would not revise
began in the late eighteenth century. Since 1792 Russians re-
the unequal treaties, Japanese leaders adopted various ele-
peatedly sent diplomatic missions and battleships to Japan
ments of European jurisprudence in the French, German,
asking for the opening of trade. In 1808 England sent a bat-
and English codes. This produced contradictions, since
tleship to Nagasaki to take over the Dutch trading base there.
French codes were progressive and the German codes were
And when a team of administrators representing various
conservative. Eto¯ Shinpei (1834–1874), one of the chief de-
clans visited Shanghai at the time of the Opium War (1840–
signers of the modern state in the early stage of its formation,
1842) to investigate, they observed China succumbing to
highly appreciated the French civil code, especially on the
British military power and discovered that most of the East
rights of the people, and incorporated aspects of the French
Asian coastal regions except Manchuria, Korea, and Japan
code into the Meiji civil code. The Meiji code also had to
had been colonized. Fearing Western colonialism, they felt
embrace incoherences due to differences of culture and
the need to build up power to protect Japan. Many Dutch
society.
schools of medicine and schools of the feudal clans were soon
Japan started modernizing not only in jurisprudence but
transformed into naval strategy research institutes and naval
also in many other areas of culture and society. Japan adopt-
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TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN JAPAN
9313
ed many Western institutions, such as government offices,
ern values against each other before accepting Western orien-
a solar calendar, police, an army, a navy, railways, gaslight,
tations and integrating them into Japanese culture. Japanese
a postal system, electricity, compulsory education, banks, a
culture had to adjust itself to these new concepts and ideas.
parliament, and a constitution.
How to adapt Japanese culture was always open to criticism.
These measures for Westernizing Japan were accompa-
One such critic was Okakura Tenshin (1862–1913), an
nied by a policy of enlightenment and civilization (bunmei
art critic and leader in modern Japanese art circles. Before
kaika), which promoted Western culture and civilization in
the Russo-Japanese War, Okakura criticized Western colo-
all aspects of life and society, from modern Western sciences
nialism and imperialism, saying that Asia is one. In the year
and rationalism to people’s hairstyles and Western-style
after the war (1906), he also criticized “moderns” who
clothes. Japanese intellectuals translated many works of
judged the Japanese victory in bloody battles over Russia as
Western philosophers and scientists, starting with Darwin,
“civilized” and who regarded such peaceful pastimes as the
Mill, Huxley, and Spencer and following with Voltaire,
tea ceremony and other aesthetic activities as “barbarian.”
Rousseau, Descartes, Kant, Shopenhauer, Hegel, Spinoza,
Okakura’s critiques were published in English in London;
Locke, Hume, Nietzsche, W. James, Dewey, Bergson, Sartre,
the former was written in India, and the latter in Boston. He
and Heidegger. They also translated many novelists and
knew the problems of the East and the West, of Japanese cul-
poets, such as Shakespeare, Goethe, Maupassant, Tolstoy,
ture and Western culture, because he lived in and knew both
Ibsen, Dostoevskii, Hemmingway, Kafka, Zola, Heine, and
worlds.
Baudelaire. Many of these works were accepted as new para-
digms in their genres.
Another critic was Minakata Kumakusu (1867–1941),
a folklorist and natural historian. Minakata protested against
As for policies toward religion, the Meiji government,
the government’s policy of consolidating Shinto¯ shrines
like the Tokugawa regime, required religious registration.
throughout the country to clear virgin forests belonging to
However, in place of Buddhist temples, the Meiji govern-
the shrines. The government undertook this measure to
ment required every Japanese subject to register at the local
create land for increased farm production and further indus-
Shinto¯ shrine. The architects of the Meiji government took
trialization. This measure, begun in 1906, met vehement
the Western model of Christianity as the unifying force of
criticism from Minakata, who had returned to Japan after a
the nation-state and modified it so that the Shinto¯ pantheon
long sojourn of research in the United States and England.
of spirits (kami) served as the religious foundation of Japan,
The policy was abandoned in 1915.
and they attempted to make Shinto¯ the state religion in
Japan. After encountering criticism and resistance from vari-
Though individuals raised severe criticisms of the direc-
ous sectors, other religious groups in Japan, and international
tion of modernization at critical junctures in modern Japa-
societies, the government relaxed this religious policy.
nese history, Japanese commoners often meekly accepted
policies for Westernizing the nation. The Japanese tended to
During the formation of modern Japan, Japanese intel-
embrace recklessly the ideals of modern Western civiliza-
lectuals absorbed Western ideals, rationalism, technology,
tions—rationalism, industrialization, capitalism, progress,
and economic systems. Many young students and bureau-
and development—even when such ideals were incompatible
crats were dispatched to Western countries to study Western
with traditional Japanese values.
laws, institutions, sciences, and technologies. The Japanese
government invited and employed many foreign advisors,
THE IMPACT OF MODERNIZATION ON RELIGION. During
professors, technocrats, and specialists to establish and devel-
the past 150 years, Japanese society has undergone many rad-
op a modern nation-state with industrial capacity and mili-
ical cultural and social changes involving all aspects of life.
tary strength.
Included here are such great transformations as the over-
CULTURAL VALUES AND CRITICISM. To say the least, West-
throw of the feudal Tokugawa regime; the establishment of
ern notions of science, which were based on the diversifica-
the modern Meiji imperial state; the rapid introduction of
tion of knowledge into various branches, had a strong impact
policies to modernize in the fields of government, law, edu-
on the minds of Japanese scholars, who had been accustomed
cation, technology, and culture; the development of capital-
to a holistic approach to learning. Within the Western sci-
ism; colonialist and militaristic involvement in Asia; the
ences, for instance, religion was separated from all other
Sino-Japanese War (1894–1895); the Russo-Japanese War
branches of knowledge, such as politics, economy, culture,
(1904–1905); the further development of industry and capi-
society, philosophy, mathematics, and physics. In the holistic
talism; greater economic and military involvement in Asia;
orientation of the Japanese tradition, in contrast, Chinese
the Second World War (which ended in Japan’s defeat); the
Learning, National Learning, and Dutch Learning did not
U.S. occupation; postwar modernization and democratiza-
have clear divisions of knowledge. Therefore, for Japanese,
tion; and phenomenal economic growth. These rapid
being educated in the new tradition of Western sciences
changes in society brought forth serious existential crises, in-
often meant exposure to an entirely new cultural and episte-
cluding the disintegration of traditional communities and
mological orientation based on a different set of values. This
values, along with new types of human alienation and identi-
orientation required Japanese to evaluate Japanese and West-
ty crises.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9314
TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN JAPAN
Modern Western concepts and views of religion were
and remained aloof from the religious needs of the common
introduced in the early Meiji period into Japanese universi-
people, new religious movements emerged spontaneously
ties, which in themselves were modeled after Western univer-
from the lower strata of society. The established religions
sities. The Japanese word shu¯kyo¯ was coined to translate the
tended to accept government policies, but there were signs
Western notion of religion, and when the word was applied
of resistance among many of the new religions. But as soon
to Japanese religionlike institutions, it often created prob-
as these new religions were more or less established within
lems. Buddhists, for instance, were uncomfortable with the
society, other new religions would emerge from lower strata
theistic connotations of the word. Followers of other Japa-
of society or from the fringes of established new religions.
nese religions found their own problems. Because of its
The emergence of new religions has followed this general his-
amorphous conception of the sacred, the Japanese indige-
torical pattern up until the explosion of new religions in the
nous religion Shinto¯ does not fit well into the category of re-
1990s, including Aum Shinrikyo¯, which in 1995 released
ligion. Moreover, many studies of Japanese religion com-
Sarin gas in Tokyo subways during the morning rush hour.
pletely ignore the whole folk-religious tradition, a strong
Under the religious policy of the Meiji government,
undercurrent of Japanese religious culture, because none of
Shinto¯ shrines were elevated to the status of the official state
these folk religions had coherent, systematically articulated
religion. After Buddhist, Christian, and liberal scholars re-
doctrines comparable to the Western ideal, Protestant Chris-
sisted and criticized this move, the government eventually
tianity.
designated Shinto¯ as a national cult rather than as a religion.
Japanese religions responded to the changed intellectual
By this move, all Shinto¯ shrines were transformed from
climate. Shinto¯ was now a state religion and took on all the
places of veneration to nonreligious places of national rituals.
trappings of state ideology. The elite Buddhist sects busily
Buddhism lost its status as the state religion, which it had
readjusted themselves to Western influences and the new po-
enjoyed during the Tokugawa period, but it remained an es-
litical and social situations surrounding them. The True
tablished religion supported by hereditary parishioners. Dur-
Pure-Land Sect was foremost in these attempts. It sent young
ing the Meiji period, three newly formed religions and some
students to study at Oxford University (where Max Müller
syncretic folk-religious associations were officially recognized
was) and at other European institutions even before the Meiji
as Shinto¯ sects. Within the framework of Meiji imperial
Restoration in 1868. This sect drafted a constitution and ex-
Shinto¯, all religious groups were officially recognized and tol-
perimented with a parliament even before the governmental
erated.
did. It appropriated ideas of Western philosophy to develop
By the policy of enlightenment, various age-old folk-
its doctrines. The Zen Sect also actively developed its schol-
religious practices, including yin-yang divination calendars,
arship. In the process, elite Buddhist sects rediscovered the
magico-religious practices, and symbolism, were suppressed
importance of the doctrines of their founders in the Kamaku-
as superstition, evil religion, and even licentious worship. All
ra period (1185–1333). Yet these sects were still bound to
religions—Buddhism, Christianity, and the new religions—
the powerful remnants of their hereditary parishes, inherited
compromised with the ideology of a sacred emperor to sur-
from the Tokugawa period. Thus these established religions,
vive in the framework of Meiji policy toward religion.
Shinto¯ and Buddhism, developed doctrinally but remained
aloof from the religious needs of the people. Christian sects,
One of the most far-reaching influences of the enlight-
which were treated as an “evil religion” during the Tokugawa
enment policy of the Meiji was that religion disappeared
period, became tolerated and resumed their activities, but
from the public domain. Religion became a private matter
never became as potent a force as before.
within a secular, modern state, although a sacred and inviola-
ble emperor ruled over it. Politicians did not confess their
NEW RELIGIONS. Western civilization thrust itself upon
faith, and schools and universities did not teach religion as
Japan in an age of imperialism. To survive, Japan absorbed
a core subject.
Western ideals, rationality, technology, and economic sys-
tems. Thus did the Japanese elite seek to emulate and over-
Many students and scholars went abroad to study West-
come the West. And yet they also sought to distinguish Japan
ern sciences and philosophy. After returning to Japan, many
from the West. This is important to note, because Japan, de-
became leading intellectuals, civil servants, and political lead-
spite all the evidence to the contrary, is still presented as a
ers. As Uchimura Kanzo¯ states, the Japanese accepted Chris-
homogeneous culture with little or no individuality. This no-
tian civilization but not Christianity itself (Questions and An-
tion of a homogeneous culture owes much to sudden contact
swers on Christianity). Soon intellectuals found themselves in
with the West and to the Meiji effort to create a modern state
an intellectual climate in which they could not be persuasive
to rival Western powers by forming a new political center
unless they could skillfully manipulate modern Western sci-
consisting of a people united under an emperor.
entific concepts. Even Buddhist scholars (figures such as Ki-
yosawa Manshi, Kimura Taiken, and Nishida Kitaro¯) had to
The political myths created by the Japanese elite not-
use Western philosophical and scientific concepts to articu-
withstanding, Japanese commoners displayed their individu-
late their doctrines and ideas. For this reason, various sci-
ality in new religions. While the established religions and
ences, including folklore and the study of religion, have had
their leaders were busily trying to adjust to ongoing changes
to follow modern Western models devoutly until into the
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TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN JAPAN
9315
twenty-first century. Despite this tendency, some thinkers
from Western philosophers and novelists, they attempted to
also developed profound and articulate critiques of the West,
go back to their own tradition, but when they tried to redis-
as can be seen in the work of Okakura Tenshin, D. T.
cover it, they also became aware that their own tradition had
Suzuki, Nishida Kitaro¯, Nishitani Keiji, and Yanagita Kunio.
already partially broken down. To overcome this crisis,
Except for Nishida, all of these men were directly exposed
Nishitani thinks, “the Japanese have to overcome a double
to modern Western civilization, and all were aware of the
nihilism, for one aspect of the problem is a Western crisis,
need to straddle the two worlds.
and the other aspect is a Japanese crisis.”
The intellectual climate for novelists was similar to that
THE POSTWAR PERIOD. Japan’s defeat in the Second World
for philosophers. Both Natsume So¯seki (1867–1916) and
War and the atomic bombing of Hiroshima and Nagasaki
Mori O
¯ gai (1862–1922) were well versed not only in Chi-
terminated Japan’s colonialist and imperialist ambitions.
nese and Japanese literature, but also in Western languages
During its occupation of Japan, the United States imposed
and literatures. So¯seki expressed concern about the impossi-
on Japan a new constitution instituting democratic reforms,
ble task of synthesizing the enlightenment spirit of the exter-
disarming the nation, separating church and state, radically
nally imposed (the Western) and the spontaneous spirit of
revising the civil codes, giving the emperor the status of sym-
the indigenous. For him, “An enlightenment that was trig-
bol of the nation.
gered from the outside was unknown until recent times. We
must catch up with the West. But by incorporating the exter-
Thus began another phase of the radical transformation
nal, we become anxious and fret over it.” Mori wrote, “The
of Japan due to contact with the West. Japan started to re-
new Japan is in the midst of a whirlpool in which Eastern
build its country as a modern democratic, secular state by
culture and Western culture are coming together. There are
further Westernizing and rationalizing its institutions, but
some scholars who stand in the Eastern, and others who
since the new structure of the state was imposed by an exter-
stand in the Western; both stand on a single leg. This age
nal force, many problems arose. In postwar Japan, many new
calls for scholars who stand firmly on two legs.”
religions again spontaneously emerged. Almost all of these
T
new religions emphasized the veneration of ancestors by fo-
HE TAISHO
¯ INTELLECTUAL CLIMATE. The internal con-
flicts and agonies observed in novelists and philosophers of
cusing on the form of the family altar, the proper way to hold
the Meiji period became weaker among intellectuals in the
services, the meaning of ancestor spirits, and so on. The
post-Meiji period, that is, after the Russo-Japanese War. In
United States sponsored a reform of the civil code along lib-
that war Japan struggled to defend itself against Russia’s
eral Western lines that ensured the rights of every individual
powerful military expansion with colonial intent. Japanese
in the family at the risk of the continuity of the family. In
victory meant that it succeeded at building a strong nation
reaction to this drastic change in the structure of the family,
by Westernizing, and that Japan was now a player in the
these new religions attempted to ensure the continuity of the
power game among the world powers over East Asia. Al-
family and family ties.
though Japan had succeeded in its struggle for treaties ending
MISHIMA YUKIO. An outstanding postwar critique of Japan’s
extraterritoriality and allowing it to impose tariffs, it now had
Westernization is found in the life and work of the novelist
to contest with the world powers in a struggle for survival.
Mishima Yukio (1925–1970). Mishima wrote many creative
After the Russian revolution in 1917, the First World War
novels in the literary style of twentieth-century Western liter-
ended.
ature. He also wrote many important essays before he com-
Intellectually, instead of agonies over how to maintain
mitted suicide in the traditional samurai style of slitting his
Japanese identity in the face of the Western onslaught, Japa-
bowels. He wrote, “A characteristic of contemporary culture
nese now faced the influences of Marxism, nihilism, and vi-
is probably that many different illusions—including ideals,
talist philosophy. This new intellectual climate, stemming
norms, and ideologies—that had inspired people toward life
from the thought of Karl Marx, Friedrich Nietzsche, and
have broken down. The idea of the absolute was lost, and
Henri Bergson, reflected contemporary Western social and
people are forced to face naked life as materialistic and natu-
political crises. Also swirling about in the atmosphere of the
ralistic, deprived of all designs. This is the cause of the irre-
Taisho¯ period (1912–1926) were liberalism and democratic
deemable nihilism of today.” When any community is erod-
thought, which helped give rise to movements for people’s
ed by other culture, its rules and customs break down, and
rights and socialism.
the community gradually falls apart morally and spiritually.
In such circumstances, life destroys itself, whatever efforts
Soon, social, political, and economic crises visited
may be tried to fulfill life.
Japan, and the newspapers frequently carried news about so-
cialist movements. The novels of Akutagawa Ryu¯nosuke,
Mishima was desperately warning against the tendency
who committed suicide by taking poison, represented a con-
of life to destroy itself in Japan’s headlong effort to Western-
temporary Japanese world reflecting the apocalyptic vision
ize and modernize. When he criticized the Japanese emperor
of the Western world. Nishitani Keiji, a leading philosopher
for proclaiming that he was a human being, not a living
of religion in twentieth-century Japan, stated that when Jap-
kami, he also pointed out the contradiction of modern con-
anese intellectuals became aware of the crises of the West
stitutional emperorship. For Mishima, it is impossible to
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9316
TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN INDIA
Westernize the sacred; the sacred cannot be embodied within
pers, journals, and books printed in English and the vernacu-
the framework of a Western secular nation-state.
lar languages of India. Calcutta boasted a modern public li-
brary. Perhaps most significantly, the metropolis contained
SEE ALSO Buddhism, article on Buddhism in Japan; Bud-
native intelligentsia, whose members were familiar with hap-
dhism, Schools of, article on Japanese Buddhism; Domestic
penings in contemporary Europe, fully cognizant of their
Observances, article on Japanese Practices; Fiction, article
country’s own historical legacy, and, as a renaissance elite,
on Japanese Fiction and Religion; Folk Religion, article on
hopeful about its future as a culture in the modern world.
Folk Buddhism; Japanese Religions, article on Popular Reli-
gion and article on The Study of Myths; New Religious
The agents of Western colonial rule who sympathetical-
Movements, article on New Religious Movements in Japan;
ly supported these endeavors were “acculturated” civil, mili-
Politics and Religion, article on Politics and Japanese Reli-
tary, and judicial officials of the British East India Company
gions; Shinto¯.
(as well as some missionaries) referred to as Orientalists,
largely because of the cultural policy that was followed by the
BIBLIOGRAPHY
government. Most of these so-called Orientalists did not har-
Ando Shoeki. Ando Shoeki Zenshu. 21 vols. Tokyo, 1983.
bor nationalistic or imperialistic ambitions, nor did they sup-
Anesaki Masaharu. Nihon shukyo shi. Tokyo, 1998.
port the increasingly bureaucratic mentality that developed
Kawakatsu Heita. Nihon Bunmei to Kindaiseiyo. (Japanese civiliza-
after 1870. On the contrary, the Orientalists had been
tion and the modern West). Tokyo, 1991.
shaped by the eighteenth-century world of the Enlighten-
Kitagawa, Joseph M. Religion in Japanese History. New York,
ment, with its open-minded curiosity about other civiliza-
1966.
tions. Orientalists were encouraged by official policy to mas-
ter at least one Indian language and to use that language
Kitagawa, Joseph M. On Understanding Japanese Religion. Prince-
ton, 1987.
fruitfully for scholarly research. It was no accident that the
Asiatic Society of Bengal, established in Calcutta in 1784 as
Murakami Shigeyoshi. Japanese Religion in the Modern Century.
the first modern organization of its type to study Asian civili-
New York, 1980.
zations in all their aspects, was a direct result of a British East
Natsume Soseki, “Gendai Nihon no Kaika” (Enlightenment of
India Company cultural policy. Orientalists such as William
today’s Japan). In Natsume Soseki Bumnmei-ronshu. Tokyo,
Jones, William Carey, James Prinsep, H. T. Colebrooke, and
1986.
H. H. Wilson made important discoveries in such fields as
Thomas, Nicholas. Entangled Objects: Exchange, Material Culture,
pre-Muslim Indian history, religion, and archaeology. Re-
and Colonialism in the Pacific. Bambridge, 1991.
search into the kinship of Indo-European languages and the
Uchimura Kanzo. Kirisuto-kyo Mondo (Questions and answers on
rediscoveries of the historic Buddha, A´soka, and the Maury-
Christianity). Tokyo, 1981.
an Empire were some of the lasting achievements of this co-
MICHIO ARAKI (2005)
terie of devoted civil servants. There is no evidence that they
ensconced themselves in clubs, as did the later bureaucrats,
nor did they construct a barrier of racial privilege between
themselves and their “subject races.” Instead, the Orientalists
TRANSCULTURATION AND RELIGION:
reached out to the Bengali intelligentsia, forming relation-
RELIGION IN THE FORMATION OF MODERN
ships with them, serving as sources of knowledge about con-
INDIA
temporary Britain and, above all, working together on proj-
To put into historical perspective the multifaceted pattern
ects designed to promote social and cultural change in
of Hindu socioreligious modernism, scholars have chroni-
Calcutta.
cled the origins of British Orientalism and the Bengal Re-
naissance. Similar to the European Renaissance, which oc-
The Bengal Renaissance arose from interaction between
curred prior to the Reformation, nineteenth-century India
the Bengali intelligentsia and the British Orientalists. Be-
also underwent a period of cultural renaissance followed by
tween 1800 and 1830, in Calcutta, the Bengali intelligentsia
an era of religious reformation.
consisted of uncertain but hopeful people who were adopting
alien values and ideas to reform indigenous traditions. They
BRITISH ORIENTALISM AND THE BENGAL RENAISSANCE.
established relationships with the British, both for material
The Bengal Renaissance occurred in eastern Gangetic
gain and to use them as windows to the West. Fortunately
India—specifically, in the colonial metropolis of Calcutta—
for them, the distance between London and Calcutta was
from the year 1773, when Warren Hastings designated the
vast, and the Orientalists with whom they associated had al-
city as the future capital of British India, until 1828, when
ready become sufficiently “Indianized.” The Bengali’s favor-
Governor-General Lord Bentinck challenged Orientalist cul-
able view of the West during this sympathetic Orientalist pe-
tural policy. During this period, Calcutta operated schools
riod helped to maintain good rapport and goodwill between
using European textbooks and teaching methods. In addi-
the representatives of the two civilizations.
tion, the newly created Hindu middle class had founded
Hindu College, the only Western-style institution of higher
RAMMOHUN ROY, FATHER OF MODERN INDIA. Of all the
learning in South Asia. The government supported newspa-
Bengalis in the Orientalist period, none was more influential
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN INDIA
9317
in creating a legacy of Hindu socioreligious reform than
Christians in America and Britain who were highly dissatis-
Rammohun Roy (1772–1833). Long before Vivekananda
fied with the same dubious beliefs and practices that troubled
laid the foundation of his Ramakrishna Mission, before
Rammohun and many of his cohorts in Calcutta. It is no co-
Nehru wrote his monumental Discovery of India in a British
incidence that Rammohun established a Calcutta Unitarian
prison, and before Gandhi built his nationalist ideology on
Society in Calcutta in 1823, or that he died while visiting
the bedrock of Hindu and Buddhist morality, Rammohun
the home of the Reverend Lant Carpenter, a prominent Uni-
had already utilized the Orientalist rediscovery of the ancient
tarian in Bristol, and that, had he lived, Rammohun would
tradition, which the progressive intelligentsia readily accept-
have traveled across the ocean to Boston and met with Wil-
ed in their quest for a new identity in the modern world.
liam Ellery Channing, the leading spokesman of liberal Uni-
Rammohun had studied Asian religions from primary
tarianism in the United States. Though Unitarianism was
sources and met countless Europeans in Calcutta who im-
never a mass movement, like-minded sentiments regarding
parted to him their thoughts on Western civilization in the
religion and society brought East and West together, with
nineteenth century. Missionaries at the Danish enclave of
important consequences for socioreligious reform in India.
Serampore had tried unsuccessfully to convert Rammohun
Three simple but highly controversial ideas for the time
to their Baptist form of Protestant Christianity. Some other
(1815–1835) provided the link between the renaissance in-
members of the intelligentsia who were xenophiles did be-
telligentsia in Calcutta and the enlightened, liberal-minded
come Christians, deciding that their salvation lay in copying
elite in England and the United States.
the West or in accepting that modernization equated to
Westernization. But Rammohun, supported by the scholarly
First, a national faith would replace the predominant re-
evidence of Orientalist research into Hindu antiquity, con-
ligions of the world, believed to be restricting the freedom
trasted the age he lived in—with its kulin polygamy, sati
of human beings by enslaving them to performing mechani-
practices, caste rigidity, idolatry, and the abuse of women—
cal rites and rituals, listening to irresponsible anecdotes that
to the classical age, which was free of dark-age excrescences.
served no moral purpose, and holding meaningless supersti-
For Rammohun, he and his fellow Indians did not need to
tions and otherworldly beliefs that served no useful purpose
surrender themselves to an alien way of life in order to accept
in improving the lot of the human race. Second, social re-
modernistic values. Ancient Hindus were mathematical and
form would emancipate the exploited classes such as workers,
scientific sophisticates; Brahma of the Upanis:ads was as su-
peasants, and women through education and the extension
perior a notion of the godhead as anything produced in the
of civil rights, allowing all to benefit equally from modern
Middle East; ancient India overflowed with philosophic di-
civilization. Finally, universal theistic progress would occur;
versity; and ancient art, literature, and medicine flourished
human perfectibility could not be confined to a particular
among Indians in classical times. Moreover, evidence existed
race or ethnicity but could happen worldwide.
that women were considered equal to men.
Mindful of these three objectives, Rammohun Roy
From 1815, when Rammohun settled in Calcutta, until
helped establish the Bra¯hmo Sabha¯, precursor of the Brahmo
1833, when he traveled to England to meet with Unitarians
Samaj, on January 23, 1830. He then left for Europe to meet
(he died there later that same year), he labored intensely,
with persons who shared his beliefs. Though he never re-
keeping up with Orientalist scholarship, translating ancient
turned to India, he did leave behind the outline of a program
scriptures, organizing meetings of the Calcutta Unitarian So-
for Hindu reformation.
ciety and Bra¯hmo Sabha¯ (society of God), and becoming in-
volved in journalistic ventures and debates. As he sought to
THE BRA¯HMO SAMA¯J AND THE HINDU REFORMATION. The
recreate the Vedantic tradition, he was often attacked by mis-
work of developing the Bra¯hmo Sama¯j after Rammohun’s
sionaries and other Christians, who ridiculed his efforts. In
death was taken up by Debendranath Tagore (1817–1903),
1823, for example, he defended the Veda¯nta as containing
son of Rammohun’s close friend, Dwarkanath Tagore. Like
a rational exposition on the unity of God without the super-
Rammohun, Debendranath identified true Hinduism with
stitious verbiage that he claimed was so common in many
the Vedantic tradition; he also fought Christian missionaries’
Christian sources. Unlike the Bible, Rammohun argued, the
attempts at converting members of the new educated Bengali
Vedanta did not attempt to categorize the attributes of the
elite. In this endeavor, Debendranath received assistance,
Almighty, a gesture he found anthropomorphic and futile.
often against his better judgment, from an American Unitar-
He also contended that, whereas Christianity required a
ian missionary, Charles Dall, who came to Calcutta in 1855
blood sacrifice to expatiate the sins of humanity, the Veda¯nta
hoping (but failing) to find Rammohun’s philosophical con-
taught that the only means necessary to overcome sin is sin-
victions in Debendranath’s leadership. Unlike his father and
cere repentance and solemn meditation. He asked whether
Rammohun, who both voluntarily traveled to England, De-
popular Christianity was any better than popular Hinduism.
bendranath remained suspicious of Westerners most of his
How could the crucifixes, the saints, miracles, trinity, and
life. Dall had to wait until 1866, when a more radical Brah-
holy water be justified?
mo named Keshub Chandra Sen rebelled against Tagore’s
Ultimately, Rammohun chose to reform Hinduism
conservatism and founded his own Bra¯hmo Sama¯j. Dall con-
against the backdrop of a liberal faith emanating from former
sidered Keshub to be Rammohun’s true successor.
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Debendranath’s significant contribution to the Hindu
In 1880 Keshub started conducting his pilgrimages to
Reformation was his intellectual preoccupation with formu-
the saints. These were elaborate devotional seminars de-
lating the principles of a new middle-class ethic for Brahmos
signed to trace the history of human crises and the role of
and their counterparts throughout India. Debendranath had
ethical and religious reformers as saviors seeking to arrest the
begun a process that was similar to Christian reformers of
chaos. One of the saints was Socrates, who offered a practical
earlier centuries, transforming the religion to become more
morality and an exemplary life, in contrast to the corruption
puritanical so as to serve the needs of the new European Prot-
of his age. Before staging the seminar on Buddha, Keshub
estant middle class. Bra¯hmo missionaries translated his book,
went to Bodh Gaya and meditated under the bodhi tree. His
published in 1855 as Brahmo Dharma (Bra¯hmo ethic), into
seminar on Jesus taught Keshub that Christ equated the love
the languages of other Indian peoples as they traveled
of man with the will of God. And as for Muh:ammad,
throughout South Asia spreading the gospel of Hindu re-
Keshub learned that the way to achieve the brotherhood of
form. Debendranath redefined dharma, which in ancient
man was through practicing a rigid monotheistic faith.
times had meant caste duty, as a modernized set of precepts
Keshub’s eclecticism—especially when studying Indian
for the true Hindu. Debendranath offered the emancipated
reformers throughout history—gave him a very different per-
Hindu guidance and edification in everything from family
spective on Hindu classical and postclassical developments.
responsibilities to behavior in the workplace to being a devo-
Unlike Rammohun and most other Brahmos up to his time,
tee of the one true God.
Keshub did not identify with one classical tradition, such as
the Vedantic. Rather, Keshub viewed the Hindu faith as a
Debendranath never claimed to be creating something
pluralistic phenomenon in which various traditions emerged
new, however. He began by stressing the duties that each
in their authentically pristine forms at different times to meet
member of the household owed to one another. He empha-
a pressing spiritual need, but they became distorted later
sized the social good from which a family can profit if its
through internal institutional decay or by the effects of dis-
members practice sincerity, devotion, purity, forgiveness,
ruptive foreign influences.
and gentleness. In the workplace, Debendranath advocated
the good Hindu to rely on one’s self, persevere always, and
One illustration was Keshub’s positive influence on
work hard continually. He believed that poverty could be
Swami Dayananda Saraswati (1824–1883), who proved to
overcome by laboring in the path of righteousness. He ad-
be the earliest modern reformer of the Vedic tradition. Most
vised doing one’s own work rather than being dependent on
nineteenth-century Hindu reformers were ambivalent about
others, and against choosing to beg.
the Vedic tradition because they associated it with caste ri-
gidity, the subjection of women, idolatry, and worse. Daya-
In 1866 one of Debendranath’s followers, Keshub
nanda repudiated these charges and spent his mature life de-
Chandra Sen (1839–1884), led the militant wing of the
nouncing what he called the evils of post-Vedic Hinduism.
movement to form a separate Bra¯hmo organization, dedicat-
Because he argued that the true Vedas rejected idol worship,
ed to what they believed to be Rammohun Roy’s ideological
untouchability, child marriage, and the rest of the evils attri-
path. Keshub accused Debendranath of doing nothing as a
buted to them, Dayananda’s followers called him the “Lu-
social reformer, especially with regard to female emancipa-
ther of India.”
tion. Furthermore, the activists saw Debendranath as a hypo-
Keshub also encouraged other Brahmos to research the
crite because he attacked caste privilege but continued to
roots of Indian sectarian faiths. Bijoy Krishna Goswami (b.
wear the sacred thread as a Brahman. They also criticized De-
1841), a radical modernist, translated early Vaisnava songs
bendranath’s suspicion of foreigners, such as Charles Dall,
which declared equal rights for men and women and the re-
whom Keshub and his militant supporters viewed as a
pudiation of caste privilege. Aghore Nath Gupta (d. 1881)
spokesman for liberal religion throughout the Western
conducted Keshub’s seminar on the Buddha, in which he de-
world. Keshub also felt that the Bra¯hmo mission to reach out
clared that the great reformer was not an atheist but a com-
to like-minded Hindus in Maharashtra, Gujarat, the Punjab,
passionate humanist who taught us how to live in a world
Tamilnadu, and elsewhere needed a more radical approach
that was false and full of illusion. Keshub also influenced
to a wide variety of issues, many of which Debendranath
Dharmapala, a neo-Buddhist from Sri Lanka, to start the
avoided.
Maha Bodhi Society.
Keshub’s greatest influence on the course of Hindu ref-
Narendra Nath Dutt, better known as Vivekananda
ormation, outside of promoting female education, was prob-
(1863–1902), joined Keshub’s coterie in 1880. Scholars have
ably his remarkable eclecticism. In this sense, he was very
difficulty assessing Vivekananda’s contribution to the Hindu
much like Rammohun, who had studied all the world’s
Reformation because, though he owed much to Keshub’s
major religions, including Islam. But Keshub went much
teaching, and though his view of the Vedantic tradition came
further than his predecessor, both in his quest for knowledge
largely from Brahmo sources, he chose as the name of his
of comparative religion and in his attempts to understand the
own organization or mission that of a Kamakrishna, a con-
patterns of change and continuity in the history of South
temporary mystic saint from Calcutta. Vivekananda was the
Asian religions.
earliest non-Brahmo to be accepted by religious liberals in
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9319
the West. In fact, his talk at the Parliament of Religion in
Gangadhar Tilak (1856–1920), the Maharashtran ultra-
1893, which was organized by American Unitarians, was
nationalist, totally rejected what he called the Pax Britannica.
considered to be among the best of the conference.
He believed that the establishment of English schools and
British administrative and legal institutions were an imperi-
Vivekananda has erroneously been considered a Hindu
alist deception secretly designed to exploit the country.
nationalist because scholars believe he defended such things
Though Tilak did not urge violent methods to win freedom,
as caste and icons. However, a close study of his ideological
others did, and several British officials were assassinated as
development reveals that he neither defended the negative as-
a result. Some scholars assert that had Mahatma Gandhi
pects of caste nor promotes the external worship of images.
(1869–1948) not assumed the leadership of the Congress
For Vivekananda, there was nothing wrong with hierarchical
Party after World War I, with his message of nonviolence,
structures, since every society on earth had one. What was
the Indian nationalist struggle would have become a move-
wrong—as happened in India—was the corruption of the
ment drenched in blood. Gandhi admired Vivekananda’s ap-
system, which then would become oppressive. Rather than
proach to Hindu reform.
abolish caste, he wanted to democratize it. As Vivekananda
would argue, if you teach the fisherman the Vedanta, he will
The Orientalist legacy of the Bengal Renaissance and
say “I am as good a man as you are.” As for images in the
the Bra¯hmo legacy of Hindu Reformation were kept viv-
service of religion, Vivekananda refused to assume a rigidly
idly alive throughout the first half of the twentieth century
iconoclastic position, such as those of Islam or Protestantism.
by India’s greatest writer, Rabindranath Tagore (1861–
He did not understand why worshipping a God without
1941), who in 1914 became the first Asian to win the Nobel
form was necessarily more spiritually uplifting than creating
Prize in Literature. As the grandson of Dwarkanath Tagore,
an image by which to convey the same message.
who had started the Calcutta Unitarian Committee and
Brahmo Sabha with Rammohun Roy in the 1820s, and as
THE HINDU RENAISSANCE AND REFORMATION CHAL-
the son of Debendranath Tagore, who revitalized the Brah-
LENGED. In the final decades of British Indian rule, the re-
mo Samaj in the 1840s following Rammohun’s death, Ra-
naissance and reformation movements were very much chal-
bindranath struggled for decades to protect renaissance
lenged by forces in every direction. Orientalism, with its
and reformation against the inroads of imperialism and
profound interest in all facets of civilization in India, had
nationalism.
long since disappeared by the turn of the twentieth century.
It had ceased to be the cultural policy of the British East
In a manuscript compiled during World War I entitled
India Company in 1835, when it was replaced by the liberal
Nationalism, Rabindranath saw the conflict as a crucial stage
Anglicized cultural policy advocated by Thomas Babington
in the breakdown of all that was hopeful and positive in the
Macaulay during the famous Anglicist-Orientalist controver-
progress of civilization. To him, the war’s genocide in the
sy. Macaulay, who never learned an Indian language while
trenches represented the butchery of nations feeding upon
he served in Calcutta, challenged the Orientalist belief that
other nations. The Russian ideologue Karl Marx is reputed
modernism among South Asians could be achieved by culti-
to have said that religion was the opiate of the people; for
vating their languages and by identifying with a classical tra-
Tagore, nationalism had become the opiate of the people.
dition. Macaulay argued that if Indians wanted a progressive
His opposition to nationalism did not mean that Tagore
future for themselves, they ought to anglicize their lives, be-
supported British imperialism. On the contrary, he attacked
coming proficient in the English language and choosing
it vigorously, perhaps with more candor and understanding
Western careers and professional ethics. But the successful
than any other thinker before him. Tagore dramatically sur-
expansion of the British Empire after 1870 led to another
rendered his knighthood following the Jallianwala Bagh mas-
shift in cultural policy. Both liberal-minded Orientalism and
sacre on May 30, 1919.
Anglicism gave way to cultural imperialism, or the excesses
of ethnocentric self-glorification. This policy held that, ex-
In July 1921, Rabindranath inaugurated Visva Bharati
cept for military prowess, East was East and West was West,
University in Santineketan, hoping the institution would
and never the two shall meet. The grandeur of the British
embody the ideals of Brahmo universalism. Three years earli-
Empire seemed to testify to the superiority of the British
er, on December 22, 1918, he had declared that Visva Bhara-
race, while the subjected state of India at that time appeared
ti would carry on the efforts of scholars such as Keshub
to confrm the inferiority of the Indian race.
Chandra Sen, who had sought to understand the religions
of India and the world by studying primary sources.
On the Indian side, renaissance and reformation were
challenged by a more radical generation of freedom fighters,
SEE ALSO Bra¯hmo Sama¯j; Veda¯nta; Vivekananda.
who surrendered their moderate politics for an extremist
form of nationalist agitation. When the British imperialists
BIBLIOGRAPHY
denied human equality between citizens of India and the
Basham, A.L. The Wonder That Was India. New York, 1963.
West, a xenophobia swept over the English-educated Indian
intelligentsia, which led to increased cultural apologetics
Bose, Nirmal Kumar. Studies in Gandhism. Calcutta, 1962.
about everything Indian, including popular religion. Bal
Cannon, Garland. Oriental Jones. London, 1964.
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9320
TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN OCEANIA
Cannon, Garland, and Kevin Brine, eds. Objects of Enquiry: The
companied by frightful, perhaps monstrous dangers. For ex-
Life, Contributions and Influences of Sir William Jones. New
ample, the world’s largest gold and copper mine at Freeport,
York, 1995.
on the south coast of Irian Jaya, coexists with tourists’ com-
Erickson, Eric. Gandhi’s Truth. New York, 1969.
mon anxiety about law-and-order issues, especially in nearby
Gordon, Leonard. Bengal: The Nationalist Movement, 1876–1940.
Papua New Guinea and the Solomons. Significantly, the
New York, 1973.
European explorers who discovered Micronesian and Poly-
nesian (sometimes referred to as “Austronesian”) peoples
Isherwood, Christopher. Ramakrishna and His Disciples. New
viewed their lighter skins, more “welcoming” approach, and
York, 1965.
“recognizable” social structures (even kingship) as corre-
Joader, Safruddin, and David Kopf, eds. Reflections on the Bengal
sponding to the Enlightenment’s (1780s–1840s) popular
Renaissance. Rajshahi, Bangladesh, 1977.
notions of “the noble savage.” Conversely, the Europeans
Joshi, V. C., ed. Rammohun Roy and the Process of Modernization
placed the “black islanders” of the southwest Pacific near the
in India. New Delhi, India, 1975.
bottom of the evolutionary scale and often saw them as igno-
Kejariwal, O. P. The Asiatic Society of Bengal and the Discovery of
ble, miserable, and treacherous. These biased images affected
India’s Past, 1784–1830. Calcutta, 1988.
transcultural outcomes.
Kopf, David. British Orientalism and the Bengal Renaissance: The
For their part, the indigenous islanders had to make
Dynamics of Indian Modernization, 1773–1835. Berkeley,
sense of these highly mysterious newcomers, whose dress and
Calif., 1969.
accouterments were utterly alien and whose vessels were sig-
Kopf, David. The Brahmo Samaj and the Shaping of the Modern
nificantly larger than and different from their own. Each is-
Indian Mind. Princeton, N.J., 1979.
land culture had its own postures of response and interac-
Kopf, David. “The Bengali Prophet of Mass Genocide: Rabin-
tion, and in this vast region, which contains twenty-five
dranath Tagore and the Menace of Twentieth-Century Na-
percent of the known discrete languages and religions, this
tionalism.” In Rabindranath Tagore: Perspectives in Time, ed-
complexity is daunting. In general, however, each society had
ited by Mary Lago and Ronald Warwick, pp. 50–66.
periods of initial contact, longer periods of adjustment to se-
London, 1989.
rious intrusions into its local ways of life, and the increasingly
Kopf, David. “European Enlightenment, Hindu Renaissance and
more common, yet nonetheless creative, absorption of mo-
the Enrichment of the Human Spirit: A History of Historical
dernity.
Writings on British Orientalism.” In Orientalism, Evangeli-
calism and the Military Cantonment in Early Nineteenth-
In terms of religious change, the Pacific Islands are
Century India, edited by Nancy G. Cassels, pp. 19–53. New
noted for a massive shift towards Christianity (with over
York, 1991.
90% nominal adherence for the whole region). This general
Lago, Mary, and Ronald Warwick, eds. Rabindranath Tagore: Per-
change has entailed varying consequences for the myriad of
spectives in Time. London,1989.
isolated, small-scale, and survivalist cultures, some of which
Nehru, Jawaharlal. The Discovery of India. London, 1956.
have been so accommodating to the new faith that their tra-
ditions have become highly muted, and others which have
Thomas, Nicholas. Entangled Objects: Exchange, Material Culture,
been highly resistant to conversion. Typically, Christianity
and Colonialism in the Pacific. Cambridge, Mass., 1991.
has provided a window of opportunity for very localized peo-
DAVID KOPF (2005)
ples to participate in modernity, with all its accompanying
bewilderments that in turn have occasionally subverted the
religious life.
TRANSCULTURATION AND RELIGION:
Pacific “contact scenarios” with outsiders can be plotted
RELIGION IN THE FORMATION OF MODERN
from the sixteenth century to the early twenty-first, since
OCEANIA
some mountain cultures in easternmost Irian Jaya have yet
In 1601, after a Spanish historian published a map showing
to interact with the outside world. When their content can
the islands of the Carolines and the Marianas, north New
be (re)constructed, most indigenous responses to external
Guinea, and most of the Solomon Islands, Pacific Island peo-
contacts appear “religious,” in that newcomers are taken to
ples became part of the general history of humankind. Even
be deities, strange and powerful spirits, or returning ances-
before geographers accepted French savant Dumont
tors. On Hawai’i Island, in 1779, the “natives” thought Cap-
d’Urville’s 1832 classification of Polynesia, Melanesia, and
tain James Cook was the long-awaited, returning fertility god
Micronesia, the islands entered the European imagination.
Lono, and he was feted by Chief Koah at much cost to the
Polynesia, largely through voyagers’ experiences at Tahiti,
locals. After Cook’s departure, however, when a storm forced
evoked a new kind of paradise, one including sexual freedom
him to return to the island, the natives killed him because
as well as escape from social restrictions in the Old World;
of what they saw as his deception. Over half a century earlier,
to a large extent, the region remains a “legend that sells” for
Rapanui, or Easter Islanders, apparently reacted to the enig-
pleasure-seeking holiday-makers. Melanesia, in contrast, has
ma of passing vessels (before Jacob Roggeveen’s landfall of
always presented ambiguity—home of untold treasures ac-
1722) by feverishly erecting many of their great statues to
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TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN OCEANIA
9321
face the sea at Rano Raruku—a most untraditional act, con-
earned privilege over others. Since inter-tribal hostilities had
sidering that the effigies of chiefs were meant to gaze over
long been endemic to the region, recipients of new weapons
their ancestral lands. In Polynesia, with its more vertically
could use them to create havoc among their enemies. For ex-
oriented cosmologies (sky/earth/underworld), the newcom-
ample, Maori tribes procured muskets from the 1810s, con-
ers were often thought to have arrived from above: the Samo-
vincing even missionaries to trade them for hunting pur-
an term papala[n]gi (sky people), for instance, is used to de-
poses. In Fiji, the European Charles Savage, remaining out
scribe the white visitors. Later on, as in Papua New Guinea,
of the range of traditional weaponry, was “employed” by
where a horizontal view of the cosmos prevailed, the first ap-
Naulivou, chief of Mbau, to shoot down his foes at the fore-
pearances of outsiders mostly suggested the return of the
front of inter-tribal battles (1808–1809).
dead. In 1877, for example, the Papuan Koitabu thought
Ruatoka, a Rarotongan co-worker of missionary James Chal-
Even during peacetime, however, the new religion could
mer, was an ancestral spirit because of his ghostly white suit;
be manipulated to secure special advantages and keep up old
in 1946, isolated Ke’efu highlanders who stumbled upon
enmities. Christianity came in more than one guise, and if
thirteen dead white people in a strange shelter—a crashed
one tribe was benefiting from the presence of a mission sta-
plane—buried their bodies and offered sacrifices to them as
tion, another might be tempted to invite in the representa-
“new beings” who could die like themselves.
tive of a different denomination. Before the 1950s, Catholic/
Protestant missionary competition made possible the local
Once interaction with outsiders continued, however
politics of playing one against the other. Sectarian Protestant
sporadic, islanders had to decide whether to resist them or
elements also competed for loyalties. In Papua after 1908,
trade with them. Epidemic diseases caused by contact often
for example, dissident families or clans often achieved social
stalled the progress of possible relationships, but the islanders
separation as a means of satisfying their local grievances by
also found the newcomers themselves to be vulnerable to
becoming Seventh-day Adventists. In Polynesia, Mormon-
trouble, sickness, and death. Once their weaknesses were
ism grew rapidly at the expense of more mainstream church-
known, the outsiders were classified as strangers, and thus be-
es, partly because of the material benefits it offered such as
came worth attacking. Spirit power would be needed to hold
superior housing and medical services. In fact, the Mormons
back the intruder; for example, patrol officer Jack Hides re-
had established their small “kingdom” in the Tuamotos as
members a day in 1935 on the Papuan Plateau when a sway-
early as 1844—even before the founding of Salt Lake City.
ing Etoro medium, playing a drum while perched on anoth-
er’s shoulders, sang a repelling clan into action.
With the establishment of towns, missions, trading
posts, and plantations, there arose the possibility of access to
Although the islanders killed various newcomers, many
increased power and new goods. Traditionally, wealth was
of whom were unarmed missionaries, the superior weapons
not only a mark of social status (of nobility in Polynesia, and
of whites and their parties eventually subdued any reprisals.
often of successful management in Melanesia), but it was also
In any case, trade offered a popular and profitable way of
a sign of blessing from the spirit order. In smaller societies,
dealing with the new uncertainty. Seafarers usually bore at-
moreover, prosperity was cherished by the group; the com-
tractive items for exchange, and they were soon considered
mon people looked to their chiefs for magnanimity, and a
as possible prizes of (group) possession. Sometimes exchange
Melanesian big-man achieved his leadership through gener-
activity was not satisfying, however; Tongans, as a result,
ous relinquishment—giving gifts so that many were put in
would pirate visiting vessels, such as the Port-au-Prince in
his debt. Now, however, since the longest-staying possessors
1806. The more hierarchical (mostly Polynesian) societies,
of the new goods were missionaries, the indigenous people
though, were in the best position to negotiate a high-level,
deduced that special material blessings would flow through
stable rapprochement with European officialdom. Tonga,
practicing the new religion. Ships’ cargo was already mysteri-
after all, had held together a far-flung island empire, from
ous in origin, and the connection of the strange goods with
as far west as the Isle of Pines (in southern New Caledonia)
the availability of new spiritual power heightened expecta-
to Samoa. Other, smaller societies had to capitalize on their
tions of collective well-being. This notion, called “cargoism,”
limited opportunities. Theft often occurred, explaining how
led people to try worshiping in the churches. Especially in
so many steel axes filtered into the Papuan Highlands years
Melanesia, though, where traditional rituals focused on the
before European miners did. Sometimes individuals got
tangible fecundity of plants and animals, group agitations oc-
lucky without having to resort to stealing. The earliest Cath-
curred, sparked by local prophesiers filled with hope that
olic missionaries to the New Guinea highland Chimbu, for
“cargo” (European-style trade goods invested with a religious
instance, gave tools to the local people to help them establish
aura) would arrive in abundance. The bearers of cargo were
an outpost in 1936. When the fortunate recipients arrived
often thought to be returning ancestors, but also possibly the
back in their hamlets, however, news of their prizes had pre-
“Jesus” spoken of by the evangelists. Makeshift wharves, even
ceded them; the missionaries then found queues of people,
airstrips, were erected to receive the marvels. What had been
with gifts to trade in order to acquire the new instruments.
almost exclusively directed to the expatriate strangers would
Outsiders often selected relatively safe locations to begin
now come to the local peoples. Such “cargo cults,” as they
trading or mission work, and as a consequence, some groups
have been dubbed, expressed frustration that indigenes had
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TRANSCULTURATION AND RELIGION: RELIGION IN THE FORMATION OF MODERN OCEANIA
only limited access to these wonderful items, an inequity that
Hawai’i under Kaahumanu in 1822, for example, and in Fiji
seemed to contradict values of reciprocity and sharing.
under Cakabao in 1854). Legitimatization of local rule by
missionaries prior to colonization was often marked by the
Acculturative activity surrounding the introduced, in-
acceptance of royal insignia (e.g., whales’ teeth on Fiji), signs
ternationally marketed commodities has a complex history
of authority which became very important when royal courts
of its own. It has often involved mimicry, yet with sugges-
and councils of chiefs had to negotiate European annexa-
tions of ritual. Closer to contact, for instance, isolated villag-
tions. Although missionaries disdained beliefs and rites that
ers began setting their own imitation tables with wooden
appeared to contradict their faith, they sometimes worked to
copies of knives and forks. In later colonial times, with new
save the culture by solidifying a weakened traditional govern-
jobs available and liquor restrictions removed, islander office
ment, as did Benjamin and Lydia Snow in the Marshall Is-
workers could put on the airs of sophisticated white drinkers
lands in the 1860s.
in hotels, uncharacteristically sitting with crossed legs and
drooping cigarettes. Experimentalism abounded. Setting up
More generally, religious change occurred through
a store to become wealthy enticed many, yet businesses com-
evangelically charged, politically disengaged individuals.
monly failed because the owners expected magical results,
Many pioneer “European” missionaries have stolen the his-
and their relatives quickly absorbed the earnings. Islanders
torical limelight, but an immense unknown number of is-
often combined the new technology with traditional causal
landers also chose to participate in the evangelizing process.
beliefs. For instance, Melpa highlanders have been known to
Important centers sprang up for the training of islander evan-
sacrifice chickens when their trucks break down, and some
gelists; with the eastern Pacific being evangelized first, the
bureaucrats have become convinced they have been be-
emissaries have generally moved westward. Thus, Takamoa
witched through their computers.
and Malua Theological Colleges, established by the LMS on
Rarotonga (Cook Islands) in 1839 and Apia (Western
The remarkable effect of Christian missions in Oceania
Samoa) in 1844, respectively, have produced both preachers
influenced the transculturative processes involved in the
and teachers that exposed Melanesia to the new faith. Many
massive shift to a universal religion. A number of transforma-
of these evangelists—103 out of 203 of the pioneer Polyne-
tions deserve special recognition. One is epistemic—
sian LMS personnel—died in dangerous and malaria-ridden
traditionalist islanders and incoming Christians shared a gen-
places, unfortunate deaths that were taken as signs of spiritu-
eral worldview in terms of retributive (or “payback”) logic,
al vulnerability in Melanesian cultures. Methodist Fijians
but each supposed their grasp of its operations was correct.
were prominent among the earliest Melanesians to work
Indigenes supposed, for example, that trespassing into spirits’
among their fellow black islanders to the west (notably in
sacred groves and lairs would mean certain death; when mis-
New Britain and Bougainville).
sionaries, without this fear, did trespass without dire conse-
quence, they were taken to possess a superior understanding
These islander missionaries on Melanesia created a
of how the world worked, even while they had their own as-
three-tiered chain of “pastoral power,” which was compara-
sumptions about sacrilege. Again, islanders explained most
ble to colonial military structures. The religious hierarchy,
sicknesses and deaths in terms of spiritual causes and dam-
however, set an example for ways that people other than the
aged relationships with deities that provoked ancestral pun-
“white masters” could lead congregations. In western Mela-
ishments. Results of the missions’ modern health services,
nesia, Indonesians filled these mediating roles; the Dutch Re-
however, often defied such expectations, even while Chris-
formed missionaries typically deployed Ambonese, and the
tians taught that bodily blessings derived from relying on
Catholics sent Flores Islanders. Melanesia did experience a
“the true God.” Consequently, knowledge passed on at initi-
time lag, however, before the highly populous and volatile
ations could not compete with a mission education.
highlands received missionaries in 1920; various coastal Mel-
anesians were entrusted with this “frontier” activity. Devout
In some earlier civilizations in Polynesia with kings as
Lutheran converts from the Huon Peninsula became the first
rulers, the long-term establishment of Christianity followed
native evangelists to the eastern highlands of Papua New
the dénouements of major wars. In Tahiti in 1815, Pomare
Guinea, and rather aggressive Gogodala preachers were sent
II, who had lost power because of the emergent cult of the
by the Unevangelized Fields Mission into the southern high-
war god Oro, regained it in a holy war with the backing of
lands. Throughout Catholic mission history in Melanesia,
the London Missionary Society (LMS) from the Leeward Is-
many catechists were trained to perform non-clerical reli-
lands. In Tonga, the powerful, pro-Christian secular chief
gious duties in dispersed villages that were visited infrequent-
Taufa’ahau, who dominated the Ha’apai, subdued his ene-
ly by expatriate missionaries. As celibacy was required of its
mies by 1837. He unified the conquered peoples by first as-
religious, though, the Catholic Church always dawdled in
suming the role of the supreme sacral kingship of Tu’i Tonga
the creation of indigenous clergy—in a world of island socie-
(1852), and then by attempting to place the Wesleyan Mis-
ties that expected everyone to marry. Nevertheless, new or-
sion under his divine rule (although he had only partially
ders have been created in the region, such as the 1935 found-
succeeded by 1875).
ing of a sisterhood called The Handmaids of our Lord in
Conversion to the new religion mandated by high-level,
Papua. And in 1925, the Anglicans founded the Melanesian
local decision-makers also occurred in other places: in
Brotherhood in the eastern Solomon Islands.
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Overall, the European and American overseas missions
Moreover, local rituals have become complicated due to
have established mainstream Christian denominations
varying limitations placed on the interaction between gospel
throughout the Pacific Islands. Historical circumstances usu-
and culture. In the central New Guinea Highlands, for in-
ally caused different church traditions to predominate in dif-
stance, at the Wahgi people’s great pig-killing festivals, in
ferent areas. Once a given mission gained a foothold in a par-
which a host tribe gives with astounding generosity to non-
ticular region, not even colonial shifts could readily change
hostile tribes around it, a wooden cross will often be planted
it. France, for example, which generally favored Catholic
on the dance ground and a Catholic priest will open proceed-
mission activity, did not deter LMS-originated Protestantism
ings with a blessing. Members of the Swiss Brethren’s mis-
in Tahiti (with its famous “Temple,” famous for choral com-
sion, on the other hand, would prohibit their adherents from
petitions, in Papeete) or in the Loyalty Islands (part of
attending these ceremonies. Across the Pacific Islands, pork
France’s Oceanic province of New Caledonia). Germany’s
and crab have been familiar dietary components, yet the Sev-
takeover of New Guinea in 1885 resulted in strong Lutheran
enth-day Adventist Church, which has proportionately its
and Catholic missions, especially on the mainland, but did
largest following in the Pacific, proscribes such food in accor-
not prevent the growth of Methodism (after the pioneering
dance with the Levitical code. Consequently, the first out-
work of Australian George Brown) on the islands of New
ward sign of any Adventist village is the presence of foreign
Britain and New Ireland. How these missions established
livestock—especially goats and cattle.
themselves sometimes depended on formal agreements. At
a time of comity between missions in the British Empire, for
As the churches grew, the model of the Christian village
example, the Governor of British New Guinea (or Papua) Sir
usually prevailed. Both the government and the mission dis-
William McGregor negotiated spheres of influence for mis-
couraged dispersed hamlets and encouraged larger commu-
sions within his jurisdiction in 1890. As a result, the LMS
nities, often nestling around well-kept places of worship.
work expanded along the southern coast where Catholic mis-
This proximity did not prevent various frictions, however.
sions were not already established, while the Anglicans con-
Sorcerers, especially in Melanesia, had once been accepted
solidated in the northeast and the Methodists further east
as useful agents to retaliate against enemies in other tribes;
again, in the Trobriand Islands. Not being party to this
now, however, the new peace was disturbed by the unnerving
agreement, and with a lot of non-British personnel, the
possibility that the remaining sorcerers could be paid to per-
Catholics managed to evade this arrangement to their advan-
petuate evil acts for jealous and disgruntled families within
tage, however, as did the Adventists.
the same village. Similarly, denominational or sectarian dif-
ferences and tensions often disrupted rural peace, occasional-
Each mission’s presence in a given region generated
ly dividing villages. Group reactions also arose from dissatis-
group loyalties, which are often reflected in the provincial or-
faction with the outcomes of introduced religion. In
ganizations of the newly independent Pacific nations; the
Polynesia and Micronesia, where both hierarchical social
groundwork of new social strata was laid through mission
schooling and indigenous ministries; and distinctive expres-
structures and cosmologies pertained, unsatisfied groups
sions of Christianity arose that often reflected the primacy
often responded to dissident prophets who accentuated the
of the first cultures affected in a given region. In the Papua,
lack of spirit power in ordinary church life. Thus, in these
for instance, annual ceremonies of LMS-originated churches
regions, missionaries could gain new followers on the pretext
along the coast are largely modeled on the Motu traditional
that a prophet has an extraordinary access to heaven’s bless-
exchange ceremony—called bobo—because the Motu were
ings. For example, between 1930 and 1932 on Onotoa (now
the first converts. In Catholic areas, the short, less schooled,
part of Kiribati), the prophet Ten Naewa tried to outwit the
and more aggressive Papuan Highlanders, called “bush ka-
LMS missionaries by announcing that God would descend
nakas,” have often suffered in comparison to the tall, educat-
in person, and he himself “fathered” the Father’s arrival, as
ed, coastal Mekeo, who have had a longer experience with
he led his waiting “Sheep.” In Melanesia, however, where
the outside world and who dominate the betel-nut market
cargo cults were more prevalent, the common complaint was
in the capital city of Port Moresby.
the churches did not bear material results (pidgin: kaikai, or
food). In the Solomons before World War II, local prophets
All throughout the Pacific, distinctive regional expres-
such as Sanop, on Bougainville, announced the arrival of ri-
sions of mainstream Christianity abound. What would a Sa-
fles, motor cars, and aircraft that were delivered by ancestors,
moan or Tongan Christian funeral be without the proverbial
thus rendering the colonial authorities unnecessary.
exchange of woven mats? How would agreements between
secular and ecclesiastical leadership be achieved in central
Eventually, independent churches emerged—many
Polynesia and much of eastern Melanesia without sharing the
with indigenous leaders who rejected the mainline forms of
common cup of pressed kava root? Dramatic reenactments
Christianity as foreign. In Melanesia, where over twenty such
of tensions upon the arrival of the first missionaries—of
churches have emerged, a third of them originated in cargo
Methodist minister Dr. Bromilow on Dobu Island in east
movements. Others stress concrete experiences of faith, such
Papua in 1891, or of Anglican bishop George Selwyn on
as dreams, visions, or collective ecstasies; the latter are nota-
Santa Ysabel in the central Solomons in 1862—become an-
ble among members of the Christian Fellowship Church, in
nual celebrations in particular places.
New Georgia, the Solomons. This church was once led by
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the white-robed “Holy Mama.” In Polynesia, independent
copies, under islander supervision. By the early twenty-first
church leaders are commonly believed to have direct access
century, the prevailing missiological discourse stressed incul-
to heaven or to have come down from the heavens. The
turation, or the advisability of imbedding the gospel into the
Maori church, founded by Ratana in 1928, accepted him as
local culture, both honoring the latter’s pre-existing values
God’s “mouthpiece”; prominent in this church’s iconogra-
while also transforming and redeeming its weaknesses from
phy is a ladder linking an airplane (representing heaven) with
within.
a car (representing Earth). In 1985, the LMS Cook Islands
The general movement towards national ecclesial eman-
Christian Church began to attempt to heal a long-standing
cipation—or, rarely, transnational status, as with the United
internal rift, caused by a remarkable female healer named
Church in Papua New Guinea and the Solomon Islands after
Apii Piho and her followers, who believed her claim that she
1968—proceeded with the emergence of new political inde-
was Jesus.
pendencies in the region. Excluding New Zealand (1947),
the newly decolonized nations—Western Samoa (1962),
The resilience of traditions in certain pockets of the Pa-
Nauru (1968), Fiji (1970), Papua New Guinea (1975), Solo-
cific has sometimes kept Christian influences at bay. Virtual-
mons, (1978), Kiribati (1979), and Vanuatu (1980)—have
ly all the strong neo-traditionalist movements are in Melane-
been governed by indigenous leaders. Even where indepen-
sia, and some of these are cargo cults. Latter-day followers
dence has not been achieved (with France and the United
of the large movement in Madang (north-coastal New Guin-
States as the two notable powers prolonging their possession
ea) during the 1950s and 1960s maintained that the indi-
of Pacific islands), national churches have been created, such
genes should be left to develop their own salvation stories,
as the l’Église évangelique in France’s New Caledonia or the
in which the ancestors and cult founder Yali are the heroes,
United Church in the Marshall Island in American Microne-
rather than the Biblical prophets and Jesus. In the Solomons,
sia. Whether politically autonomous or not, the whole region
on the western and southern parts of Guadalcanal, one Moro
has increasingly become affected by monetarization, foreign
sect has created a movement—complete with its own
investment, and transnational companies’ pursuit of oppor-
schools—that is deliberately designed to preserve tribal cul-
tunities in the metal, oil, gas, and timber industries. For ex-
ture and keep out Western influences. Not far to the north,
ample, one of the world’s richest copper deposits is on Bou-
the mountainous center of Malaita is home to the Kwaio,
gainville; natural gas is now piped out of the Lake Kutubu
who reject any “Christian interference.”
area in Papua New Guinea’s Southern Highlands; while
All these expressions of independence, as well as the
New Caledonia has become well known for its extensive
many different varieties of indigenously generated new reli-
nickel deposits.
gious movements in the Pacific, have shown that islanders
Pacific islanders have embraced modernity in highly va-
believe in expressing religiosity in their own cultural terms.
rying ways. Money has become the medium of exchange in
Tensions and altercations at the village level have inevitably
towns and cities, but is still used in tandem with traditional
served to instruct churches in the Oceanic region, preparing
valuable items (such as mats, shells, feathers) in villages and
them for their own self-determination. In intercultural rela-
in rites (especially marriages and funerals). In rural areas,
tions, the balance of forces until the end of the twentieth cen-
money can therefore be incorporated into ritual life and sug-
tury favored preserving sound beliefs and practices borne by
gest new ritual forms. Old coins seem to circulate forever
the West. Religious leaders wanted to ensure that the differ-
within single villages through ritualized gambling games.
ent peoples receiving the Christian message were properly ac-
Money can now be pinned on a branch by New Guinea
culturated and did not lapse into the curious misunderstand-
highlanders and paraded as a “money tree” to apologize for
ings that had produced “cargo cults.” They made some
a killing or a road accident in a specific tribal area—quite an
concessions, however, in terms of sculpture (of crucifixes, for
innovation, since compensation payments in kind were tra-
instance) and architecture (Port Moresby’s handsome Catho-
ditionally exchanged between allies, not adversaries. Some
lic cathedral, designed in the shape of a Sepik haus tambaran
late-twentieth-century cargo cults were actually money cults;
[spirit house] in 1967). A few missionaries, such as Maurice
the followers were persuaded that the money that was already
Leenhardt—Protestant pastor to the Houailou on eastern
in the red boxes held by the leaders would multiply through
New Caledonian mainland in the 1930s—asked themselves
weekly rituals. Overall, the islanders’ quest to make money
whether they had learned more from “the natives” than they
has been strong, however. Sepik craftsmen have sold tradi-
taught them. Others, such as Percy Chatterton, submitted
tional effigies of the dead for money and have carved spirit
to the spirit of independence arising from local congrega-
figures for the tourist market. Hula dancing to entertain
tions; he quietly facilitated the post-LMS Papua Ekalesia
tourists in Hawai’i exemplifies adaptation of local dance
(Church of Papua), the first independent church of main-
forms in order to earn money from visitors. Even in rural
stream background in Melanesia formed between 1963 and
areas, today’s leading dance performers in traditional cere-
1968. The local people’s confidence in their own leadership
monies would compete for prizes at town shows or the privi-
eventually caused a decisive shift away from church commu-
lege to represent their nation at Pacific arts festivals.
nities operating under mission control toward regionally au-
Success in business and in the modern economy, al-
tonomous ecclesiastical structures, or separate Catholic epis-
though reserved for the few, has had religious consequences.
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TRANSMIGRATION
9325
Protestant Tongans employed in Honolulu or Sydney, for
foot high masks. When the Japanese unexpectedly bombed
example, or Cook Islanders in Auckland, have started impor-
Port Moresby in 1942, however, the Motu never celebrated
tant diaspora congregations, importing their pastors from
the festival again—not because they were forced to give it up,
their home regions. In Melanesia, capitalist success may
but because it had somehow lost relevance in a changing
sometimes cause a business leader to develop political aspira-
world.
tions, yet those ambitions inevitably lead him or her to the
Oceania’s religious scene in the early twenty-first centu-
traditional cultivation of dependents through the practice of
ry should be assessed for what it has become. Anthropologists
generous gift-giving as a neo-traditional “big-man.” Wealthy
can now begin evaluating specific congregations; observing
people may build large new houses in their home villages,
sociological differences in the region, such as the sedate, hier-
only to find themselves the objects of jealousy and thus of
archical Polynesian churches compared to the dynamic con-
paid sorcery attacks. In this context, the persistence of sor-
gregations of Melanesia, with their spiritistic and charismatic
cery can be defended ideologically as a social equalizer to
worship; and studying indigenous theological endeavors and
counter the inequities that threaten old reciprocities and vil-
liturgical innovations, appreciating them as important new
lage values.
developments within the wider world of religious affairs.
Religious factors also influence modern Pacific politics.
SEE ALSO Christianity, article on Christianity in the Pacific
National constitutions typically invoke the supreme God,
Islands; Politics and Religion, article on Politics and Ocean-
sometimes along with a worthy customary inheritance. Cler-
ic Religions.
gy have also achieved political prominence, such as Anglican
Fr. Walter Lini, first Prime Minister of Vanuatu, or Catholic
BIBLIOGRAPHY
Fr. John Momis, the foundation Minister for Decentraliza-
Barker, John, ed. “Christianity in Oceania: Ethnographic Perspec-
tion in Papua, New Guinea. Furthermore, internal military
tives.” In ASAO Monographs 12. Lanham, Md., 1990.
conflicts have sought religious inspiration. The Papuan Lib-
Garrett, John. To Live among the Stars: Christian Origins in Ocea-
eration Army (OPM) partly legitimates itself as a defense of
nia. Geneva, 1982.
Christianity against what is perceived as Indonesia’s neo-
Siikala, Jukka. Cult and Conflict in Tropical Polynesia. Academia
colonial promotion of Islam, and its members look to the
Scientarum Fennica, FF Communications 99/2. Helsinki,
collective martyrdom of followers of the prophetess Ang-
1982.
ganita under the Japanese in 1943 as an inspiring precedent
Smith, Bernard. European Vision and the South Pacific: 1768–
for their actions. In the Solomon Islands, civil strife in the
1850. Oxford, 1960.
late twentieth century, as well as religious differences be-
Swain, Tony, and Garry Trompf. The Religions of Oceania. New
tween largely Anglican Malaitans and mostly Catholic Gua-
York, 1995.
dalcanalese, exacerbated the clash. In such post-colonial con-
flicts, political slogans have carried neo-traditional religious
Trompf, Garry. Payback: The Logic of Retribution in Melanesian
Religions. Cambridge, U.K., 1994.
import. From 1990 to 2003, ideologues for the Bougainville
Liberation Army, for example, fought for the independence
GARRY W. TROMPF (2005)
of Bougainville as Mekamui (the Sacred Island). More gener-
ally, throughout what is a predominantly peaceful region,
thinly disguised appeals to Christian principles often lurk be-
hind the apparently secular political agendas of new national
TRANSMIGRATION denotes the process by which,
parliaments promoting better health, education, and social
after death, either a spiritual or an ethereal, subtle, and thinly
security.
material part of the personality, leaves the body that it previ-
ously inhabited; it then “migrates” to enter (i.e., is reborn in)
Despite frustrating realities sometimes experienced by
another body, either human or animal, or another form of
many outsider investigators, especially anthropologists, the
being, such as a plant or even an inanimate object. Other
Pacific Islands are remarkable for their strengthening indige-
terms often used in this context are rebirth, especially in con-
nous Christianity. As a result, traditional cultures are being
nection with Indian religions, palingenesis (from Greek palin,
transformed, and, rather than being devastated, showing
“again,” and genesis, “birth,”), metempsychosis (from Greek
their resilience in change. Contrary to some historians, out-
meta, “again,” and psychê, “soul”) and, increasingly in mod-
siders did not destroy Pacific cultures. While terrible epi-
ern popular parlance, reincarnation (from Latin re “back”
demics did make many island communities very vulnerable,
and caro, “flesh”). Manichaean texts in Syriac use the expres-
by and large, the missionaries did not impose religious
sion taˇspikha or taˇspikha denafshata, corresponding to Greek
change by force, and the islanders can no longer be precon-
metangismos (from Greek metangizesthai, “pour from one
ceived as credulous, lacking any ability to make sensible deci-
vessel into another one, decant”; similarly, Latin transfundi)
sions of their own. In fact, cultural relinquishments some-
and conveying the underlying notion of a transfusion or
times occurred spontaneously. LMS personnel, for instance,
change of vessel whereby the soul is “poured” from one body
encouraged the preservation of the Motu people’s harvest fes-
into another. The Latin church father Augustine of Hippo
tival, during which worshipers wore extraordinary fifteen-
(354–430) in his anti-Manichaean writings also uses the
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TRANSMIGRATION
noun revolutiones and the verb revolvi, which happen to be
terial in an evolutionary key, starting with the birth of the
identical with the later qabbalistic technical term gilgul: the
concept of the soul. Yet that stage in human history is unre-
soul “revolves” (i.e. rotates) through successive bodies. Earli-
coverable and speculations in that direction are rarely fruit-
er qabbalistic terms were sod-ha- Eibbur (“the mystery of tran-
ful. A modern approach should look at the geographical
sition”) and ha Etaqah (“displacing, changing place”), the lat-
spread, the nature, and the functions of transmigration in so-
ter equivalent to the Arabic tanasukh.
ciety. This survey will examine first non-literate societies and
progress to the major literate cultures and modern Western
It is obvious that the notion of a non-physical entity
society.
(soul) existing separately from the physical body is assumed
by most beliefs that posit an afterlife. The detailed elabora-
CROSS-CULTURAL OVERVIEW OF NON-LITERATE SOCIE-
tion of other cultures’ views of afterlife and transmigration
TIES. The acceptance of the belief in some form of transmi-
depends on the psychology and anthropology of those cul-
gration or return of the dead person to terrestrial life is a
tures, explicitly or implicitly. Thus the word soul may mean
widely occurring concept that is evident in many cultures.
the whole human minus the body or a special substance or
Whereas older studies often claim that there is little evidence
collection of substances non-physical in nature. In the for-
of belief in transmigration in most non-literate societies to
mer case, it is the whole albeit disincarnate person that sur-
the extent that they have been reliably and systematically
vives (and goes on, for example, to the underworld, the land
studied by ethnologists, contemporary studies have uncov-
of the dead); in the latter case it is a specific soul-substance
ered a wealth of evidence to the contrary. This new research
that persists and returns to its ancestral or heavenly home or
has been especially successful in America, where evidence
haunts the living or is reborn. Many belief systems, especially
suggests that such beliefs once were present among all North
among non-literate societies, know of multiple souls, but the
American Indian tribes. The first notices go back to the earli-
idea is also not uncommon in literate societies: examples in-
est stages of contact with European arrivals to the continent.
clude the ba and ka of the ancient Egyptians, the oldest
For example, it was recorded in 1636 that the Hurons be-
Greek psychê and thymos, and the fivefold division among
lieved a human soul can return into the body of a child, as
contemporary Jewish qabbalists (nefesh, ruah, neshamah, hay-
evidenced by the child’s strong resemblance to a deceased
yah, yehidah).
person. The prevalence of this belief among the Northwest
Coast Indians and the Inuit strongly suggests that here was
Unfortunately, contemporary knowledge of most small-
the development of an ancient cultural complex, which may
scale indigenous cultures is often based on the information
have been introduced by the first American immigrants who
of single informants and passing travelers, but rarely on the
came via the Bering Strait. There is less evidence of this in
sustained investigation of an anthropologist remaining in a
Middle and Latin America, and the evidence becomes even
culture for many years. The once-predominant idea among
scarcer in investigations into the cultures of the southern-
anthropologists that a single informant could be sufficient to
most region of Latin America.
“decode” a culture has proved to be a profound mistake, and
it should be noted while using such sources that much of the
About Africa, there are mentions of reincarnation rang-
information is incomplete. Even the material from older lit-
ing from quite extensive reports to mere scattered observa-
erate civilizations is not always that easy to analyze. The frag-
tions. Not surprisingly they seem to be limited to the south
mentary character of the texts and the modern, often Chris-
of North Africa where the adoption of Christianity and Islam
tian and philosophically influenced ideas about the soul and
likely prevented the survival of older beliefs in this direction.
the body tend to color interpretations and should preclude
It seems that in West Africa, especially, the belief in reincar-
facile conclusions. Last but not least, scholarly approaches
nation was prevalent. The beliefs can assume various forms.
often tend to present a uniform picture (the Christians be-
In many instances, there is the belief that a recently and hon-
lieve, the Buddhists believe, etc.), whereas especially in escha-
orably deceased ancestor—a warrior, for example—is reborn
tological matters people often have their own private ideas.
in a baby, although the connection with the ancestor be-
One final point is the appropriateness of the terminology of
comes weaker as the child grows. There also seems to be a
reincarnation or rebirth. Although it is used here in order not
gender aspect to the belief, for some tribes, like the Konkom-
to complicate an understanding, it must be stressed that the
ba, stress that women reincarnate, too. The Nigerian Yoruba
terms regularly, especially in Africa, do not presuppose that
believe that every living person is a reincarnation. Apparent-
the ancestors now leave the area of the dead, or how the after-
ly, the encroachment by Europeans even incited some Akan
life is imagined. On the contrary: ancestors may reincarnate
to formulate a belief in a return as white people, as the Dutch
but they often do stay present in the world of the dead as
traveller Willem Bosman (b. c. 1672) noted.
well. In other words, among many communities there is a
The existence of a belief in reincarnation among the
belief that the ancestors have a multiple presence, in this
Australian Aranda (Arunta) was the subject of a vigorous de-
world and the world hereafter.
bate in the early 1900s between Baldwin Spencer and Frank
ORIGIN OF CONCEPT. Edward Tylor (1832–1917), one of
Gillen, on one side, and German missionary Carl Strehlow,
the fathers of social anthropology, was perhaps the first mod-
on the other, who disputed the findings of the former. Yet
ern scholar of transmigration, but he still interpreted his ma-
the outcome seems to be that here, too, reincarnation exist-
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9327
ed, even though rather by mythical ancestors than by “real”
India. In the Hindu religious tradition, the concept of trans-
people. The fact that several neighboring tribes mention a
migration is a vital aspect of the cultural milieu and has
reincarnation of ancestors supports the interpretations of
played a dominant role in shaping the actions, ethics, and
Spencer and Gillen.
ideologies of the people. Thus, the Indian subcontinent and
In the area of Melanesia, Micronesia and Polynesia,
the cultures influenced by it are dominated by the notion of
many tribes tell about reincarnation, but the best informa-
sam:sa¯ra, “what turns around forever,” the wheel of birth and
tion comes from the Trobriand Islands, where Bronislaw
death. Whereas in the West the idea of reincarnation was al-
Malinowski (1884–1942) carried out detailed investigations
ways felt to be something exotic, strange, and at any rate re-
in the framework of his interest in the islanders’ sexual lives.
quired special justification, in India it came to be an accepted
As he noted, the inhabitants explained pregnancies as the re-
presupposition of life.
incarnation of ancestors.
The history and development of this notion are not yet
There is more information regarding Siberia, the Arctic
quite clear. However, there is consensus that the weary round
and the subarctic circle, where the belief in reincarnation was
of sam:sa¯ra is not yet part of Vedic religion. The locus classicus
virtually ubiquitous. Here shamanistic “theology” even
of Indian reincarnation can be found in two parallel passages
stressed that shamans could remember their former lives and
of the oldest Upanis:ads (Brhad Aranyaka Upanis:ad 6.2 and
some were able to show scars of their former lives. Among
Chandogya Upanis:ad 5.3–10), which mention reincarnation
the Jakuts it was rather exceptionally believed that one could
and salvation. The fact that the notion was taken for grant-
be reborn even outside one’s own tribe. In general, it is the
ed—and indeed even made the basis of their respective doc-
ancestors who were believed to return.
trines of salvation—by Jainism and Buddhism suggests that
From this survey, it follows that the belief in reincarna-
by the sixth century BCE it was already widespread in India.
tion is evidently very old. It is less easy to understand,
Among the presuppositions of this doctrine is the notion that
though, why it was originally absent from Egypt and the an-
space and time are endless. The identity of the self depends
cient Near East, from ancient Japan and China as well as
on (moral) karmic determinants. Life is an unending, eter-
from the Indo-European peoples. Unfortunately, contempo-
nal, weary round of suffering, governed by an automatic cau-
rary knowledge of the roads by which beliefs have traveled
sality of reward and punishment (kamma) that takes the soul
in prehistory are so obscure that explanations of this geo-
from one existence to another through all six spheres of
graphical spread can only be speculative.
being, from that of the gods to that of “hungry spirits” and
demons.
There is more certainty about the nature and function
of this belief in reincarnation, however. Firstly, there is a dis-
In Indian religious sensibility the emphasis is not so
tinction between the transmigration of a deceased person
much on the duality of life/death as on birth/dying. The
into an animal and the reincarnation into a person. The for-
problem about rebirth is that of necessity it also implies “re-
mer is much less current than the latter, but it is well attested.
dying,” that is, death recurring ad infinitum, unless a person
Among some Alaskan Inuits, for example, it was believed
succeeds in escaping from the vicious circle of sam:sa¯ra (also
that the souls of the dead migrated into their dogs. On the
depicted iconically as the monstrous wheel of unending exis-
other hand, the most frequent belief is that the birth of a new
tences, the bhavacakra, and described graphically in the Bud-
child signifies the rebirth of an ancestor. From the ancestors,
dhist Avadana and Nidana literature) into ultimate liberation
it is nearly universal that it is usually a deceased grandparent
(Hindu moks:a, Buddhist nirva¯n:a). It should be emphasized
who is the favorite incarnated person, as is also indicated by
that the ultimate goal (artha) is release and escape; the heav-
the identity of the name; in West Africa the identity between
ens (svarga) are still part of the samsaric world. Doctrinal dif-
ancestor and reincarnated child seems particularly marked.
ferences of opinion relate to the method of liberation (yoga,
Through the reincarnation the young child becomes incor-
mortifications, the “middle path”) as well as to the precise
porated, so to say, in the ancestral line, which reinforces or
definition of the liberated state.
creates new kinship relationships; reincarnation is very much
The descriptions in the Brhad Aranyaka Upanis:ad
a social process. This identity between ancestor and young
6.12.15f. (cf. also Kausitaki Upanis:ad and Mundaka
child often is so strongly linked in some cultures that corpo-
Upanis:ad) still exhibit a somewhat mythological character.
ral punishment of children was prohibited out of respect for
Those who have achieved perfection and have realized their
the ancestors. At the same time, the ancestor functions as a
true self go, after death, the “way of the sun,” namely, the
kind of guardian spirit for the youngster.
path of the gods (devayana): they enter the abode of brahman
In addition to being evidence of an older ancestor, a
(brahmaloka) never to return again. Those who have not
newly born baby is sometimes perceived as the reincarnation
achieved ultimate self-realization but have lived a life of sin-
of a previously deceased young child. It is plausible that this
less piety and devotion, through sacrifices, penance, and
belief has originated in an attempt to comfort parents regard-
charity, go along the path of the ancestors (pitryana) to the
ing the loss of an earlier child.
world of the moon, where they become rain and subsequent-
INDIA. The notion of transmigration and reincarnation is a
ly food: “Gods feed on them, and when that passes away
pivotal aspect of the general socio-religious belief system in
from them, they start on their return journey to the reborn
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TRANSMIGRATION
as human beings. . .Thus do they rotate.” Evildoers are re-
GREEK RELIGION. Reincarnation in ancient Greece was “in-
born as insects and vermin. According to the Chandogya
vented” by Pythagoras, an aristocrat from Samos, who came
Upanis:ad 5.10.7, they are reborn as dogs and pigs. As has
as an exile to Croton in southern Italy around 530 BCE. Here
been noted above, heaven too is part of the samsaric cycle,
he developed his teachings about reincarnation that are only
and hence gods too are reborn, even as human beings can
vaguely known, due to the fact that no writings of Pythagoras
be reborn as devas, to be subsequently reborn once again.
himself have been preserved and his community was almost
completely massacred in the middle of the fifth century BCE.
What or who exactly is it that is reborn? Unorthodox
Yet his contemporary Xenophanes of Colophon (sixth centu-
sramanic teachings as well as Upanisadic speculation provide
ry BCE) (fragment B 7, ed. Diels/Kranz) already told the fol-
a varied technical vocabulary (atman, jiva, purusa) to deal
lowing, uncomplimentary anecdote: “And once, they say,
with the questions of empirical ego, real self, and so forth.
when he passed by a dog which was being maltreated, he pit-
Some systems of thought conceive also of spiritual entities
ied the animal and said these words: ‘Stop! Don’t beat him!
in terms of a subtle, ethereal matter; one such example in
For he is the soul of a friend whom I recognized straightaway
Western history would be the Stoics.
when I heard his voice.’” Regrettably, it is not known how
Jainism. In the Jain system, the living entity is called
often Pythagoras thought of a reincarnation, but both Pindar
jiva (the eternal “soul” or “life”), and it is doomed to unend-
(fragment 133, ed. Maehler) and Plato (Phaedrus 249a)
ing rebirths as long as it is covered and encumbered (as if by
speak of three times, of which the first reincarnation has been
a thinner or thicker film) by kamma, which is conceived as
occasioned by a mistake in the underworld. Aristotle (384–
a kind of fine matter. The generation of new kamma must
322 BCE) notes: “as though it were possible, as in the tales
be stopped, and the accumulated kamma already present
of the Pythagoreans, for just any soul to clothe itself in just
must be removed if liberation is to be achieved. That such
any body.” Apparently, Aristotle thought that Pythagorean
liberation can be achieved is demonstrated by the line of jinas
reincarnation went from body to body, but the mid-fifth-
(lit., “conquerors”).
century philosopher Empedocles clearly taught differently,
as he wrote: “already I have been a boy and a maiden, a bush
Buddhism. The Buddha left no writings himself. Be-
and a bird and a fish jumping up from the sea” (fragment
cause Buddhist teachings were written down much later, the
B 117, ed. Diels/Kranz). This process could last an extremely
oldest stage of Buddhist teaching about transmigration is un-
long time, as Empedocles speaks elsewhere of wandering
known. The fascinating problem of Buddhist doctrine con-
“thrice ten thousand seasons” (fragment B 115, ed. Diels/
cerning karmic rebirth arises from the fact that Buddhism
Kranz). The origins of Pythagoras’s views are unknown. Ear-
denies the existence of an atman—that is, self, or ego-
lier generations of scholars liked to connect him with Bud-
substance beyond the empirical ego, which is a transitory
dhist views as he was nearly a contemporary of Buddha, but
combination of “heaps” of “elements” (skandhas). Regardless
the down dating of the Buddha (above) has made this im-
of whether the anti-Brahmanic doctrine of anatman (“no-
probable. It seems possible, however, to isolate a few factors
self”) was already explicitly taught by the Buddha himself or
that may have played a role to a smaller or larger degree.
was developed later, it is a central concept of historical Bud-
dhism. It is clear, though, that reincarnation did not yet oc-
First, reincarnation could only come about when the
cupy a position of prime importance in the teachings of the
Greek concept of psychê had developed into humankind’s
Buddha himself, but was elaborated in minute detail only by
immortal self. It seems indeed that Pythagoras was also the
his later pupils, as in the Abhidharma Pitaka of the Pali-
first Greek to develop this particular idea of the soul. Second,
canon.
the aristocratic Greeks were historically more interested in
group survival than in personal survival. Yet at the end of the
Tibet. The application of the doctrine of rebirth in
archaic period, there seem to be signs of an increasing interest
Tibet, a culture decisively shaped by one particular form of
in a more personal form of survival. Reincarnation can be
Buddhism, deserves special mention because of its relevance
seen as a more radical answer to this general development.
to the social system and its political institutions. Buddhism
Pythagoras’s loss of political power around 500 BCE may have
was established late in Tibet, not before the seventh century
been an extra stimulus for developing the doctrine of reincar-
CE. However, it would last to the fifteenth century before the
nation, since the survival of the soul singled out those rein-
characteristic connection between the worldly and spiritual
carnated from those who were not. In other words, the doc-
powers started to receive its well-known contemporary form.
trine may have been a kind of comfort to those of his pupils
Whereas initially it was only the leader of one of the many
and friends that followed him into his exile. It might echo
monk communities whose rule was determined by reincarna-
in the thesis of Max Weber (1864–1920), which posits that
tion, in the seventeenth century Mongolian support stabi-
the rise of religions of salvation, such as Christianity, was also
lized the rule of the Dalai Lama, which endured until the
the consequence of the depoliticization of the educated
Chinese conquered Tibet in 1951 and eliminated the theoc-
classes.
racy. The influence of the exile of the renowned fourteenth
Dalai Lama on the Tibetan ideas of reincarnation still re-
It was probably only a short while after Pythagoras that
mains to be properly assessed.
somebody in southern Italy developed a new set of doctrines
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TRANSMIGRATION
9329
and practices which were promulgated not under their own
nation was clearly not part of Indo-European traditions and
name but that of the most famous singer of the Archaic Age,
there is little reliable evidence about such views in medieval
Orpheus. The so-called Orphics introduced vegetarianism,
Celtic literature, the Druids may well have taken over Greek
and modified existing Bacchic mysteries. At the same time
views, perhaps via Massilia (Marseilles). Unfortunately, there
they also produced new teachings (1) on the coming into
are no further detailed sources, and this intriguing possibility
being of the cosmos, gods and humankind; (2) on eschatolo-
remains an unsubstantiated one.
gy; and (3) reincarnation. Pindar (fragment 133 Maehler) al-
E
ready declares that the best roles in future reincarnations will
ARLY CHRISTIANITY. The early Christians firmly believed
in the resurrection of the body and therefore opposed the
be for those “from whom Persephone accepts compensation
doctrine of reincarnation. Although there were a few excep-
for ancient grief (viz. because the Titans had killed her son
tions that were prepared to consider its validity, such as Ori-
Dionysos)” and this “ancient grief” is also alluded to on re-
gen, even he came to a negative conclusion. In the second
cently found Orphic Gold Leaves. On an Orphic bone tablet
and third centuries
that was found in Crimean Olbia c. 400
CE, especially, church leaders tried to re-
BCE, the terms “life-
fute the belief, but around 400
death-life: truth; Dio(nysos)-Orphik(?oi)” are legible, and in
CE reincarnation no longer
played a role in the internal and external Christian debates.
his Meno (81a) Plato (c. 428–348 or 347 BCE) attributes the
Apparently, this decline in polemics went hand in hand with
doctrine of reincarnation to “priests and priestesses who try
the loss of pagan interest in reincarnation.
to give an account for the functions of their activities,” that
is, to wandering Orphics. It is part of this doctrine that the
It was different with the Gnostics. They opposed the
body is looked at rather negatively and considered to be the
idea of resurrection, and thus it is hardly surprising that some
“prison of the soul.”
of them—in particular the Carpocratians—were more sym-
pathetic to reincarnation, even though they limited its num-
As with Pythagoras, there are few particulars about Or-
bers. It seems possible that the Gnostics had reinterpreted the
phic reincarnation, but it is certain that Plato used Pythago-
older Greek beliefs in a more optimistic way, but the fact that
ras and the Orphics. His views on reincarnation have to be
the Gnostics are viewed in this respect only through the
deduced from his dialogues, whose temporal order still is de-
prism of Christian theology makes every interpretation a
bated. It seems that in his oldest dialogues Plato still is not
somewhat dubious affair.
completely convinced of the reality of reincarnation, but in
the middle ones (Phaedo, Phaedrus and the Republic) the doc-
MANICHAEISM. Manichaeism is the only world religion that
trine has become an important part of his eschatological
has disappeared. It was founded by Mani, who was probably
views, even though the content varies depending on the dia-
born on April 24, 216. He was may have been descended
logue. It is important to note that Plato’s Phaedo gives evi-
from Persian aristocracy but certainly grew up in a Jewish-
dence of the important process of ethicization, to use the
Christian group, the Elcasaites, and died in 277 in a Persian
term employed by Gananath Obeyesekere (2002), in which
prison. His followers carried his beliefs to the West, where
the bad receive a bad reincarnation (into animals) and the
they found in Augustine a temporary convert, and to the
philosophers go to the gods.
East, where they were more successful. Via the Silk Road,
Manichaean faith traveled to China, where the last
Plato’s ideas were rejected by some of his pupils and Ar-
Manichaeans probably died in the sixteenth century. Mani
istotle, but the Pythagoreans carried them into later antiqui-
worked in a geographical area that was influenced by Zoroas-
ty. The doctrine is found with philosophers like Plutarch
trian, Jewish, Christian and Buddhist views and this plurality
(before 50–after 120 CE), the Corpus Hermeticum, and the
makes it difficult to isolate the precise origin of many of his
so-called Chaldaean Oracles, but it became far more influen-
ideas. The difficulty is compounded by the need to recon-
tial among the Neoplatonists like Plotinus (205–270 CE) and
struct the Manichaean doctrines from a whole series of lan-
Porphyry. Unlike Plato, the former even considers a reincar-
guages, ranging over many centuries from Latin and Coptic
nation into plants a possibility. Moreover, Plotinus clearly
until Sogdian and Chinese.
had precise thoughts about the different stages of reincarna-
tion. Whereas the first rebirth is seen as an entry, the subse-
The Elcasaite community in which Mani grew up prac-
quent ones he calls metenso¯mato¯sis, or “re-enbodyment”; peo-
ticed vegetarianism, which in antiquity often went concomi-
ple can remember their previous lives, and there is no
tant with a belief in reincarnation. Indeed, a Christian source
liberation from the cycle of rebirths. Later philosophers had
reports that one of the Elcasaites, Alcibiades, taught that
much difficulty with the thought of a transmigration into an-
Christ had experienced already many a rebirth before being
imals and it is striking that in the second half of the sixth
born from the Virgin Mary. This information points to a
century, Olympiodorus, one of the last Neoplatonists, reject-
Greek origin rather than an Indian one, as later Arab histori-
ed the doctrine of reincarnation.
ans suspected.
CELTS. According to Caesar in his Gallic Wars (6.14) the
The Manichaeans taught that the soul could be reborn
Druids believed that souls did not perish but wander after
in humans, plants and animals. The aim was to be reborn
death; for this reason Clement of Alexandria (Stromateis
in an elite Manichaean, a so-called electus, and in this way
1.15) already compared them with the Brahmans. As reincar-
to become liberated from the cycle of rebirths. It is clear that
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9330
TRANSMIGRATION
the Manichaeans dreaded their rebirths, as they could be-
tions have been offered to the question from where the Cath-
come birds, mice, or even grass.
ars derived their doctrine—from Jewish, Islamic or “hereti-
I
cal” Christian traditions—it is only fair to say that none has
SLAM. From the eighth century CE onward, Islam received
a clear impetus regarding the doctrine of reincarnation from
been demonstrated in a satisfactory manner.
the Manichaeans and Neoplatonists. Yet whereas conven-
The Romans had not been overly interested in reincar-
tional Islam strictly rejected reincarnation, “heretical” cur-
nation, but it was Publius Ovidius Naso (43–17) who,
rents embraced the doctrine, in particular the Syrian Ala-
through Book XV of his Metamorphoses, kept the memory
wites, the Lebanese Druze, and the Anatolian Alevites. Their
of Pythagoras and his teachings alive through the Middle
heretical position explains why they kept their teachings
Ages. This meant that the doctrine was regularly discussed
highly secret. It was only in the nineteenth century that apos-
and always rejected. Even during the Renaissance and the
tate Alawites started to publish some of their texts. These
immediate successive centuries, followers of the doctrine are
show that reincarnation is meant to enable the light souls to
extremely hard to find. Giordano Bruno (1548–1600) was
ascend to heaven through their reincarnations. The believers
a rare exception to this. Yet it is only in the later seventeenth
can reach this goal in seven times, but the non-believers have
and eighteenth centuries that evidence arrives of a renewed
to die and be born again a thousand times. Particularly bad
interest in the doctrine, undoubtedly favored by the growing
is the transmigration into an animal or plant. It seems that
questioning of normative Christianity by leading intellectu-
the doctrine also helps to explain human misfortune as a
als amongst whom Gotthold Ephraim Lessing (1729–1781)
penalty for misdemeanors in previous lives.
played a leading role.
JUDAISM. Like normative Christianity and Islam, normative
THEOSOPHY, ANTHROPOSOPHY, NEW AGE. Despite a grow-
Judaism also rejected reincarnation, and it is not mentioned
ing interest in reincarnation among European intellectuals
in the texts of biblical and rabbinical Judaism. The first expo-
in the nineteenth century, the continuing rejection by nor-
sition of reincarnation in a primary Jewish source occurs
mative Christianity meant that it was only in alternative cir-
around 1200 CE in the book Bahir, which was probably writ-
cles that the doctrine of reincarnation could gain a perma-
ten in southern France. It is a typically Jewish touch that the
nent position. The source of all modern views is the
cycle of rebirths ends with the Messiah, who himself stands
Theosophical Society, which was founded by Helena Petrov-
outside the cycle. Allusions to and discussions of reincarna-
na Blavatsky (1831–1891) in 1875. This imaginative dilet-
tion can be found before Bahir and go back at least to the
tante found traces of reincarnation even in Egyptian sources
eighth century CE. This suggests a possible influence from
and the Bible, where previous scholars had not. It was her
Islam, but a Neoplatonist and/or Manichaean background
encounter with India that led her to develop her views on
cannot be excluded either, given that some Manichaeans
reincarnation—which, however, were filled with typically
were still present in Mesopotamia around that time.
European ideas, in particular the evolutionary development
Since the thirteenth century the notion of gilgul has
of the personality. Blavatsky was still trying to come to terms
been a central qabbalistic tenet, which also found a place in
with the combination of Asian and European concepts, but
the most influential qabbalistic text of that era, the Zohar by
Rudolf Steiner (1861–1925) attempted especially in the last
Moses de Léon (d. 1305). After the expulsion of the Jews
years of his life, to make reincarnation one of the central te-
from Spain, the doctrine of reincarnation went with them
nets of his anthroposophy. Steiner was much impressed by
to other areas where Jews were living. This meant that via
the scientific progress of the nineteenth century and tried to
Galilee Safed in sixteenth-century Galilea it eventually
make his views on reincarnation acceptable to a public that
reached eastern Europe, where Hasidic leaders regularly tried
admired the latest insights of science. His views, however,
to legitimize their position by claiming to be a reincarnation
must be gleaned from his voluminous writings, because he
of previous great rabbis and scholars. This tradition largely
never succeeded in delivering a systematic exposition. The
ended after the upheavals of World War II and the Holo-
reincarnation, according to Steiner, starts in prehistory
caust.
where the soul arises from a kind of sea “of the spiritual (Ger-
man: des Geistigen)” and where it also ends. In the time be-
WESTERN CHRISTIANITY. Around the same time as Bahir,
tween the reincarnations, which may last on average between
if not already a few decades earlier, reincarnation can be
1,000 to 1,300 years, the souls wait on one of the planets.
found among the Cathars of southern France. The best in-
During this period the soul keeps its memory and before re-
formation comes from the protocol of interrogations in the
entering a body it looks for an appropriate pair of parents.
Pyrenees by Bishop Jacques Fournier (1285–1342). Cathar
Steiner himself usually concentrated on male reincarnations
belief was strongly dualistic: people had a good soul in a bad
and was not averse to speculations about his own historical
body. Souls traveled from body to body until they finally,
“ancestors.”
if they had become a Cathar, could return to heaven. It is
in this final body also that the resurrection will take place.
Over the course of the twentieth century, the idea of re-
The Cathars clearly admitted to a transmigration into ani-
incarnation gained increasing popularity, in particular
mals and, as a rule, seemed to have limited the number of
among adherents of what is loosely called New Age religion,
reincarnations to about seven. Although all kinds of solu-
and is even accepted by some Christian theologians. It is also
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TREASURE TRADITION
9331
not unusual to find acceptance of the belief that people
Pratyutpannasama¯dhi Su¯tra that predicts the su¯tra would
choose their own incarnation. Yet contemporary believers are
come to be hidden in the ground for future times when it
less interested in the physical rebirth than in the progressive
could be propagated again. The Treasures also draw widely
spiritual evolution through successive “realities.” They often
on a range of notions about revelation and visionary inspira-
no longer think of a surviving mortal “I” but rather prefer
tion from both Indian and Chinese religions. However, as
to believe in a True Individuality or Higher Self, which con-
a well-defined movement with far-reaching political and
stitutes the link between this life and the previous or coming
cultural significance, Treasure is a distinctively Tibetan phe-
ones. Some New Age sources even claim that reincarnation
nomenon.
transcends space and time and that past and future lives coex-
ist with the present lives. But such views occur especially in
Treasure-like claims can be found in the colophons of
authors who tend to theoretical speculations and often have
some of the early Tibetan Snying thig (Nyingthig, “Heart
a science-fiction background.
Sphere”) scriptures, but the Treasure tradition in its full form
only emerges gradually. It is common both to certain
Recovery of the past lives can now also be used for thera-
branches of Tibetan Buddhism and to the adherents of Bon,
peutic purposes. In a twist that is not altogether surprising,
another religious tradition that has ancient roots in Tibet but
a belief that once was typically religious is used to achieve
that comes together as a school at around the same time as
psychological improvement.
the appearance of Buddhist Treasure adherents. An early
Bonpo “treasure discoverer” (gter ston) is said to be Gshen
SEE ALSO Orpheus; Pythagoras; Reincarnation.
chen Klu dga’ (Shenchen Luga) of the eleventh century. A
formative moment for the Buddhist Treasure tradition is to
BIBLIOGRAPHY
be identified in the work of Nyang ral Nyi ma ’Od zer
All previous general expositions have now been supplanted by the
(Nyangral Nyima Ozer, 1136–c. 1204), a visionary and
brilliant, erudite and balanced survey by Helmut Zander,
Geschichte der Seelenwanderung in Europa (Darmstadt, Ger-
scholar of the Rnying ma (Nyingma) school of Tibetan Bud-
many, 1999); note also Gananath Obeyesekere, Imagining
dhism. This Treasure discoverer codified a full-length hagi-
Karma. Ethical Transformation in Amerindian, Buddhist and
ography of Padmasambhava, the Indian Tantric master who
Greek Rebirth (London, 2002). For the non-literate cultures
is said to have been invited to the royal court in the eighth
see Michael Bergunder, Wiedergeburt der Ahnen (Münster,
century to teach Buddhism to the Tibetans. This story in-
Germany, 1994). For the earliest Indian stages see H.
cluded seminal passages about Padmasambhava’s conceal-
Bodewitz, “The Hindu Doctrine of Transmigration. Its Ori-
ment of Treasure as part of his mission in Tibet.
gin and Background,” Indologica Taurinensia 23–24 (1997–
98): 583–605. For Greece and the Cathars see Jan N. Brem-
Nyang ral Nyi ma ’Od zer and his hagiography of Pad-
mer, The Rise and Fall of the Afterlife (New York, 2002). For
masambhava are concerned primarily with the triumph of
the Celts see Helmut Birkhan, “Druiden und keltischer
Buddhism over Tibet’s older religions, especially the tradi-
Seelenwanderungsglaube,” in Johann Figl and Hans-Dieter
tions called Bon, but the Bon tradition produced many Trea-
Klein (eds.), Der Begriff der Seele in der Religionswissenschaft
sures of its own and flourished throughout the same time pe-
(Würzburg, Germany, 2002) 143–158. For New Age see
riod that the Buddhist treasure tradition did. These Bon
Wouter J. Hanegraaf, New Age Religion and Western Culture
Treasure scriptures contain much of the same range of types
(Albany, N.Y., 1998). A Rosicrucian approach can be found
in Édouard Bertholet, La réincarnation (Lausanne, Switzer-
of meditative and ritual practices as the Buddhist Treasures,
land, 1970). Other works of merit are La Réincarnation: Thé-
but their narratives of the period of the royal court are told
ories, Raisonnements et Appréciations, ed. Carl-A. Keller
from a different perspective, focusing upon Bonpo struggles
(Berne, Switzerland, 1986); Karma and Rebirth in Classical
with the Buddhist faction and the persecution of Bon by the
Indian Traditions, ed. Wendy Doniger O’Flaherty, (Berke-
Buddhist kings. They trace the ultimate origins of Treasure
ley, Calif., 1980); Hans-Peter Hasenfratz, Die Seele (Zürich,
teachings to the founder of the Bon religion, Gshen rab Mi
Switzerland, 1986), and Hasenfratz, “Seelenwanderung,” in
bo (Shenrab Miwo), and to early Bon masters in Tibet.
Gerhard Krause, Gerhard Müller, et al. (eds.), Theologische
Realenzyklopädie, vol. 31 (New York, 2000), pp. 1–4.
In the Buddhist version of the Treasure story, the ratio-
nale for hiding Treasures is said to have been formulated
R. J. ZWI WERBLOWSKY (1987)
J
when Padmasambhava discerned the future, a time when Ti-
AN N. BREMMER (2005)
betans would need special teachings to get them through cer-
tain difficult periods. He therefore designed special Buddhist
practices and scriptures just for those times and proceeded
TRANSSEXUALITY SEE GENDER ROLES
to set up the circumstances for those special teachings to be
revealed at just the right moment. This involved designating
some of his own disciples to reveal those teachings in a future
lifetime. Padmasambhava then uttered an empowering
TREASURE TRADITION. The Treasure (gter ma)
prophecy about that future revelation and proceeded to hide
tradition has some precedents in Indian Buddhism. One
the teachings in a way that they would not be available until
striking example is a prophecy by the Buddha in the
the proper prophesied moment in the future.
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TREASURE TRADITION
As the Treasure tradition develops, the manner in which
selves outside of the conventional monastic and academic av-
Padmasambhava and other treasure concealers—both Bud-
enues for self-advancement. But that was precisely what
dhist and Bon—hide these teachings comes to be distin-
made them subject to doubt. This doubt is also represented
guished into several types. The basic form of the story is that
in psychological and personal terms in accounts of the expe-
the Treasures are buried in the physical world—in, for exam-
riences of the discoverers themselves. In fact it is for this rea-
ple, the ground or a stone or a pillar. But another mode soon
son that the Treasure tradition spawned prodigious autobio-
appears by which the concealer buries a Treasure in the
graphical writing throughout its history, often focused on
memory of the future discoverer. This alternate means rely-
narratives, sometimes idiosyncratic and poetic, of dreams, vi-
ing on mental processes and visionary experiences and is
sions, and meditative experiences. In these experiences the
often said to be set into motion when the concealer transmits
visionary would make contact with the teachers of the past
ritually to the future discoverer an especially impressive com-
who had originally concealed the Treasure, such as Padma-
munication. This makes it memorable enough to be held in
sambhava or an exalted Bon po master. The discoverers were
mind over the course of several lifetimes. In either case—of
often preoccupied with “reading the signs” of their lives,
the “earth Treasures” or the “mental Treasures”—the buried
their bodies (which often included special marks and pat-
teaching is usually encoded in some way, often said to be a
terns on the skin), and their surroundings in order to pick
special abbreviated language or script distinctive to the
up signals and evidence that would connect them with their
d:a¯kin¯ıs, a class of female enlightened spirits. Padmasamb-
prophecy texts and elements of a past life as a disciple of the
hava’s consort and disciple Ye shes mtsho rgyal (Yeshe
original concealer. Once the discovers did access the actual
Tsogyal), a former Tibetan queen, is herself cast as a d:a¯kin¯ı
Treasure itself—which often came in abbreviated form either
and served as Padmasambhava’s principal helper in the effort
in a dream, in a vision, or in “reality” in the form of a small
to conceal treasure. Ye shes mtsho rgyal often is said to have
scroll of paper with just a few cryptic linguistic indications—
been both the scribe for the Buddhist treasure teachings and
they would struggle with “decoding” the initial Treasure
their encoder.
signs, a struggle that itself would have to draw on a whole
Concealing the Treasure in code helps protect it against
range of esoteric yogic practices and skills. In short, a key part
discovery by the wrong person at the wrong time. The other
of what made the Treasures credible was just such genuine
element that ensures that the Treasure reaches its correct des-
doubts and heroic struggles on the part of the visionary intro-
tination in the future is the prophecy uttered at the time of
ducing them.
the treasure’s concealment. In the case of the Buddhist Trea-
The successful effort to access Treasure material and
sures, these prophecies are uttered by Padmasambhava and
then decode and unpack it to serve as a teaching tradition
serve to name the future discoverer and some of his (and
served to bolster the reputation of the discoverer himself or
sometimes her) circumstances, also often in coded or abbre-
herself, and indeed the success of a Treasure often rode on
viated form. When a discoverer in later times comes to pres-
the discoverer’s charisma and personal power. But other
ent a teaching that is claimed to have been originally hidden
kinds of evidence were also marshaled. In many ways it was
as Treasure, one of the things that adds to the credibility of
frequently the virtues of the teachings themselves—their rit-
that claim is if the Treasure does indeed contain this pro-
ual or soteriological efficacy, their aesthetic qualities, and
phetic utterance, with specific reference to the discoverer’s
their compelling narratives—that made them believable and
name and other characteristics.
worthy of veneration as representations of truth and reality,
Most Treasure texts do include such prophecies as part
that is, as teachings of an enlightened figure like Gshen rab
of the narrative sections that advance the legitimacy of the
Mi bo or Padmasambhava who served as an intermediary for
Treasure itself. When one considers what Treasures are from
primordial enlightenment itself.
the perspective of the discoverer, one can understand why le-
In the Buddhist case, the Treasure promoters argued
gitimacy is such a key issue. Treasure teachings usually come
that their teachings should actually be considered to be origi-
in the form of texts although they can also come in the form
nally and most basically the actual words of a buddha, on a
of objects, such as ritual instruments or symbolic images. To
par with other canonical Buddhist scriptures translated from
claim that such things, be they textual or otherwise, were in-
Indic languages into Tibetan. Evidence of the success of
deed concealed in the past for a particular purpose to be ful-
these Treasure scriptures may be seen in the careers of the
filled in the present and additionally that the discoverer is
discoverers and the kinds of following they attracted and the
a reincarnation of a person in the past specifically appointed
communities and institutions they built. It can also be as-
to uncover that Treasure now requires support and evidence
sessed in the longer term legacy: how often a given Treasure
in order to be believed.
cycle was published, how often it was ritually performed. In
In fact the Treasures were regularly subject to criticism
fact there have been hundreds of Treasure discoverers intro-
by skeptical members of most schools of Tibetan Buddhism.
ducing treasure texts and objects from the twelfth century CE
Partially such skepticism had to do with institutional and
to the twenty-first century. Many achieved great fame, and
sectarian competition. In large part the Treasure tradition
their works had lasting influence upon Tibetan literature, re-
served as a vehicle for religious figures to distinguish them-
ligious practices, and especially narratives about Tibet’s royal
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TREES
9333
past and its present religious identity. Some of the discover-
who predominated in treasure production but also among
ers, like Klong chen pa (Longchenpa), were also scholars of
some of the more monastic communities and other schools
the highest order. Others, such as ’Jigs med gling pa (Jigme
of Tibetan Buddhism. One particularly notable example is
Lingpa), introduced Treasure ritual cycles that had far-
that the powerful fifth Dalai Lama had Treasure discoveries,
reaching popularity and influence.
and other Dalai Lamas had important connections with
Treasure figures.
It should also be noted that Treasure activity was some-
times the site of collaboration between Buddhists and Bon
It is not coincidental that Treasure discovery continues
pos. In the nineteenth century the principal Buddhist Trea-
to be a popular means for lamas to produce teachings and
sure cycles were collected by the polymath Kong sprul blo
gain followers inside Tibetan areas in China in the early
gros mtha’ yas (Kongtrul Lodro Taye), himself originally a
twenty-first century. The potentially nationalist implications
practitioner of Bon. Kong sprul worked in association with
of the tradition have not been lost on the governmental au-
the visionary ‘Jam dbyangs mkhyen brtse’ i dbang po (Jamy-
thorities, who for the most part have enforced a ban on Trea-
ang Khyentse Wangpo) and other colleagues and codified a
sure discovery and have imposed tight restrictions on flour-
corpus of Buddhist Treasures in a single collection, the Rin
ishing communities that continue to grow up around such
chen gter mdzod, of over one hundred volumes. A product
visionaries.
of the nonsectarian Ris med (Rime) movement, this collec-
SEE ALSO Bon; Dzogchen; Klong chen rab ‘byams pa
tion is organized by literary genre and ritual purpose. It con-
(Longchenpa); Kong sprul Blo gros mtha’ yas (Kongtrul
tains a wealth of meditation techniques, ritual actions, and
Lodro Taye); Padmasambhava; Ye shes Mtsho rgyal (Yeshe
descriptions of deities. It also includes key narratives about
Tsogyal).
Tibet’s royal dynasties, the glories of its kings, the defeat of
(in this version) anti-Buddhist demons and ministers, and
BIBLIOGRAPHY
the process by which the Buddhism that Padmasambhava
Germano, David F. “Re-membering the Dismembered Body of
taught to the court was taken in to become Tibet’s national
Tibet: The Contemporary Ter Movement in the PRC.” In
religion. The Bon po Treasure literature was also collected,
Buddhism in Contemporary Tibet, edited by Melvyn Gold-
codified, and divided into two main sections that are similar
stein and Matthew Kapstein. Berkeley, Calif., 1998.
to those of the more mainstream Tibetan Buddhist canon,
Gyatso, Janet. “The Logic of Legitimation in the Tibetan Treasure
the Kanjur and Tanjur. But unlike the Buddhist Kanjur and
Tradition.” History of Religions 33, no. 1 (1993): 97–134.
Tanjur, this massive Bon po collection of several hundred
Gyatso, Janet. “Guru Chos-dbang’s gTer ’byung chen mo: An Early
volumes consists almost entirely of Treasure texts. Its date
Survey of the Treasure Tradition and Its Strategies in Dis-
of compilation is not entirely clear, but it almost certainly
cussing Bon Treasure.” In Tibetan Studies: Proceedings of the
predated the Buddhist Rin chen gter mdzod (Repository of the
Sixth Seminar of the International Association of Tibetan
precious Treasures), possibly by a few hundred years.
Studies, edited by Per Kvaerne, vol. 1, pp. 275–287. Oslo,
1994.
For both the Bonpos and Buddhists, Treasure text pro-
duction constituted a way to formulate new teachings suited
Gyatso, Janet. Apparitions of the Self: The Secret Autobiographies of
to particular situations and audiences while giving them an
a Tibetan Visionary. Princeton, N.J., 1998.
aura of authenticity, antique pedigree, and religious power.
Hanna, Span. “Vast as the Sky: The Terma Tradition in Modern
Their specifically Tibetan character is evident in both Trea-
Tibet.” In Tantra and Popular Religion in Tibet, edited by
sure traditions. The Bon po Treasures are replete with de-
Geoffrey Samuel, Hamish Gregor, and Elisabeth Stutchb-
tailed rituals and deity lore that have no analogue in India
bury, pp. 1–13. Delhi, 1994.
and are clearly of ancient Tibetan origin. In the Buddhist
Karmay, Samten G. The Treasury of Good Sayings: A Tibetan His-
Treasures Tibetanness becomes salient in debates about can-
tory of Bon. London, 1972.
onicity, authorship, and origins. Tibetan Buddhist ortho-
Kvaerne, Per. “The Literature of Bon.” In Tibetan Literature:
doxy had it that all genuinely original and canon-worthy
Studies in Genre, edited by José Ignacio Cabezón and Roger
Buddhist teachings had to come from India. By tracing a
R. Jackson, pp. 138–146. Ithaca, N.Y., 1996.
Treasure’s origins back to a primordial Indic buddha or bud-
Thondup, Tulku. Hidden Teachings of Tibet: An Explanation of the
dha principle, the treasure theorists managed to have it both
Terma Tradition of the Nyingma School of Buddhism. Lon-
ways: to give the Treasure an aura of authenticity even while
don, 1986; reprint, Boston, 1997.
allowing historical Tibetan teachers to formulate new materi-
JANET GYATSO (2005)
als under the Treasure tradition’s aegis. In both cases it is
thus no accident that the Treasure narratives display so much
concern with Tibetan history, its leaders, its invasions, its
glories, and its disputes. Treasure became a venue for Tibet-
TREES are a form of nature that represent life and the sa-
an religious production qua Tibetan. It eventually became
cred continuity of the spiritual, cosmic, and physical worlds.
a popular means to acquire spiritual charisma not just by the
A tree is often used to symbolize a deity or other sacred
unconventional yogis of the Bon po and Rnying ma schools
being, or it may stand for what is sacred in general. The reli-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9334
TREES
gious beliefs that surround a tree may include as sacred any
enhance their spiritual force, as in the Japanese art of bonsai,
one or all of the physical parts of the tree: its trunk, branches,
builds gentleness of character, religious spirit, and respect for
leaves, blossoms, sap, or roots. Sacred objects constructed
humankind.
from the wood of special trees are also used for religious pur-
The Andaman Islanders use the intrinsic qualities of hi-
poses.
biscus trees to aid them in their struggles to catch large turtles
The physical properties of trees are combined with su-
and fish. It is through the spiritual qualities of these trees that
pernatural or sacred ideas, the beliefs that surround a tree’s
the Islanders are able to succeed in overcoming their prey and
connection with what constitutes religion in different cul-
to protect themselves from harm. The particular qualities of
tures. Trees are not only sacred in the major religions of the
the tree represent essential elements of physical and spiritual
East and West, but also in other traditions where belief in
life and ward off dangers associated with turtles and the sea.
the sacred is combined with beliefs in the power of ancestors,
The Haida Indians of North America used a power in-
in the creation of life in birth, about death and the after-
herent in hemlock branches to scrub themselves in ritual
world, and about health and illness. Trees that represent cer-
baths. The tree had the power to purify and protect the Indi-
tain deities or ancestors, serve as mediators or links to the re-
ans and to enable them to attain the degree of cleanliness re-
ligious realm, and are associated with cultural beliefs in
quired during their rituals and thus remain on good terms
heaven or the afterlife. Trees may be valued as spiritual and
with their supernatural beings.
physical contributors of life because they furnish liquids val-
ued as sacred beverages used in ritual or as medicines for cur-
Power to avert illness and evil. Trees offer protection
ing a variety of illnesses.
from both physical and spiritual illness through their associa-
tions with the divine. For the Ainu of Japan, ramat (literally
Through association with a particular religious or his-
“heart,” translated as “spirit” or “soul”) is a power that resides
torical event, an individual tree or species of tree acquires the
in all things in varying degrees. Wood is especially rich in
symbolic significance of the event as part of its meaning. The
ramat, which is provided by the spirit of Shiramba Kamuy,
oak, date palm, and willow were used in the building of Solo-
the upholder of the world and male god of vegetation. The
mon’s temple and in constructing booths at Sukkot (Lv.
Ainu believe that nothing is more effective for protection
23:40). Deodar wood is used in the construction of Hindu
against evil and spiritual problems than inaw (carved wood
temples. The oak is commonly taken to be the tree under
offerings). The wood of over fifteen kinds of trees including
which Joshua set up a pillar at Shechem to commemorate the
oak, willow, lilac, dogwood, and magnolia may be used in
nation’s covenant with God (Jos. 24:26). The Jewish captives
the carving of inaw, which are then offered to good kamuy
in Babylon in 597 BCE hung harps on weeping willows along
(spirits). Similarly three trees—the thorn, elder, and alder—
the banks of the Euphrates (Ps. 137). The religious signifi-
are predominantly used to carve inaw for bad kamuy. Inaw
cance of this act established the willow as a symbol of mourn-
are also hung in houses to provide general protection for the
ing, death, and rebirth. The branches of the palm tree stand
home and its occupants.
for Christ’s triumphal entry into Jerusalem on Palm Sunday
as well as for his rebirth. These associations are still prevalent
In the Konkan district of western India it is believed that
in Christian tradition.
barrenness can be cured by planting a tree for the uneasy
spirits that wander about and inhabit women, preventing
A society’s religious beliefs about what kinds of trees are
conception. Under favorable circumstances the evil spirit will
sacred generally depends on the nature and number of trees
leave a woman suffering from barrenness to take up residence
found in its territory. If trees are plentiful, the forest as a
in the newly planted tree, allowing the woman to conceive.
whole will also be an important part of the religion’s spiritual
The Indian mimosa tree is believed to provide spiritual pro-
beliefs and rituals. The Kwakiutl Indians of Pacific North
tection against wicked spells and the evil eye. The illness
America, like many other societies living in a tree-filled envi-
caused by S¯ıtala¯-Ma¯ya¯, the Indian goddess of smallpox, may
ronment, believe that their heavily forested inland region is
be averted by setting up a branch of the neem tree just as
the home of supernatural beings.
Buddhists invoke certain sacred trees for health.
THE INNATE POWER OF TREES. Religious or spiritual power
Trees may represent a spiritual healing for and protec-
may be inherent in a tree or in the elements that make up
tion from evil. The oil of the olive was traditionally used to
the tree. For example, in Taoist thought, trees and all forms
soothe pain and so the olive tree or a sprig of the tree has
of nature contain yin and yang energies, that is, the opposing
become a symbol of the grace of Jesus Christ through which
forces of the universe. Each tree has spiritual power as it con-
the sorrowful sinner finds eternal peace.
tains and balances these inequalities: the light and dark colors
of the leaves and bark, and the opposition between light and
The cosmic tree. In many religions the universe is por-
shadow. In southwest China fengshui stands for the interac-
trayed as multilayered, the layers kept distinct and in place
tion of yin and yang and represents a power that affects the
by a world tree running through the exact center of the cos-
world and everything in it. Fengshui may be found especially
mos. Salish Indians of North America hold that their deity
in strange and awe-inspiring trees and stones. The contem-
made three worlds, one above the other: the sky world, the
plation of these powers or the active cultivation of trees to
earth, and the underworld. All are connected by a single tree
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9335
that passes through the middle of each. The Babylonians be-
a tree of life and immortality as well. The patronesses of the
lieved that their cosmic tree, Kiskanu, was the home of the
cosmic tree for the Warao of South America are the Grand-
god of fertility and Ea’s mother, Bau, the goddess of plenty.
mothers, deities who are also associated with seasonal change
Heaven, or the home of Bai Ülgen, is believed by the Altai
and the winter solstice. The trees of the cardinal points and
people to be on the top of a giant fir tree that grows at the
the Warao deities take on an especially interesting form. The
earth’s navel. The Vasyugan Ostiak (Khanty) believed that
southeast represents the soul of the Mother of the Forest, a
the cosmic tree’s branches touched the sky and its roots ex-
deity of the world of light, while the southwest is the body
tended to the underworld. A copy of the celestial tree of the
of the Mother of the Forest. For the Warao, deities of the
Siberian Tatars stands before the palace of Erlik Khan, the
northeast and northwest represent the Tree of Life, the mori-
lord of the dead.
che palm, and so symbolize sustenance and fertility. Hebraic
teaching and Islamic tradition describe the Tree of Life with
Similarly, in Scandinavian mythology the cosmos is
its roots in heaven and its branches overarching the earth.
connected by a sacred ash, Yggdrasill. Its roots reach to Nifl-
Zoroastrianism teaches that the Tree of All Seeds, or the Tree
heimr, the lowest region of Hel; its trunk, enwrapped by the
of All Healing, which grows in the cosmic sea, Vourukasha,
snake of the ocean, is in Midgarðr, the realm of humans; and
is responsible for life on earth.
its branches reach to Ásgarðr, the home of the gods. Other
versions of the myth depict the great ash with three roots:
In ancient Egypt, the celestial tree was also a tree of life.
Niflheimr or Hel under one, Utgarðr, the realm of giants and
Its fruit kept the gods and the souls of the dead in eternal
demons, under the second, and Midgarðr under the third.
youth and wisdom. Out of this tree of life emerge divine
On top of Yggdrasill sits the eagle of Óðinn (Odin), chief
arms some of which bear gifts while others pour out the
of the gods; nearby is the Spring of Urðr (“fate”), where the
water of life from an urn. In the Vedas, Varuna lifted up the
gods dispense justice and determine the fate of the world. At
celestial tree of life and by squeezing its fruit between two
Ragnarok, the doomsday of the gods, Yggdrasill will shake
stones obtained soma, or amrta, the drink of immortality.
its roots, freeing the monsters of the lower regions.
Ancient Egyptian religion also associated this tree with fate.
Sekhait, the goddess of writings or fate, sits at the foot of the
Indian tradition offers many variations of the cosmic
cosmic tree where she records on the tree itself, or in its
tree. In the Upanisads the tree is inverted with its roots in
leaves, all future events as well as the important events of the
the sky while its branches cover the earth. The eternal asvat-
present for the benefit of future generations.
tha (“fig tree”; Ficus religiosus) is a manifestation of Brahma¯
in the universe. This forest tree is also described as rising
The tree of knowledge. For Buddhists, the bodhi tree,
from the navel of Varun:a or of Na¯ra¯yan:a as he floats in the
or bo tree, is both the source of life for all beings and the tree
waters of the universe.
of enlightenment. S´a¯kyamuni Buddha made a special resolu-
tion at the foot of this tree of wisdom to remain under its
The ancient Egyptians believed that the sky was a huge
branches until he attained supreme enlightenment. It was
tree that overarched the earth. The stars were fruits or leaves
under this tree that he attained enlightenment after he was
on the tree and the gods perched on its boughs. This tree sep-
tempted and threatened by Ma¯ra and his three daughters
arated the ocean from the sky, the upper from the lower
Tanha¯, Rati, and Ra¯ga, who were like swaying branches of
worlds. Osiris, lord of the dead, was identified with this ce-
a young leafy tree singing songs of the season of spring.
lestial tree. The sun was born from the tree every day while
the celestial tree disappeared each morning, thus marking the
The Babylonians believed that two trees guarded the
periods of night and day. The year was also symbolized by
eastern entry to heaven: the tree of truth and the tree of life.
365 trees representing the days of their calendar year.
Similarly, in the Garden of Eden described in Genesis stood
the Tree of Life and the Tree of the Knowledge of Good and
Cosmic space is also defined horizontally by trees. In ad-
Evil. After Adam ate of the fruit of the Tree of Knowledge
dition to the center of the earth and the sacred tree, with its
of Good and Evil offered by Eve, God said, “Behold, the
roots deep in the underworld and its trunks and branches de-
man is become as one of us, to know good and evil: and now,
fining the world of humans and the gods, many American
lest he put forth his hand, and take also of the tree of life,
Indian religions add sacred trees, and their associated colors,
and eat, and live forever” (Gn. 3:22). Adam and Eve were
birds or other animals, and gods, to each of the four cardinal
driven from the garden, marking the beginning of human-
directions. The Maya, the Aztec, and the Indian cultures that
kind’s troubles on earth.
later took part in their cultural heritage believed that five sa-
Trees as food. In many religions trees are believed to
cred trees (the four corners of the world and the center) were
be responsible for spiritual nurturance and sacred food. The
responsible for the organization of the universe; they allotted
Polynesians of Futuna believe that in Polotu, the abode of
particular times of the year, or entire years in some cases, to
the gods, grows a sacred tree, the Puka-tala. The leaves of this
serve under the dominion of each direction.
tree will change into a wide variety of foods when they are
The tree of life. Many religions believe that the cosmic
cooked and so may supply all needs. For the tribes of South
tree stands for the sacrality of the world, its creation, contin-
America’s Gran Chaco, the god Cotaa created a wondrous
uation, and fertility. Thus in many cases the world tree is also
tree that would provide food and drink for hungry people.
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The bark of the alder tree is credited by the Karok Indi-
into the hole where the tree had been. The falling woman
ans on the Klamath River in northwestern North America
then discovered this world, an event that marks the begin-
with providing salmon, an important food source. The cre-
ning of the Seneca culture.
ator of the world, Kareya, built a dam at the entrance of the
Trees as ancestors. A common extension of the notion
Klamath River that prevented salmon from coming upstream
of the cosmic tree as the source of all life is the belief in a
to the Karok. The bark of the alder tree looks like salmon
tree as an ancestor and creator. This belief can take many
when it is broken off the tree and wetted. A Karok myth re-
forms. The Warramunga of northern Australia, for example,
lates how this bark was used by Coyote to trick the women
believe that the new life present in the womb of a mother
who guarded the dam into allowing the salmon to come up
receives its spirit or soul from certain trees, entering the
from the ocean, forever supplying food for the Karok. Salm-
womb through the navel. The Lakota on the upper Missouri
on play both a life-sustaining and a religious role among
River say that the first man and woman were two trees and
these Indians, as does the wood of the alder tree.
that a snake chewed their roots off in order to allow the cou-
Creation of humankind. In many religions the myth
ple to walk away.
of a people’s origin relates how a cosmic tree played an im-
The Sauras of India honor the banyan tree, for they be-
portant role in either the actual creation of people or the
lieve that “it is our mother.” The banyan tree succored two
emergence of humankind in this world from some other
fatherless children whose mother had abandoned them
world. These beliefs are intimately tied to what is believed
under its branches. The children would have perished but for
to be sacred. For example, among the Ainu the human back-
the milk of the banyan that dripped into their mouths and
bone is regarded as the seat of life, and was originally made
fed them.
from a willow branch. But more frequently the cosmic tree
or tree of life is responsible for the creation of the people of
For the Ndembu, the “milk tree” (mudyi) is a dominant
a society. Kiowa religion features a girl child, Pekeahaidei,
symbol of their culture and religious beliefs. The white latex
carried by a growing tree into the sky where she marries and
sap of the tree is believed to represent breast milk and semen,
has a boy child. Carrying her child with her, she falls through
suggesting the creation and nurturance of life. This tree
a hole in her world. The child survives the fall to this world
stands for what is good in Ndembu society and is used in
and is raised by Spider Old Woman, a very sacred being.
rituals to counter evil forces. The tree also stands for the spir-
Later the child creates Kiowa culture.
its of the ancestors of the matriline, the important lineage of
descent, and so represents social custom and structure.
The Uyurucares of Bolivia believe that their god Tiri
split a tree and from the opening came all the people of the
In another vein, trees can be associated with a shrine
earth. The Zuni, in their story of creation, are brought up
dedicated to a deceased relative, who, in time, becomes an
from the lowest world level, where all is darkness, with the
ancestor. Among the Nuer a colwic is the spirit of those peo-
aid of the two sons of the sun. Branches from the pine tree
ple struck by lightning. These people are believed to have
to the north, the spruce to the west, the silver spruce to the
been chosen to enter into close kinship with the god Kwoth.
south, and the aspen tree to the east had to be gathered be-
A person killed by lightning is said to become a Child of
fore they could leave the Darkness World. The Zuni climbed
Kwoth, a spirit of the air. The blood relatives of the deceased,
the long prayer stick made from the pine of the north to the
his patriline, erect a riek or shrine over his funeral mound
third world; scaled the crook from the spruce of the west to
and plant a sapling of the nyuot tree at its side. The nyuot
the second world; used the prayer stick from the spruce of
tree is associated with the colwic spirit and with the rain and
the south to rise to the world below this one, and finally
the sky to which the soul of the dead person has been taken.
emerged into the Daylight World (this world) by climbing
When this sapling is planted during the rains (when most
the prayer stick made from the aspen tree. This emergence
lightning occurs), the tree takes root. If it were to die another
story blends the cosmic tree, the trees of the four corners, and
would be planted in its place. This tree becomes a shrine for
the tree of life as sacred elements that bring the Zuni to their
the deceased’s lineage. It is through this shrine that the de-
present world and that serve as important parts of their reli-
ceased’s spirit may become active in the everyday affairs of
gious beliefs.
his relatives.
The Seneca Indians of northeastern North America also
This idea of a sacred tree representing the lineage or clan
give an account of the discovery of the world originating with
is an old one. For many cultures, the ancestors are the deities
the sacred people of the sky. In the middle of their village
and are responsible for life, death, and spiritual happines.
stood a tree covered with white blossoms, which gave light
The wooden totem pole used particularly by cultures of the
to the people when the tree was in bloom. When the blos-
Pacific Northwest coast of North America is not merely a
soms fell, there was darkness. A woman of the Seneca
name or emblem of different family groupings. The totem
dreamed three times that the tree must be pulled up by the
is a collective label, but it also has a religious character: the
roots. After the third dream, her people uprooted the tree.
totem’s origins related to the special relationship to the an-
Upon discovering their actions, the chief became angry and
cestors and the sacred world. The inaw of the Ainu, men-
ordered the woman who had had the dream to be pushed
tioned above, were originally the receptacles of ancestral
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TREES
9337
ramat; later, the winged inaw (shutu inaw) came to represent
The spirit of a Buddhist nun of the eighth century CE
ancestors. Some of these winged inaw became minor kamuy
is believed to be embodied in a giant ginkgo tree in Japan.
owing to their concentrated ramat, and were effective in
This tree is called the Nurse Goddess Tree of Miyagi Field
warding off injurious magic.
because of hanging formations that resemble human breasts,
from which moisture drips in wet weather. This tree’s “mois-
TREES AND DIVINE POWERS. Trees may be viewed as having
ture” is believed to have the power of restoring milk to a
souls or spirits themselves or they may be a part of some di-
woman who is unable to nurse. The tree itself is worshiped
vine being. Thus trees may symbolize a deity either by serv-
as a sacred mortal who has become a god and is filled with
ing as the visible embodiment of a sacred presence or by
divine power.
marking a sacred spot that a deity frequents. Sacred trees may
be the abode of deities or may be the divine beings them-
Deities as trees. Trees may give birth to deities, or sa-
selves. For instance, the sacred heath worshiped in the time
cred beings may be made from trees. Among the Ainu of
of Plutarch grew around the sarcophagus of Osiris and was
Japan, A-e-oina Kamuy, a sky god, is born to the elm tree
known as the “soul of Osiris.”
spirit as is Kamuy Fuchi, supreme ancestress and ruler of all
departed spirits. She was born from the elm tree impregnated
Trees with souls or spirits. Many religions include be-
by Kando-loro Kamuy, the possessor of the heavens. Her
liefs that trees have souls or are sentient sacred beings. The
spirit is manifested in the sacred fire of the hearth and in veg-
Australian Aborigines believe that the spirit of humanity re-
etation.
sides in the land and that a tree, a bush, or a rock is the pres-
ent incarnation of this spirit and has great religious value. A
In Asia Minor the almond tree and the river Sangarius
group of relatives thus includes humans and the spirits of
were believed to have given birth to the god Attis, and conse-
these natural features of the landscape. If an Aboriginal leaves
quently maturing almond trees became his symbol. The Tu-
the area, he would leave a vital part of himself behind.
pari of the Mato Grosso region of Brazil believe that two of
their male gods were born from a large rock. Since they had
The pre-Islamic jinn are associated with certain kinds
no wives, they cut down two trees, and each carved himself
of trees. These trees are conceived as animate and rational,
a woman and so populated the world.
for a supernatural life and power resides in the trees. In
Greece the dryads were oak nymphs, and the tengu of Japan
Trees may also represent the essence of the deity. For
are forest spirits.
example, the Buddha’s fig tree, asvattha, is the chosen symbol
of his essence, synonymous with all existence and all life.
The Trobriand Islanders of the western Pacific depend
Among the Mandan Indians along the Missouri River in
both spiritually and physically on the spirit of their canoe
North Dakota, the world had two creators: First Creator and
and the tree from which it is made. Once a tree is selected,
Lone Man. Lone Man leaves the cedar with the Mandan as
the owner, builder, and helpers must perform a short cere-
a protection from all harm. The cedar is the body of Lone
mony before the tree can be cut down. A small cut is made
Man and contains his essence. Among the Arikara the cedar
in the trunk, and a bit of food is placed in the incision. This
trees grown in front of their lodges are the body and spirit
is an offering to the tree’s tokway, or wood sprite, to induce
of Mother Corn, an important deity.
the spirit to leave the tree so that the workers may begin the
process of converting the tree into a canoe.
Deities symbolized by trees. Wreaths and crowns of
foliage, usually laurel, olive, myrtle, ivy, or oak were sacred
The Japanese have a story about the spirit of a very large
to Apollo and so symbolized some particular personification
and old willow tree that grows near a temple. The village de-
of him. The myrtle was also a symbol of both Venus and
cides to build a bridge and use the willow’s wood for part
Neptune, the male and female deities of the productive and
of its construction. A young man, who like his ancestors be-
fertile powers of the waters. Several species of oak were sym-
fore him loves and respects the old tree, saves it by offering
bols of Zeus.
to substitute wood from his own land in place of the willow
Frequently a tree is held to be sacred because a deity re-
tree. The village accepts and the tree is saved. Returning from
sides in its branches. The a´svattha is said by some to be the
work one day the young man meets a beautiful young
abode of Brahma as well as embodying his essence and serv-
woman under the willow. They marry with the understand-
ing as the tree of wisdom and life. Other sources say that in
ing that the young man never ask his wife where she came
this sacred tree abide Brahma¯, Vis:n:u, and S´iva, as well as
from or who her parents were. He agrees. The emperor de-
Vis:n:u in his incarnation as Kr:s:n:a. Among the ancient Sem-
clares that a temple is to be built nearby. The village is eager
ites, the goddess Al-Ozza had her abode in a sacred acacia
to have the willow included in the building materials for the
at Nakhla.
good fortune it will bring. One morning when the willow
is being cut down the wife wakes up and tells her husband
Some trees are taken as symbols of a sacred person be-
that she is the spirit of the willow, that she married him to
cause of particular religious qualities the tree possesses. The
make him happy in return for saving her (and the willow)
myrtle is believed to be the symbol of pure maidenhood in
so many years ago, but that now she must return to the wil-
Christianity and so is ascribed to the Virgin because of her
low to die with it because she is a part of it.
pure life and sacred character. The palm, cypress, and olive
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9338
TREES
are also symbols of the Virgin during her annunciation. They
will. The shaman may be spiritually connected to the cosmic
denote peace, heaven, and hope.
tree. Most frequently the shaman uses the cosmic tree as a
vehicle to ascend to the sky or to the deities of the universe
Greek beliefs frequently describe the actions of the gods
to gain sacred information.
in transforming human or divine beings into trees. The vir-
ginal Daphne, fleeing Apollo’s embrace, is turned into a lau-
In addition to the ability to transverse the universe and
rel tree by her mother, Gaia, the earth. Apollo breaks off a
communicate with the deities by means of the sacred tree,
branch and crowns himself with it. In another myth, Aphro-
shamans can communicate with the spiritual realm through
dite takes pity on Smyrna, mother of the slain Adonis, and
divination, frequently using parts of sacred trees for ritual
tranforms her into a myrrh tree.
communication. According to the religion of the Sisal, an
T
ethnic group in the Tumu district of northern Ghana, the
REES AS VEHICLES OF COMMUNICATION WITH DEITIES.
Trees serve as a means of communicating with the divine in
first diviner or shaman descended from God shortly after hu-
three ways: through their use in shrines, the meeting place
mans descended to earth using the baobab tree. Shamans also
on earth of a sacred being and humankind; through the rela-
frequently have spirit helpers to aid them in their ceremoni-
tionship between sacred trees and shamans, the religious me-
als. Among the Coast Salish of North America, one of the
diators of the divine; and through the use of sacred drinks
most powerful spirit helpers is known as Biggest Tree and
or drugs made from trees that allow a mystical contact with
aids the shaman in acquiring gifts made from cedar. These
the sacred.
gifts are “alive” for those who possess the power to perceive
and use them.
Trees and religious shrines. Sacred trees may be found
Religious objects made of wood may also act as messen-
along with bushes, shrubs, rocks, or even with a temple to
gers. The wooden inaw of the Ainu are messengers (shongo-
make a shrine. In ancient Egypt, by order of Pepi II, a new
koro guru) or intermediaries between the Ainu and the kamuy
center of worship was officially recognized by planting a Syri-
or between the kamuy themselves.
an fir in the town. Among the Pare of Africa, religious shrines
were sacred groves of trees and depended in size upon the
Trees and divine intoxicants. Many religions include
size of the comunity who would worship in them. Many
the use of a divine potion, made from sacred plants, as neces-
Shinto¯ shrines are built under the branches of an ancient tree
sary vehicles to the divine. Shamans frequently incorporate
as an alternate abode for the deity of the tree. The usual sa-
the use of such potions into their practices. Varun:a obtains
cred tree of Shinto¯ is the evergreen sakaki. It is usually on
soma, or amr:ta, the fruit of immortality, by squeezing the
the grounds of the shrine, protected by sacred ropes. One of
fruit of the celestial tree of life between two stones. The pal-
the most powerful shrines in Java lies in the center of Mod-
myra palm is a symbol of S´iva, yielding an intoxicating and
jokerto, where at the foot of a huge banyan tree lies a small
powerful juice. In Chan Kom, descendants of the Maya use
stone statue of Gan:e´sa, the Hindu elephant god of wisdom,
a favorite Mayan intoxicant and purge that has strong reli-
surrounded by a white fence.
gious associations. They make a ceremonial mead of fer-
mented honey and add the bark of the balche tree during the
A shrine in the town of Kagami in Japan is dedicated
process for its narcotic effect. This drink, balche, enables
to Musubi no Kami, the god of love, and built in honor of
communication with the deities and is necessary for all reli-
a cherry tree, Kanzakura. A myth tells of the spirit of a sacred
gious rituals, especially those for fertility, abundance of
cherry tree. A young girl falls in love with a handsome young
crops, rain, health, and family.
man and will not accept the marriage arranged for her by her
father. When the girl discovers she has fallen in love with the
THE RITUAL USE OF TREES. Sacred trees have a ritual signifi-
spirit of the cherry tree, she chooses to become a caretaker
cance. The trees and their meanings may be incorporated
of the shrine devoted to the tree. There she stayed for the
into rituals of curing, initiation, marriage, and death. Trees
remainder of her life, representing religious perfection and
used in any of these contexts stand for the divine and repre-
dedication.
sent the sacred beliefs being honored through the ritual.
Trees appear in rituals in various forms as symbols for
Sacred trees pass on communications from deities by
the divine. Sacred beverages are made from tree bark. Incense
speaking directly to humans, or indirectly through their
made from the sap and bark of sacred trees calls deities down
whispering leaves whose sounds must then be interpreted by
to this world and then “feeds” them while they are here.
priests. At Dodona in Epirus, the talking Oak of Zeus deliv-
Copal, an incense made from a tree sap and used by many
ered divine messages to humans through priests. Wood from
cultures in Latin America, not only aids communication
this oak was also used to build the Argo and spoke to the he-
with the deities but protects the ritual participants from
roes with a human voice. At Delphi, the laurel tree served
harm by driving away evil and purifying the area. Most fre-
as the voice of Apollo. The famous sacred tree near Shechem
quently, wood is used to construct powerful religious para-
called the “tree of the revealer” in Genesis 12:6, was originally
phernalia, such as the sacred poles erected to symbolize the
a Canaanite tree oracle.
presence of the ancestral spirits or the cosmic tree during the
Trees and shamans. Shamans or priests are frequently
ritual. The symbol of the cross is used in different religions
associated with sacred trees as oracles or interpreters of divine
to symbolize specific divine beings or the sacred in general.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TREES
9339
The Zinacantecos, descendants of the Maya in Chiapas,
Christian practice in the United States. The leaves of the
erect cross shrines for every kind of ceremony. Three small
baine palm used by the Coorgs of South India are associated
pine trees are fastened to crosses and pine needles are strewn
with death and are used in funeral rituals.
on the ground around the crosses to set off the area as sacred
Many religions practice tree burial as the appropriate
and ritually pure. There must be three crosses for a ceremo-
spiritual resting place for the deceased. The Khasiyas of east-
ny, and one is generally a permanent wooden construction,
ern India leave the deceased in the hollow trunk of a tree.
supplemented by two crosses made entirely from fresh pine
Many North American Indian groups placed their dead in
boughs. The triadic symbol displays the Catholic religious
trees or on wooden structures grouped together to form a sa-
use of three crosses as well as the traditional Native American
cred burial ground. The Nootka and Southern Kwakiutl
beliefs. Crosses are “doorways” to the houses of the ancestral
used another form of tree burial. They folded the body up
deities. They mark the boundaries between the sacred and
and put it in a large box, which was then placed high in a
the profane realms.
tree. A wooden mortuary column was erected to display the
In Christian belief, the cross may be referred to as a sym-
family crest of the deceased.
bol of the Tree of Life that stands in the Garden of Eden.
In many religions, without proper religious burial the
The wood from the True Cross was believed to have the
soul of the departed would be in danger and could harm the
power to restore the dead to life. A variety of different trees
deceased’s living friends and relatives. For the funeral pyre,
are credited with being the wood chosen for Christ’s cross:
the Coorgs of South India cut down a mango or pavili tree
cedar of Lebanon, dogwood, mesquite, ash, and oak.
that grows in the burial ground. The entire tree must be used
Trees in rituals of initiation and marriage. Many Af-
for cremating the corpse; improper use of the tree’s parts may
rican cultures mark the transition from youth to adulthood
result in another death in the community in the near future.
through rituals of initiation, and some of the most powerful
symbolism of this change is represented through the use of
SEE ALSO Axis Mundi; Beverages; Incense; Rites of Passage;
trees. Among the Ndembu, the milk tree, the mudyi, a sym-
Vegetation.
bol of life and the ancestors, is used in both male and female
initiation ceremonies to transform boys and girls into fertile,
BIBLIOGRAPHY
productive adults. Traditionally, a girl’s initiation ceremony
Mircea Eliade provides a thorough discussion of the many differ-
and the use of the milk tree served as her marriage ceremony
ent beliefs and practices that involve sacred trees in Patterns
in Comparative Religion (New York, 1958). Eliade places reli-
as well.
gious belief associated with trees into seven categories. Clif-
Every young girl among the Newari of Nepal is married
ford Geertz’s The Religion of Java (New York, 1960) de-
to a small tree (bel) from early childhood. In India, the “mar-
scribes the syncretism of Hindu, Muslim, and folk beliefs
riage of trees” may be performed when a woman has been
that constitutes Javanese religion. Geertz’s book is notewor-
thy for its discussion of ritual objects made from trees. Victor
married for many years and has not yet borne children. One
Turner’s seminal treatment of the African milk tree in The
tree representing her husband and one tree symbolizing her
Forest of Symbols: Aspects of Ndembu Ritual (Ithaca, N.Y.,
fertility are planted side by side so that their combined
1967) is an insightful and extensive consideration of a domi-
growth may symbolically and spiritually increase her fertility
nant symbol in Ndembu culture, the mudyi, or sacred tree.
and the growth of life within her womb.
Turner explores the ritual use of trees in life-cycle rites of pas-
sage.
The “marriage tree” is common in South India as a rep-
resentation of a male or female ancestor. This tree is neces-
M. N. Srinivas has provided an important contribution to the un-
sary for all weddings and is adorned as a part of the ceremo-
derstanding of Hindu beliefs about sacred trees, especially
ny. In Java large “plants,” are assembled from banana stems
their role in rituals of the life cycle, in Religion and Society
among the Coorgs of South India (London, 1952). A. R. Rad-
and scalloped tree leaves of various types, and wrapped with
cliffe-Brown provides an account of the religious beliefs in
green coconut branches. These “flowers” made from trees are
the powers of trees and the rituals associated with them as
essential ritual elements for the wedding ceremony, repre-
found among the people who live on a chain of islands ex-
senting the virginity of the bride and the groom.
tending from Burma to Sumatra in The Andaman Islanders
(1922; 3d ed., Glencoe, Ill., 1948). In Argonauts of the West-
Trees associated with death and rebirth. A variety of
ern Pacific (1922; New York, 1953) Bronisllaw Malinowski
trees are specifically associated with religious beliefs about
provides a fascinating account of the beliefs and rituals that
the fate of the dead and the rebirth or passage of their souls
surround the use of trees among the Trobriand Islanders.
to the afterlife. Christian death symbolism involves the use
The use of trees as discussed in Buddhist scriptures is presented
of willows and cedar trees. These trees symbolically stand for
by Ananda K. Coomaraswamy in Elements of Buddhist Ico-
the death of the body as well as heralding a rebirth of the
nography (1935; New Delhi, 1972). The mixture of Roman
soul. These trees are almost always present in cemeteries in
Catholic and Mayan beliefs is explored in Evon Z. Vogt’s
America and may be accompanied by conifers or other kinds
Zinacantan: A Maya Community in the Highlands of Chiapas
of evergreens: a promise of everlasting life. Wood is the most
(Cambridge, Mass., 1969). This is an extensive study of the
common material from which coffins are made for burial in
Tzotzil-speaking Indians of Guatemala and includes a full ac-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9340
TRENT, COUNCIL OF
count of their religious beliefs and the importance of sacred
misuse of their dispensing powers, particularly with regard
trees. Douglas Sharon’s Wizard of the Four Winds: A Sha-
to the appointment to benefices, was the root cause of those
man’s Story (New York, 1978) contains some encapsulations
abuses.
of North American and Mesoamerican cosmologies, includ-
ing beliefs about sacred trees. Sharon’s treatment of Me-
The demand for a council became the standard rhetoric
soamerican shamans’ use of trees as a source of power is note-
not only of churchmen but also of princes and statesmen.
worthy. Mircea Eliade’s Shamanism: Archaic Techniques of
Conciliar preeminence assumed doctrinal status in many of
Ecstasy, rev. & enl. ed. (New York, 1964), also provides an
the best universities in Europe and found its way into a thou-
insightful discussion on the relationships between shamans
sand pamphlets, treatises, and broadsides. Preachers thun-
and the cosmic tree.
dered the message from their pulpits, and echoes were heard
One of the best discussions of the interrelationship between spirit,
in busy chancelleries no less than in silent Carthusian
soul, God, and elements of nature is found in E. E. Evans-
charterhouses. No pope could be elected until he had assured
Pritchard’s Nuer Religion (New York, 1977). Neil G.
the cardinals in conclave that he would summon a council
Munro’s Ainu Creed and Cult (London, 1962) neatly de-
within a year or two of his coronation.
scribes the Ainu belief in ramat (spirit or soul), which inhab-
its trees, and the sacred and magical qualities ramat passed
Such were the shock waves loosed at the Council of
on to the ritual objects made from trees.
Constance (1414–1418). The questions addressed there
New Sources
were at once constitutional, procedural, and moral. With
Aburrow, Yvonne. The Enchanted Forest: The Magic Lore of Trees.
whom or what lies ultimate authority within the church? The
Milverton, U.K., 1993.
monarchical concept of the papal primacy had taken its clas-
Altman, Nathaniel. Sacred Trees. San Francisco, 1994.
sical form in the days of Gregory VII (d. 1085), had pressed
Brosse, Jacques. Mythologie des Arbres. Paris, 1989.
its brief even further under the great lawyer popes of the thir-
teenth century (e.g., Innocent III, d. 1216, and Clement IV,
Caldecott, Moyra. Myths of the Sacred Tree: Including Myths from
d. 1268) and, scarcely checked by the extravagances of Boni-
Africa, Native America, China, Sumeria, Russia, Greece, India,
face VIII (d. 1303), had reached a kind of practical hegemo-
Scandinavia, Europe, Egypt, South America, Arabia. Roches-
ter, Vt., 1993.
ny, at least in fiscal affairs, at Avignon (1305–1376). But the
protracted scandal of the Western Schism (1378–1417),
Gifford, Jane. The Wisdom of Trees: Mystery, Magic, and Medicine.
when two and then three rival “popes” competed for the alle-
New York, 2000.
giance of Christendom, brought the notion of papal monar-
Goelitz, Jeffret. Secrets from the Lives of Trees. Boulder Creek,
chy into severe disrepute, just as the solution of the crisis by
Calif., 1991.
a general council convened at Constance under the aegis of
Karas, Sheryl Ann. The Solstice Evergreen: History, Folklore, and
the German emperor enhanced the idea of conciliar superior-
Origins of the Christmas Tree. 1990; reprint, Fairfield, Conn.,
ity. The council’s deposition of the three squabbling claim-
1998.
ants, its election of a successor (Martin V, 1417–1431), and
Martin, Laura C. The Folklore of Trees and Shrubs. Guilford,
its solemn decree, Sacrosancta, all combined to stake out a
Conn., 1992.
constitutional position: a general council, representative of
PAMELA R. FRESE (1987)
the emperor and other Christian princes, the learned elite
S. J. M. GRAY (1987)
of the universities, the experts in canon law, and the college
Revised Bibliography
of bishops, acted for the whole church, of which the pope
was a functionary, albeit an exalted functionary.
The decree Frequens, which called for such a council to
TRENT, COUNCIL OF. Also known as the nine-
be held every ten years, concerned itself with the procedural
teenth general council of the Roman Catholic Church, this
problem. Frequens presumed the doctrine of Sacrosancta.
council opened on December 13, 1545, and closed on De-
Since final and decisive authority belonged to the council,
cember 4, 1563, after twenty-five formal sessions. The road
the pope’s position was that of chief executive or prime min-
to Trent, long and tortuous, passed through Constance,
ister responsible to the council, which therefore had to meet
Basel, and Pisa. The cry for a sweeping reform of the church
frequently. The conciliar movement of the fifteenth century
from top to bottom—“reformatio capitis et membrorum”—
based itself on these grounds. Due partly to the temper of
had been raised one hundred years before Luther posted his
the time, that movement did not succeed. The secular coun-
theses. It continued to ring out through the fifteenth centu-
terparts of the aristocratic ecclesiastical assemblage the con-
ry, accompanied more often than not by the insistence that
ciliarists had in mind were in retreat everywhere in Europe
serious reform could be achieved only within the framework
and, in most places, on the eve of dissolution. Ambitious dy-
of a general council. Basic to this coupling of reform and
nasts were in the process of bringing the powers to tax, to
council was the widespread conviction that the papacy was
maintain military establishments, and to appoint govern-
incapable of or unwilling to put right the tangle of abuses
ment personnel under their own bureaucratic control, and
that threatened to smother the ecclesiastical life of Christen-
thus reducing and even eliminating the prerogatives of the
dom. Indeed, it was argued by many that the popes’ chronic
great medieval parliaments. It was unlikely that the church,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TRENT, COUNCIL OF
9341
the first great Western institution to adopt this centralizing
to have any outside agency oversee and most likely interfere
model, would have reversed direction in favor of a polity that
with the workings of their own court, the central bureaucracy
was demonstrably anachronistic.
of the church. Reform of the Curia, they proclaimed, was the
business solely of the supreme pontiff.
But there were other, more proximate causes for the col-
lapse of the movement, not least the tendency of the concil-
Whatever the theoretical value of this argument, the
iarists to quarrel among themselves. The popes, for their
trouble with it was that the supreme pontiffs, themselves
part, ignored the doctrine of Sacrosancta and evaded the pro-
products of the curial system, were clearly not prepared to
visions of Frequens. A council was indeed convoked at Basel
go beyond platitudes and gestures in correcting the colossal
in 1431, but it soon fell out with the pope, who withdrew
financial chicanery that corrupted the various papal depart-
from it and convened a more tame assembly under his own
ments and that reached a stunning climax in the election and
presidency at Florence. The rump council continued to meet
pontificate of Alexander VI (r. 1492–1503). Since Con-
at Basel until 1449, when it broke up into bitterly contend-
stance, the conviction that everything was for sale in Rome—
ing factions. After that, conciliar rhetoric sounded increas-
offices, judgments, indulgences, dispensations from the
ingly hollow, especially when engaged in by secular rulers
law—had grown, not lessened, and the poison of simony
who routinely invoked the threat of a council as a device to
seeped down through the whole body of the church. Julius
influence papal policy in Italy. So the conciliar movement
II did indeed summon a council in 1512, largely as a counter
died a lingering death, its last gasp coming at Pisa in 1511,
to the French-sponsored gathering at Pisa, but the meander-
when the king of France, in league with a dissident minority
ings of the Fifth Lateran Council (1512–1517) produced re-
of the college of cardinals, summoned a council whose de-
form decrees that were no better than scraps of paper and
clared purpose was to strip the pope, the king’s bitterest po-
that served merely to confirm the cynical mistrust of the pa-
litical enemy, of his office. This conciliabulum did not survive
pacy’s moral resolution.
the French military reverses of the following year.
The popes’ highest card in this game of stalemate was
The effective end of the movement, however, did not
the reluctance of even fervent conciliarists—aside from a
put a quietus to the theory. The teaching of Sacrosancta con-
handful of academics—to challenge the doctrine of the Pe-
tinued to flourish in university circles, notably at the Sor-
trine office. But the year that saw the conclusion of the futile
bonne. Nor did those who rejected Sacrosancta necessarily re-
Fifth Lateran Council was also the year of the ninety-five the-
pudiate Frequens as well. The two decrees had doubtlessly
ses. By 1520, Luther declared himself ready to jettison the
been wedded in the minds of the fathers of Constance, but
papacy if that institution obstructed the full flowering of the
as the century wore on a distinction between them was often
gospel as he understood it. And Luther soon proved he was
drawn by those who, while not prepared to admit the consti-
no effete intellectual but the leader of a potentially vast popu-
tutional superiority of the council, nevertheless believed that
lar movement. Over the next decade the character of the de-
only a council could bring about meaningful reform.
bate about a council was drastically altered. As early as 1523,
The moral issue raised at Constance went unresolved for
the German estates, gathered in the Diet of Nuremberg,
a hundred years. There had occurred a kind of spontaneous
called for “a free Christian council in German lands.” Here
reform of the members in some places—the Devotio Mod-
was conciliarism with a new twist. Now, besides the old
erna in the Netherlands, a florescence of mysticism in En-
clamor for a council to reform ecclesiastical abuses, there
gland and Germany, an evangelical revival in northern Italy,
came the demand from a growing constituency in northern
a dedication among the educated classes everywhere to the
Europe for a reform of dogma as well.
scholarly endeavors of Christian humanism. But these were
THE COUNCIL OF PAUL III. The pope who had to contend
hardly more than specks upon a dark sea of clerical illiteracy,
with this new situation, Clement VII (r. 1523–1534), avoid-
popular superstition, jobbery, and pastoral neglect. The be-
ed it as best he could, and though he paid lip service to the
lief was almost universal that such abuses perdured because
conciliar idea, he was as obstructive as his predecessors had
the Curia Romana, the pope’s own administration, permit-
been. His successor was cut from a different cloth. Alessan-
ted and even encouraged them. Curial fees, taxes, and
dro Farnese, who upon his election assumed the name Paul
charges proliferated, most of them designed to allow what
III (r. 1534–1549), had long been a champion within the
traditional law and common sense declared to be perilous to
Curia of a reform council, and he had carefully distanced
the life of the church. The members would never be properly
himself from Clement VII’s duplicitous policy in this regard.
reformed, it was said, unless the head were reformed too.
Not that Farnese had the credentials of a reformer. His
The Renaissance popes, whose lifestyles and political
youthful career—Alexander VI had made him a cardinal
ambitions were hardly calculated to inspire confidence, stub-
when he was twenty-six—had revealed many of the more
bornly refused to put their houses in order or to permit any
seamy features of the Renaissance papal court. In his middle
other organ of the church to do so. They tried to keep to the
years he had undergone something of a religious conversion,
high ground of constitutional theory. The papal primacy,
which, though it did not eradicate all the bad habits of his
they argued, was a datum of divine revelation that they were
past, led him at least to a greater earnestness and gravity of
pledged to defend as they had received it. They also declined
purpose. Never a moral zealot himself, he signaled his good
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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TRENT, COUNCIL OF
intentions by promoting men of genuine probity and even
tence was not one of them. The intricate diplomacy involved
holiness to high ranks and, most of all, by immediately mov-
in the conciliar enterprise never really ceased, even when the
ing to fulfill his pledge to summon a general council.
distrustful emperor turned to another tack and urged a con-
ference of leading theologians, Protestant and Catholic, who
From the beginning of Paul III’s initiative, everything
could discuss all the religious discontents and find solutions
seemed to work at cross-purposes. For a council to succeed,
to them. The pope cooperated in this venture, but the distin-
both great Catholic sovereigns—the German emperor and
guished participants in the Colloquy of Ratisbon, which oc-
the king of France—had to support it, but they were bitterly
cupied most of the summer of 1541, failed to reach a meet-
at odds with each other. The emperor, Charles V, pressed
ing of minds. Any hope of religious reunion was fast slipping
for a council of reconciliation to bring peace to Germany,
away.
which meant a council to correct abuses, to satisfy the grava-
mina of the German estates against the Curia, with as little
The pope responded by returning to his conciliar proj-
attention as possible paid to divisive doctrinal issues. Francis
ect. With the assent of the somewhat chastened emperor, he
I wanted no council at all, because religious unrest in Germa-
formally announced the opening of a general council for No-
ny, which discomfited his Habsburg rival, was much to his
vember 1, 1542. The site this time was Trent, a small italian-
liking. Had Paul III had his way, he would have preferred
ized town northwest of Venice that was nevertheless an im-
a council over which he could keep careful watch, a kind of
perial free city and thus juridically “in German lands.” But
“Sixth Lateran,” which would emphasize doctrine and, with
the earlier pattern of delay, postponement, and obstructive-
a preponderance of bishops from the Papal States in atten-
ness by Francis I and outright rejection by the Protestants,
dance, protect the prerogatives of the Curia. But he knew he
quarrels between pope and emperor, and intermittent war-
had no chance for that, and so he proposed what appeared
fare between France and the empire was bitterly repeated.
to be the next best scenario. Mantua was a petty Italian city-
Not until December 13, 1545, did Paul III’s council finally
state whose duke was vassal to the emperor; on June 2, 1536,
begin in the Cathedral of Saint Vigilius in Trent. The process
the pope, ignoring the unanimous advice of his cardinals,
had consumed eleven years and had produced only thirty-
summoned a general council to convene at Mantua the fol-
four voting participants. It was no wonder the mood was
lowing May and ordered all the bishops, abbots, and other
somber throughout the Mass of the Holy Ghost and the for-
prelates of the whole world to appear there.
mal reading of the bull of convocation, which reminded the
fathers that their solemn task was to heal the confessional
Immediately obstacles sprang up all around him. The
split, to reform those abuses that sullied Christ’s body, and
duke of Mantua demanded a large papal army to garrison the
to promote amity among Christian princes.
town. The Protestants promptly declined to attend because
of the presence of this hostile force, and then, when security
Those princes, though their influence over the council
arrangements were altered to meet their objections, they re-
was enormous, did not participate directly in its decision
fused anyway. The king of France also refused to participate
making, nor did anyone else outside the higher clergy. In its
or to allow any French prelates to do so. The emperor, point-
procedure Trent was more akin to the papal councils of the
ing out how Francis I had connived with the Lutheran
high Middle Ages than to Constance or Basel. Franchise be-
princes and even with the Turks, urged Paul III to join him
longed only to the “fathers” of the council, that is, to the
in an assault upon the French and thus guarantee a successful
bishops present—not their proctors—and to the generals of
council. The war duly broke out in 1536, but without the
the mendicant orders. The presiding officers were the legates
pope, who shrank from a step that might have provoked
appointed by the pope. They were empowered to set the
Francis into following the schismatic example of Henry VIII
agenda, although each bishop was free to request inclusion
and that at the same time might have contributed to elimi-
of any proposal he pleased. This arrangement met with few
nating the only check upon Habsburg power, which he
serious difficulties once the basic compromise between the
feared as much as the French king did. Instead, the pope
pope’s and the emperor’s positions was accepted: that mat-
postponed the Mantuan council twice, then translated it to
ters of dogma and matters of reform would be treated simul-
Vicenza, postponed it again, and finally, in 1539, suspended
taneously.
it altogether.
The work schedule followed a consistent pattern. It
The failure was more than a disappointment. It tended
began with a “particular congregation,” at which theologians
to sustain the view—not only among Protestants—that this
and canonists would discuss the draft of a particular decree.
pope was no more serious about reform than his predecessors
The fathers formed the audience for these technical exposi-
had been. Paul III did not help his cause much by the simul-
tions. Then, meeting alone in a “general congregation,” they
taneous campaign he was carrying on—in the best Renais-
debated the matter themselves until they reached agreement
sance style of his first mentor, Alexander VI—to make a rul-
upon a final text. A “session” was a public meeting at which
ing dynasty of his children and grandchildren. The Farnese
that text was read out, formally voted upon, and promulgat-
did indeed become dukes of Parma, but only at the cost of
ed at the council’s decree. Since it was thought to have a li-
diminishing further the pope’s limited fund of goodwill.
turgical as well as a juridical significance, a session was always
Even so, whatever Paul III’s flaws of character, lack of persis-
convened in the cathedral or some other church. Between
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TRENT, COUNCIL OF
9343
1545 and 1563 the Council of Trent held twenty-five ses-
to be replaced by a typhus epidemic that broke out in the
sions, of which seventeen were substantive in the sense that
vicinity early in 1547 and that caused the council to translate
they were occasions for the proclamation of doctrinal defini-
its deliberations to Bologna (eighth session, March 11,
tions and reform legislation, while the rest were ceremonial
1547). The emperor was furious at what he considered the
affairs.
pope’s maneuver to bring the council under his direct con-
trol by removing it to a city in the Papal States. Fourteen im-
The first particular congregation met on February 20,
perialist bishops remained in Trent, but the majority of the
1546, to examine Luther’s assertion of sola scriptura. On
fathers went dutifully off to Bologna, where they labored
April 8, at the fourth session, the council declared that apos-
through intense debate in both particular and general con-
tolic traditions, “which have come from the mouth of Christ
gregations on the rest of the sacraments, the sacrificial char-
or by the direction of the Holy Spirit and have been passed
acter of the Mass, purgatory, veneration of the saints, and
down to our own times,” deserve to be accepted by believers
monastic vows—all doctrinal issues raised by the Protestant
“with as much reverence [pari pietatis ac reverentia]” as scrip-
reformers. But Paul III allowed no formal sessions or decrees,
ture itself. The fifth session, on June 17, renewed earlier con-
lest he push the angry emperor too far. The significance of
ciliar legislation setting up structures for the theological
the Bologna phase of the council, until its suspension on
training of the parochial clergy and placed upon bishops and
February 16, 1548, proved to be the use to which its work
pastors a stern obligation to preach to their flocks every Sun-
was put when the council assembled again at Trent three
day and holy day. On the dogmatic side this session issued
years later.
six “canons,” terse condemnatory statements on the Pelagian
as well as the Lutheran view of original sin.
THE COUNCIL OF JULIUS III. Giovanni Maria del Monte,
who had been senior legate during the first phase of the
Then began the most protracted debate of the council,
council, was elected pope in February 1550 and took the
devoted to the central Lutheran doctrine of justification. The
name Julius III. Immediately he came under pressure from
first draft of a decree on this controversial subject was sub-
the emperor to reconvene the council and, specifically, to get
mitted to the fathers on July 28 and promptly rejected. For
on with the business of reform. The new pope faced many
the next seven months the arguments raged through forty-
of the same political problems as his predecessor, and it was
four particular and sixty-one general congregations, until fi-
in the teeth of strong resistance from the German Protestant
nally an acceptable text was hammered out and promulgated
princes and the new king of France, Henry II, that the coun-
at the sixth session, on January 13, 1547. There was nearly
cil reopened at Trent on May 1, 1551. The fifty or so fathers
unanimous assent to the sixteen chapters of the decree and
did little serious work before the end of the summer, but
the thirty-three canons, which repudiated Luther’s view of
thanks to the deliberations at Bologna they were ready at the
justification by faith alone. But there was no such unanimity
thirteenth session, on October 11, to issue a decree on the
when the next great issue of reform was introduced. The fa-
Eucharist that in eight expository chapters and eleven canons
thers and their theologians wrangled through the succeeding
reasserted the traditional dogma of the real presence as well
months over the requirement that bishops reside in their dio-
as the mechanism of transubstantiation. Six weeks later, at
ceses. When the proposed decree was presented the first
the fourteenth session, the sacraments of penance and ex-
time, only twenty-eight fathers out of a total grown by early
treme unction received doctrinal definition. The landmark
1547 to sixty indicated their agreement by voting placet. The
character of these dogmatic decisions, however, was not
divisions over the matter were so deep that it had to be set
matched by the reform legislation passed in the thirteenth
aside for later consideration. The seventh session, on March
and fourteenth sessions. Directives about rights and duties
3, 1547, therefore contented itself with asserting a bishop’s
of bishops with regard to their clergy, and regulations gov-
right to supervise parishes in his diocese administered by
erning procedures in ecclesiastical courts, did not, as the
members of religious orders. The dogmatic decrees of the
council’s critics were quick to point out, strike at the roots
same session defined the nature of the sacraments, fixed their
of the accumulated abuses.
number at seven, and asserted their effective spiritual power
(ex opere operato). The doctrine of baptism and confirmation
At the beginning of 1552 a faint flicker of hope for re-
was also treated in detail.
union flared up and then quickly died out. On January 15,
ambassadors and theologians from several Protestant states,
Meanwhile, in the midst of all this intellectual labor,
having come to Trent under a safe-conduct, appeared at the
various discontents revealed themselves. Trent was a small
council’s fifteenth session. But their brief presence only
town with limited accommodations. Its location made it a
served to demonstrate that the confessional divisions could
difficult place to supply with provisions, and its climate was
no longer be healed or that at any rate a council managed
harsher than the southerners in attendance were accustomed
by the pope and already committed to traditio no less than
to. Many of the fathers complained of the discomfort in
to scriptura as a font of revelation could never be an instru-
which they were forced to live. During the summer of 1546,
ment of reconciliation.
fighting between the emperor and the Smalcald League
surged close enough to the city that dissolution of the council
So the fathers returned wearily to their own debates,
was seriously contemplated. This danger passed away, only
now treating of the sacrament of orders and the sacrifice of
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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TRENT, COUNCIL OF
the Mass. The congregations dragged on inconclusively into
bishops exercised their office independently of the pope. A
the spring, as the emperor went to war yet again with the
vote on April 20, revealed that the fathers were divided al-
German princes allied with France. This time he was badly
most evenly on the subject. Tempers ran so high that the leg-
defeated, and when he fled to nearby Innsbruck the fathers
ates managed to calm the situation only by postponing dis-
at Trent decided it was too risky to remain there. They used
cussion of the question until a later date. Dogmatic
the sixteenth session, April 28, 1552, to adjourn the council
deliberations meanwhile continued, and at the twenty-first
sine die. Julius III, at heart an indolent and self-indulgent
session (July 16, 1562) the council defined the sacrificial
man, made no effort through the rest of his pontificate to
character of the Mass and the whole presence of Christ in
revive it. His successor, Paul IV (1555–1559), was fiercely
each of the eucharistic species of bread and wine. The disci-
determined to effect reform, but he had no patience for con-
plinary decision as to whether the laity should be allowed to
ciliar ways and preferred instead to impose doctrinal and
share the chalice—something taken seriously by the emperor
moral purity by liberal use of the inquisition, of which he
and by Germans generally—was referred to the pope for im-
had once been head. This policy was an utter failure, as in-
plementation after the council.
deed was Paul IV’s whole reign, and when the cardinals en-
tered the conclave of 1559 the scandal of an unfinished
Next on the agenda came discussion of the sacrament
council cast a long shadow over it.
of orders, which involved once more the thorny issue of epis-
copal residence. By autumn the council had reached an im-
THE COUNCIL OF PIUS IV. The conclave of 1559 lasted
passe. No formulation, however ingenious, could budge the
more than three months, and the pope who emerged from
determination of either side. The winter of 1563 arrived, and
it, Pius IV (Giovanni Angelo de’ Medici), was committed to
then the spring, and still no resolution was in sight. The con-
bringing the Council of Trent to a satisfactory conclusion.
ciliar machinery ground to a halt, and after ten months of
The obstacles he encountered in persuading the Catholic
wrangling, the breakup of the council appeared imminent.
powers to take up the conciliar enterprise once again were
Then, in early March, the senior legate suddenly died, and
different but hardly less daunting than those Paul III and Ju-
Pius IV replaced him with Giovanni Cardinal Morone. This
lius III had had to face. The Peace of Augsburg (1555) and
proved to be the decisive intervention.
the Treaty of Cateau-Cambresis (1559) had indeed removed
for the time being the threat of war that had so plagued the
Morone, the ablest papal diplomat of the century, rec-
earlier stages of the council. But the Catholic monarchs—
ognized that behind the arguments advanced by the propo-
three of them, now that Charles V had departed the scene
nents of jus divinum lurked the conviction that the papacy
and had divided the Habsburg territories between his broth-
intended no real reform. He moved swiftly to defuse this rad-
er, Ferdinand I, and his son, Philip II of Spain—were deeply
ical mistrust, especially in the minds of the emperor and the
at odds over the crucial problem of whether the council Pius
king of Spain, by guaranteeing that a sweeping reform sche-
IV formally convoked (November 29, 1560) was to be a con-
ma, blessed in advance by the pope, would be proposed to
tinuation of the former one or an entirely new undertaking.
the council in short order. Employing a variety of formal and
France, now troubled as Germany had been for a generation
informal commissions, and playing skillfully upon the vanity
by a growing and aggressive Protestant faction, joined the
of the heretofore unpredictable French delegation, Morone
imperialists in demanding a new council unencumbered by
put the council back to work again. When the emperor ex-
any decisions arrived at earlier. The king of Spain conversely
pressed misgivings, Morone went off to Innsbruck to reas-
insisted that the work begun before be allowed to run its
sure him; when the pope hesitated to support his program,
course. The pope agreed with this view, though he dared not
Morone threatened to resign. At the twenty-third session, on
say so publicly. Instead he adopted a policy of studied am-
July 15, 1563, the council approved his first package of re-
biguity, confident that once an assembly had been lured back
form legislation. Perhaps its most important provision was
to its original site the problem would solve itself. After
the directive to establish a system of seminaries to provide
months of the most convoluted diplomacy, this tactic suc-
intellectual and moral training for the parochial clergy. As
ceeded. On January 18, 1562, some 113 fathers gathered at
for the conciliar crisis at hand, Morone evaded the insoluble
Trent—their number would ultimately swell to 277—and
problem by ignoring it. “It is a divine precept that the pastor
implicitly accepted continuation by deciding to resume de-
know his flock,” the decree began, but, though strictly oblig-
liberations at the point at which they had been suspended
ing bishops to reside, it did not try to define the basis of that
ten years before.
obligation. Moreover, cardinals were explicitly included in
the requirement, and thus was struck down one of the worst
By March the council had returned to the discussion of
and most resented of the abuses, the accumulation of bene-
episcopal residence and found itself mired once again in ar-
fices by officers of the Curia.
gument. Everyone agreed that bishops should reside in their
dioceses and that their widespread failure to do so was a fun-
The logjam broken, there followed a hectic summer and
damental cause of corruption in the church. But was the re-
autumn of congregations dealing with a flood of reform
quirement one of divine law or ecclesiastical law? This seem-
ideas. The whole clerical estate was refashioned during these
ingly abstract question had vast implications, because if
months. Morone moved easily through all the factions, the
residence were an obligation jure divino, it could mean that
pope’s man indeed but the council’s man too, always urging
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TRIADS
9345
accommodation, compromise, the practical attainment of
A useful survey of ecclesiastical history during the time the council
the goal of restoring spiritual primacy to the workings of the
was sitting is Leon Cristiani’s L’église à l’époque du Concile de
church. Special emphasis was placed upon eliminating the
Trente, “Histoire de l’église,” no. 17 (Paris, 1948). Special
chaos in ecclesiastical administration which had opened the
studies of note include Il Concilio di Trento e la Riforma Tri-
door to so many abuses. Morone spared little time for theo-
dentina, 2 vols. (Rome, 1965), a collection of distinguished
essays by a panel of international scholars; Dermot Fenlon’s
retical discussion; the question of indulgences, for example,
Heresy and Obedience in Tridentine Italy (Cambridge, U.K.,
which had occasioned the Lutheran reformation, was settled
1972), on Italian humanism and its import upon reform;
not in a dogmatic decree but in a reform decree. This also
James A. O’Donohoe’s Tridentine Seminary Legislation: Its
was the case with the veneration of the saints and relics. The
Sources and Its Formation (Louvain, 1957); and Wolfgang P.
council indeed defined the sacramentality and the indissolu-
Fischer’s Frankreich und die Wiedereröffnung des Konzils von
bility of matrimony, but it was even more intent on suppres-
Trient, 1559–1562 (Münster, 1973), on the resumption of
sion of clandestine marriages. Statistically the achievement
the council after the death of Paul IV. On the diplomacy
was prodigious: three times as much reform legislation was
during those crucial few years, H. Outram Evennett’s The
passed by the council during Morone’s brief legateship than
Cardinal of Lorraine and the Council of Trent (Cambridge,
in all the sessions before him combined.
U.K., 1930) is still useful, as is Gustave Constant’s La léga-
tion du Cardinal Morone prés l’empereur et le concile de Trente,
By the twenty-fourth session, on November 11, 1563,
avril–décembre, 1563 (Paris, 1922), a collection of docu-
the end was finally in sight. The last session, at which all the
ments and commentary. The best analysis of the council of
conciliar decrees since 1545 were to be formally promulgat-
Pius IV is Robert Trisco’s “Reforming the Roman Curia:
ed, was scheduled for December 9. However, news from
Emperor Ferdinand I and the Council of Trent,” in Reform
Rome that Pius IV was severely ill led Morone to move the
and Authority in the Medieval and Reformation Church, edited
date forward. Therefore, the twenty-fifth session was held on
by Guy F. Lytle (Washington, D.C., 1981).
December 3 and 4, 1563, when each of the 229 fathers gave
MARVIN R. O’CONNELL (1987)
his placet to all the work the council had done over its eigh-
teen years of life. A Te Deum was sung, and tearful fathers
embraced one another, in many cases embracing those with
whom they had often violently disagreed.
TRIADS, groups or sets of three persons, things, or attri-
butes, are found in many concepts of the divine. Because tri-
SEE ALSO Boniface VIII; Gregory VII; Innocent III; Luther,
ads involve an uneven number they have been considered to
Martin; Papacy; Reformation.
be perfect expressions of unity and proportion, correspond-
ing to a threefold division in nature or to images of the nucle-
BIBLIOGRAPHY
ar family.
The official collection of Tridentine decrees is Canones et decreta,
In Indian mythology, the R:gveda suggests a threefold
Concilii Tridentini (Rome, 1564), many times reprinted,
classification of its many divinities into gods of heaven, air,
now to be found most conveniently in the volume edited by
and earth. In its prayers three chief gods represent the powers
Giuseppe Alberigo and others, Conciliorum oecumenicorum
decreta (Bologna, 1972). Relevant documents can be found
of these natural elements: “May Su¯rya [sun] protect us from
in Concilium Tridentinum: Diariorum, actorum, epistularum,
the sky, Va¯ta [wind] from the air, Agni [fire] from the earthly
tractatuum; Nova collectio, 13 vols. (Freiburg, 1901–1967),
regions” (10.158.1). Agni, god of fire and messenger to the
an immense deposit and an indispensable tool of research.
gods during fire sacrifice, took three forms, as the sun in the
The two classic studies are Paolo Sarpi’s L’istoria del Concilio Tri-
sky, lightning in the aerial waters, and fire on earth. Com-
dentino (1619), 3 vols., edited by Giovanni Gambarin (Bari,
mentators on the Vedas considered that the number of gods
1935); and Sforza Pallavicino’s Storia del Concilio de Trento
could be reduced to three, Agni, Va¯yu, and Su¯rya being con-
(1656–1657), 3 vols., edited by Mario Scotti (Turin, 1968).
sidered as sons of the lord of creatures, Praja¯pati.
The polemical camps trace themselves back to either Pallavi-
cino, a defender of the council, or to Sarpi, an attacker of it.
A famous dialogue in the Bra¯hman:as and Upanis:ads
asks how many gods there are. In reply, a traditional invoca-
The definitive history of the council has now been written: Hu-
tory formula in a hymn to all the gods is quoted as indicating
bert Jedin’s Geschichte des Konzils von Trient, 4 vols. in 5
(Freiburg, 1949–1975), the first two volumes of which have
three hundred and three and three thousand and three. Fur-
been translated into English by Ernest Graf as A History of
ther questioning reduces these figures to thirty-three, six,
the Council of Trent (London, 1957–1960). Jedin also pub-
three, two, one and a half, and finally one, and that one is
lished many monographs on Trent, including Girolamo Seri-
brahman (Br:hada¯ran:yaka Upanis:ad 3.9).
pando, 2 vols. (Würzburg, 1937), translated into English
In the same Upanis:ad, Praja¯pati is said to have had three
(but without the full scholarly apparatus) as Papal Legate at
the Council of Trent, Cardinal Seripando (Saint Louis, 1947);
kinds of offspring—gods, humans, and demons—who lived
and Krisis und Abschluss des Trienter Konzils, 1562–63 (Frei-
with their father as students of sacred knowledge. Each class
burg, 1964), badly translated as Crisis and Closure of the
of beings asked for a divine word, and to all Praja¯pati gave
Council of Trent: A Retrospective View from the Second Vatican
the same reply: da¯. This word was like the rolling thunder,
Council (London, 1967).
da¯, da¯, da¯. Each interpreted the word according to its own
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TRIADS
needs, and three definitions resulted: self restraint, giving,
It was debated whether the three gods were equal or had
and compassion (Br:hada¯ran:yaka Upanis:ad 5.2). This con-
interchangeable functions. Each in turn might be the Su-
cept was used by T. S. Eliot in the closing lines of The Waste
preme Lord, Parame´svara, and take the place of the others.
Land: “then spoke the thunder. . . .” Eliot ended with an-
The poet Ka¯lida¯sa, in his Kuma¯ra¯sambhava (2.4ff.), ex-
other threefold borrowing from the Upanis:ads: “Shantih
pressed his adoration for the Trimu¯rti unified before creation
Shantih Shantih” (“Peace, peace, peace”).
but afterward divided in three qualities, proclaiming its
threefold glory as “knower and known, priest and oblation,
The Upanis:ads refer to three gun:as, strands or qualities
worshiper and prayer.” These verses inspired Emerson’s
that characterize all existing beings. These qualities are good-
poem Brahma and its line “I am the doubter and the doubt,
ness or purity (sattva), passion or force (rajas), and darkness
I am the song the Brahmin sings.” But rather than teaching
or dullness (tamas). The Maitri Upanis:ad affirms that in the
the equality of three persons in one God, Ka¯lida¯sa seems to
beginning the three qualities were differentiated within the
have been addressing the personal Brahma¯ as the supreme
supreme self: “That One become threefold.” This supreme
god, despite his use of the term Trimu¯rti.
self (brahman) is indicated by the sacred syllable om:, with
which every recitation of the Veda begins. The sacred syllable
For the Vais:n:ava believer Brahma¯ was an emanation of
divides itself threefold, for om: consists of three units: /a/, /u/,
Vis:n:u, a demiurge or secondary creator; he is described in
and /m/. Aum is the sound form of this being, and “one
the vision of the Bhagavadg¯ıta¯ (11.15) as sitting on a lotus
should worship it with aum continually” (Maitri Upanis:ad
throne emerging from the body of Vis:n:u, the god of gods,
6.3–4). A later description of Brahman was satcit-a¯nanda, or
a scene illustrated in many paintings. Whatever his former
saccida¯nanda: being, intelligence or consciousness, and bliss.
status, Brahma¯ has long since declined in popular esteem.
His temple at Pushkar in Rajasthan is said to be one of only
In the Bhagavadg¯ıta¯, goodness, passion, and darkness
two in India, though this is difficult to verify in such a vast
are declared to be the strands or qualities that spring from
land with innumerable shrines. At Pushkar the temple of
nature, binding the embodied self although it is changeless.
Brahma¯ has four black faces, supposedly directed at the four
But the world was deluded by these three strands and did not
cardinal points though three of them face the worshiper. A
recognize that they come from God alone, that they are in
lingam of S´iva nearby also has four human faces carved on
him but he is not in them. God is higher and eternal. Because
it, no doubt to show affinity with Brahma¯. But in popular
nature is the uncanny power of God, all elements must ulti-
religion in most of India today Brahma¯ has virtually disap-
mately derive from him (Bhagavadg¯ıta¯ 7.12–13).
peared, while Vis:n:u and S´iva have vast followings. (The two
TRIMU¯RTI. In Hindu mythology and popular theology many
groups are considered almost as distinct religions.) The third
gods appeared, though Vis:n:u and S´iva (Rudra) became dom-
most popular cult today follows the great goddess Maha¯dev¯ı,
inant. Early in the common era a trimu¯rti (“having three
the all-pervading power ´sakti, known under many names
forms”) was proposed that created a triad of these two and
and notably today as Ka¯l¯ı.
a creator, Brahma¯. These three were regarded as forms of the
neuter absolute brahman, or corresponding to the three
A famous sculpture of the Trimu¯rti dating from the fifth
gun:as of the Absolute. The epic Maha¯bha¯rata tells of these
to eighth centuries CE is in the Great Cave on Elephanta Is-
gods separately and not as a unity, and when the Trimu¯rti
land near Bombay. It is a massive stone bust nineteen feet
concept appeared its exposition varied according to the pref-
high, with three faces each four or five feet long. This figure
erences of the writers for one or another deity.
represents S´iva, who is the dominant deity among the sculp-
tures in these caves. The eastern face is Rudra the destroyer,
A story in the Bha¯gavata Pura¯n:a says that there was once
the front is Brahma¯ the creator, and the western face is Vis:n:u
a dispute among the gods as to which member of the triad
the preserver. All three are regarded as aspects of the charac-
was greatest. The sage Bhr:gu went to each of them in turn
ter of S´iva, and all show the impressive serenity that marks
to decide the matter by tests. First he saw Brahma¯ but omit-
representations of divine activity.
ted to bow to him, whereupon the god blazed out in anger.
Next he visited S´iva and did not return the god’s salutation,
Early students of Hinduism in the West often consid-
so that S´iva raised his trident (tri´su¯la) to destroy him; the
ered that parallels exist between the Trimu¯rti and the Chris-
sage was spared only by the intercession of S´iva’s wife. Lastly
tian doctrine of the Trinity, and attempts were made to ap-
Bhr:gu called on Vis:n:u, found him asleep, and woke him
portion common functions to the three persons in one God.
with a kick on the chest. Instead of becoming angry, Vis:n:u
There are still writers who call Brahma¯, Vis:n:u, and S´iva “the
begged the sage’s pardon for not having greeted him and said
Trinity,” but the parallel with Christianity is not close, and
that he was highly honored by the kick, which had left an
the Trimurti concept never became popular or embodied an
indelible mark on his breast, and that he hoped the sage’s
orthodox and catholic creed. Hindu writers and artists tend-
foot had not been hurt. Bhr:gu decided that Vis:n:u was the
ed to favor one god of the three, and Vis:n:u and S´iva came
mightiest god because he overcame his enemies with weap-
to dominate in their own schools.
ons of gentleness and generosity. This Vais:n:ava story indi-
TRIKA¯YA. In Indian Buddhism there were triadic concepts
cates the diversity and rivalry of different sects and the prob-
from an early date, and some that developed in Maha¯ya¯na
lems of a triad.
Buddhism and outside India showed parallels to Chinese tri-
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TRIADS
9347
ads. The Three Refuges (tri´saran:a), or Three Jewels (trirat-
Daoist philosophical notions of an original unity that pro-
na), appeared in Buddhism at an early date. In the Tripit:aka,
duced diversity. In the Dao de jing 42 (fourth to third centu-
or “Three Baskets” of scripture, the invocation of these ref-
ry BCE?) it is declared that “Dao produced the one, the one
uges is attributed to the first lay believer in the Buddha. Re-
produced the two, the two produced the three, and the three
cited every day in Therava¯da Buddhism by the laity as well
produced the ten thousand things.” This is not unlike an idea
as by monks, the Triple Refuge is a simple affirmation of
in the Cha¯ndogya Upanis:ad (6.2) of one neuter being that en-
trust in the central objects of religion: the Buddha, the
tered into three divinities to produce the many. However,
Dhamma or doctrine, and the Sangha or monastic order.
Arthur Waley in his translation of this verse rendered it thus:
The formula reads thus: “I go to the Buddha for refuge, I
“Dao gave birth to the One, the One gave birth successively
go to the Dhamma for refuge, I go to the Sangha for refuge.”
to two things, three things, up to ten thousand” (Waley,
The Buddha is credited with saying that whoever trusts firm-
1934, p. 195).
ly in the virtues of the Three Jewels has “entered the stream,”
has set out on the way to enlightenment.
The concept of an inseparable triad of Heaven, earth,
and man became popular in Chinese thought. Philosophers
In the development of Buddhism the term ya¯na
aimed at formulating systems that would deal with all ques-
(“vehicle, means of progress”) was used to indicate a way of
tions concerning the divine, natural, and human worlds, so
attaining enlightenment. The Maha¯ya¯na claimed to be the
that all human activity might be in harmony with divine and
“one vehicle” (ekaya¯na), and its followers called their oppo-
natural orders. Such a system of knowledge and behavior was
nents H¯ınaya¯na, followers of a “lesser vehicle.” But, occa-
set out in the Lüshi Chunqiu (Spring and Autumn Annals
sionally, more tolerant texts spoke of the major ways as
of Mr. Lü), a work by various hands early in the common
triya¯na, “threefold means.”
era. The book is in three sections, representing the triad of
Heaven, earth, and humanity. The first section is in twelve
Maha¯ya¯na Buddhist philosophy wrestled with the prob-
chapters, the number associated with Heaven. The second
lems of the absolute and the relative and of one or many
is in eight chapters, the number associated with earth. The
Buddhas. A solution was found for philosophy in the doc-
third is in six chapters, the number associated with man.
trine of the trika¯ya (“three bodies”). This was expressed in
Each chapter indicates actions appropriate for each season,
essence in the Lan˙ka¯vata¯ra Su¯tra and developed by the
stating that if humans fail to perform them properly they
Yoga¯ca¯ra school. According to this theory the body of the
will cause disturbances in nature and bring calamity from
Buddha is threefold. The dharmaka¯ya (“doctrine body or es-
Heaven.
sential body”) is self-existent and absolute, the same for all
Buddhas. It supports the other two bodies, for ultimately
Perhaps early in the common era, popular Daoist reli-
only it exists. The sambhogaka¯ya (“bliss body or communal
gion developed the worship of a triad, the Three Ones,
body”) is the channel through which the Buddhas communi-
Sanyi. It has been suggested that the concept of three celestial
cate with bodhisattvas in the heavens. This notion was used
persons derived from Christian influence, although it is rath-
to interpret texts that describe many Buddhas preaching to
er early for that to have happened unless some Christian
assemblies of bodhisattvas and gods in all the universes, while
ideas had filtered through via gnostic speculations. It is more
at the same time they had passed away to nirva¯n:a. The
likely that the idea of a religious triad developed from philo-
nirma¯n:akaya (“transformation body”) is that by which the
sophical notions of diversity arising from unity, or that
Buddha works for the good of all creatures, including the his-
philosophical and religious concepts developed independent-
torical Buddha, who appeared on earth, and in other exis-
ly and were merged by priests who claimed authority for
tences, and then passed away into nirva¯n:a.
three deities worshiped as one.
The trika¯ya doctrine sought to reconcile different ex-
An ancient Daoist divinity was Daiyi, the Grand Unity,
pressions of the nature of the Buddha. In early texts the
introduced into official worship during the Han dynasty as
dharmaka¯ya was simply the body of doctrine; once the Bud-
the greatest of all gods, above the five legendary emperors.
dha had died, he existed thereafter in the doctrine. In popu-
The Grand Unity became the personification of the Dao, as
lar beliefs the Buddhas were many, and they continued to
the Dao emanated itself into creation, a triad developed that
exist in a state of bliss to hear the prayers of worshipers. Bud-
controlled the whole universe. To the Grand Unity were
dhist art from Gandhara to Japan often grouped three Bud-
added Dianyi, the Heavenly Unity, and Diyi, the Earthly
dhas or bodhisattvas together, the individual personages dif-
Unity. It is strange that Diayi, the original all-embracing
fering according to the environment. Parallels that have been
unity, was egarded as one of three. It seems more natural for
drawn between the trika¯ya doctrine and the Christian teach-
Diayi to have been conceived as three in one, but there was
ing of the Trinity are strained and unproved. The Chinese
great complexity in the multiplication of Daoist deities.
triads appear to have been separate developments, although
From the second century of the common era Daoist liturgies
in popular religion triads of gods may be confused with sev-
spoke of the Great Mysterious Three in One, Taixuan Sanyi
eral Buddhas.
comprised the Sagely Father, the Lord and Master of the
THREE PURE ONES. Chinese speculations on a divine Triad
Human Spirit, and the Pivot of All Transformations. The
and its representation in worship may have developed from
Daoist imagination peopled the universe with a great variety
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9348
TRIADS
of gods, natural forces, and deified heroes, forming a heaven-
The Shinto¯ kami were regarded either as avata¯ras of the
ly hierarchy, under the presiding supreme triad that con-
Buddhas (from the Buddhist point of view) or as their origi-
trolled the universe like a state bureaucracy.
nals (from the Shinto¯ point of view). Chinese triadic influ-
ences appeared in Japanese symbolism, as in paintings with
In the Daoist triad the three gods were said severally to
three parallel curves and three or more flamelike signs, which
control time past, present, and to come. By the Sung dynasty
were taken as symbols of the soul. A characteristic Shinto¯
the triad of Three Pure Ones had become associated with
symbol is the tomoe, which is chiefly found in groups of three
chronological functions. The Precious Heavenly Lord, the
in the crest of many shrines. The tomoe, three pear-shaped
First Original Heavenly Venerable One, controlled time
sections of a circle, is often associated with the Chinese yin
past; some have compared him to the Father in the Christian
and yang, the two pear-shaped halves of a circle indicating
Trinity. The Precious Spiritual Lord, the Great Jade Imperial
complementary opposites, such as heaven and earth, male
Heavenly Venerable One, controlled time present; scholars
and female. The threefold tomoe is found even in the great
have compared him to the Son. The Precious Divine Lord,
Shinto¯ shrine center at Ise, though this site is said to have
the Pure Dawn Heavenly Venerable One appearing from the
been kept free from foreign influences.
Golden Palace, controlled time to come; scholars have com-
HYPOSTASES AND FAMILIES. Triadic concepts can be traced
pared him to the Holy Spirit. Joseph Needham wrote that
in the ancient Mediterranean world, though not as clearly,
“there can be little doubt that the Taoists [Daoists] had inti-
with the exception of Egypt, as in India and China. Plato in
mate contact with Nestorian Christians at the capital during
the Republic (book 4) distinguished two elements in human
the TEang dynasty. The really interesting question is where
nature, the rational and the irrational or lustful, not unlike
their trinity came from eight centuries previously” (Science
the Indian sattva and tamas. But he found himself obliged
and Civilization in China, Cambridge, 1956, vol. 2,
to distinguish a third element, the spirited or passionate, sim-
pp. 158–160).
ilar to the Indian rajas. When there is a division between ra-
Whether there was a Christian influence or not (Nesto-
tional and irrational, the spirited should array itself on the
rian missions did not arrive in China until the seventh centu-
side of the rational. The three elements in man, according
ry at the earliest), there was abundant contact between Dao-
to Plato, correspond to the social classes of guardians, auxilia-
ism and Buddhism, which from the first century established
ries, and producers. These were not unlike Indian classes or
itself as one of the three great ways of Chinese religion. Bud-
priests, warriors, and merchant farmers, although Plato’s
dhist triadic concepts could be found in the trika¯ya doctrine,
classes served different functions. Individuals and societies
or in the concept of the Dhya¯ni Buddhas, which were regard-
are wise when the rational element prevails, as when sattva
ed as personifications of creative aspects or manifestations of
prevails in Indian thought. They are courageous because of
a primordial A¯di-Buddha. In popular Buddhist religion there
the spirited element, and they are temperate when the ratio-
were triads of Buddhas, such as S´a¯kyamuni (Gautama),
nal element governs with the consent of the other two, pro-
Amita¯bha of the Pure Land, and Maitreya, the Buddha to
ducing balance and harmony.
come. Another triad comprised the mythical Avalokite´svara,
The Greeks wrestled with the problems of the divine na-
Mañju´sri, and Samantabhadra, who have been worshiped in
ture and action in ways different from those of the Indians
temples and pagodas in China and neighboring lands down
or Egyptians. In the Timaeus Plato proposed an account of
to modern times, often alongside Daoist gods.
the universe. The world came into being as a living creature
Laozi, the great saint of Daoism and the supposed au-
endowed with soul and intelligence by the providence of
thor of the Dao de jing, was often assimilated to the Three
God; the world is an image of what is eternal and true, a re-
Pure Ones. Influenced by Buddhist teachings on multiple
flection of the changeless; the ultimate truth is God the cre-
Buddhas and bodhisattvas and the various incarnations of the
ator. This was a unitary view, though Christian theologians
Buddha, the Daoists came to espouse similar beliefs. Laozi
later found a foreshadowing of the Trinity in the Timaeus,
was said to have been born before heaven and earth appeared
even from its first verse, which simply said, “One, two, three,
and to have experienced numerous later births. Like the Bud-
but where is the fourth of my guests?”
dha, he became an object of worship.
There was more triadism in Neoplatonic teachings of
three primal hypostases, a favorite theme of Christian theolo-
In Japanese Shinto¯ the first verse of the Kojiki names
gians. Plotinus claimed that earlier Greek philosophers had
three gods who all came into existence at the time of the be-
established three degrees of reality, the primary realities or
ginning of heaven and earth. Later gods of storm, sea, and
hypostases. These were represented triadically as the Good
fire were grouped in threes, notably the storm god Susano-o
or the One, the Intelligence or the One-many, and the
no Mikoto, who was considered under three aspects (“three-
World Soul. These three are in the very nature of things, and
treasure-rough-god”). The supreme sun goddess, Amaterasu,
they are also in human nature, so that our individual soul
when asked for permission to erect a great Buddhist statue
is something divine, possessing intelligence, and perfect.
at Nara, is said to have identified herself with Vairocana, a
member of a Buddhist triad, the personification of truth and
In popular Greek religion various gods were grouped to-
purity.
gether, as, for example, Demeter, Kore, and Dionysos. De-
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TRIADS
9349
meter, the corn goddess (Lat., Ceres), had an early double,
killed by his brother Seth, though according to one tradition
Kore, who in time was regarded as her daughter, Kore or Per-
he was drowned. The body of Osiris was divided into several
sephone (Lat., Proserpina). Demeter’s search for Persephone
parts and was sought and embalmed by his wife Isis, who be-
in the underworld was a vegetation myth represented in the
came pregnant by the dead god. Isis gave birth to Horus,
Eleusinian mysteries under the symbol of the growing seed
who avenged his father by killing Seth and reigning as succes-
that assures a happy future life. Dionysos was also a fertility
sor to Osiris. This complicated mythology was recorded
god; his mystery flourished in the Hellenistic age when
most clearly by Plutarch in the beginning century of the
Christianity was expanding.
common era. Fundamental to the myths of this divine triad
were the death and resurrection of Osiris, his place as a
The Etruscans had a triad of gods—Tinia, Uni, and
nature god, and his role as a model for earthly rulers.
Menerva—who presided over the destinies of towns and
These myths provided links with both gnostic and Christian
were identified by the Romans with their Capitoline triad of
teachings.
Jupiter, Juno, and Minerva. In Rome the flamens (priests or
sacrificers) were led by three major and twelve minor priests.
Egyptian priests refined their ideas of the divine triads
The three major priests were the flamen Dialis (of Jupiter),
from early anthropomorphic myths to more abstract concep-
the flamen Martialis (of Mars), and the flamen Quirinalis (of
tions. Thus the god Ptah had two of his faculties, heart and
Quirinus). These gods of the triad were invoked in formulas
tongue (spirit and word), personified under the visible forms
of devotion recited before battle, on receiving spoils, and
of the gods Horus and Thoth. Or the family associations be-
when sanctifying treaties. Jupiter represented the sky-
came the union of three spiritual aspects of the same god:
universe, like the celestial gods of Greece and India, and his
his supreme intelligence, active spirit, and creative word. Or
priest was preeminent. Mars was the god of war, and months
God was conceived of as three persons animated by the same
and festivals were named after him. Quirinus was a god of
will, like the founders of the towns of Thebes, Heliopolis,
Sabine origin, but little is known of him except that his func-
and Memphis. Re was the thinking head of this triad, Ptah
tions resembled those of Mars and his flamen formed the
its body, and Amun its invisible intelligence. This was not
third of the threesome with those of Jupiter and Mars. The
far from the Neoplatonic doctrines of a God who comprised
triad of Jupiter, Mars, and Quirinus was later overshadowed
intelligence, mind, and reason.
by the triad of Jupiter, Juno, and Minerva. A great new tem-
ple was dedicated to the latter three on the Capitoline hill
In Mesopotamia there were triads of deities organized
in Rome in 509
according to the elements of heaven and earth. The high god
BCE, the first year of the republic; inside was
a statue of Jupiter.
Anu ruled in the sky, Enlil inspired the wind or storm and
was god of the land, and Enki or Ea ruled the waters or abyss
Among the many gods of the ancient Western world,
on which the world rested. The positioning of the deities var-
the clear examples of triads are found in Egypt and Mesopo-
ied over time. For instance, Enlil was once regarded as the
tamia. One reason for the concept of triads in Egypt, and no
first of the triad, though from the beginning of the second
doubt in other lands, was the fusion of the cults of different
millennium BCE he was regarded as second. Another triad of
places. When a victorious ruler brought several towns under
Babylonian deities was composed of the moon god Sin, the
his dominion, they would be subject to both political and
sun god Shamash, and the storm god Adad. The popular
religious control. New gods encountered local deities whose
goddess Ishtar was associated with both this and the previous
worship could hardly be suppressed. A simple solution for
triads, ousting colorless figures with whom they had earlier
the conqueror and his priests was to admit the gods of the
been associated. She was connected also with the ancient Su-
vanquished into general worship, without giving them too
merian god Tammuz, a vegetation deity like Osiris who de-
much independence. Neighboring gods joined the principal
scended into the underworld where Ishtar went to seek him.
deity, the patron of the city. Thus at Heliopolis the local god
The return of Osiris and Ishtar in the spring brought joy and
Atum was joined with the lion pair Shu and Tefnut from the
fertility.
nearby town of Leontopolis. At Memphis there was a triad
of Ptah, Sekhmet, and Nefertum. At Elephantine was a triad
Of the surviving religions of Semitic origin, Judaism
of Khnum, Sati, and Anukis.
and Islam rejected triadic notions of the godhead, while
Christianity developed them. The Hebrew Bible was strong-
However different the gods might have been originally,
ly monotheistic, although traces of female elements in the
the ancients regarded them as members of a divine family,
deity can be discovered, as when Jeremiah revealed that in-
taking the roles of father, mother, and son. But the coinci-
cense had been offered to the queen of heaven in Jerusalem
dence of different family relationships in the mythologies of
and the cities of Judah (Jer. 44:17). Scholars have noted that
the merging cults could cause confusion, as when the father
there was goddess worship among Hebrew emigrants at Ele-
became the son of his wife, or the mother the wife of her son.
phantine in Egypt. In a more abstract way Proverbs 8 and 9
The most famous triadic divine family of ancient Egypt
referred to wisdom personified as the female companion of
was that of Osiris, Isis, and their son Horus. Osiris was a very
God before and during creation, a notion akin to the Logos
popular god, whose cult flourished throughout Egypt from
doctrine of the Fourth Gospel. In the Qabbalah sexual imag-
prehistoric times. In the texts Osiris was said to have been
ery was used to describe the love of God for the Shekhinah,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9350
TRICKSTERS: AN OVERVIEW
a sacred union of king and queen. But in general, Jewish
fully abridged in The Shorter Science and Civilisation in China
teaching was alien to dualities or triads.
(Cambridge, 1978) with chapters on Daoism and Confu-
cianism. Of the many books by Edward Conze on Buddhism
Islam was even more adamant, attacking the Christian
perhaps the best introduction is Buddhism: Its Essence and
doctrine of the Trinity, or what it considered that to be.
Development (Oxford, 1951), although Indian Buddhism, by
Thus the QurDa¯n exhorts, “Do not say, Three. Refrain, it will
Anthony K. Warder (Delhi, 1970), has fuller accounts of
be better for you. God is only one God” (4:169). And again,
both Theravada and Mahayana primary sources. Arthur
“Surely they have disbelieved who say: ‘God is one of three.’
Waley’s The Way and Its Power (London, 1934) is a classic
There is no god but one God” (5:77). Orthodox Christian
that has been reprinted many times, although other transla-
doctrine did not say God was one of three, though no doubt
tions need to be compared with it, and Holmes Welch’s The
the doctrine could be perverted in that way in popular use.
Parting of the Way: Laozi and the Daoist Movement (London,
Any suggestion of a divine family, of God begetting or pro-
1957) gives more information on Daoism in general. Short,
creating, or having a partner associated with him, was repug-
useful introductions to the major religions of ancient Greece,
Rome, Egypt, Mesopotamia, and indeed of Asia as well, are
nant to Islam. Thus in the QurDa¯n Jesus was credited with
provided in my Man and His Gods (London, 1971), reprint-
denying that he said, “Take me and my mother as two gods
ed with slight changes as An Illustrated History of the World’s
apart from God” (5:116). This was quite proper, and belief
Religions (London, 1983).
in the unity and absoluteness of God was fundamental to
Islam. Some writers have pointed out that Islamic theology
GEOFFREY PARRINDER (1987)
alludes to diversity in the divine nature through “the most
beautiful names of God” (al-asma¯ D al-h:usna¯); these many at-
tributes and titles are recited on prayer beads in popular de-
TRICKSTERS
votion. And theologians have discussed the eternity of the
This entry consists of the following articles:
Qur’an, which was held to be uncreated, almost like a divine
AN OVERVIEW
hypostasis. In Islamic art the name of God, Alla¯h, may be
AFRICAN TRICKSTERS
seen written three times in the prayer niche in mosques, but
NORTH AMERICAN TRICKSTERS [FIRST EDITION]
the main current of Islam has been against both triad and
NORTH AMERICAN TRICKSTERS [FURTHER
CONSIDERATIONS]
trinity.
MESOAMERICAN AND SOUTH AMERICAN TRICKSTERS
Christian doctrine developed, against an Old Testament
background, from devotion to Christ, but as it developed it
TRICKSTERS: AN OVERVIEW
came into contact with triadic concepts of the divine from
Trickster is the name given to a type of mythic figure distin-
Egypt and the Near East. Belief in a divine family emerged,
guished by his skill at trickery and deceit as well as by his pro-
for the concepts of Father and Son were in Christianity from
digious biological drives and exaggerated bodily parts. The
the beginning. The Holy Spirit was regarded as the third hy-
myths of many cultures portray such a comic and amoral
postasis in the Trinity, but it was often a vague or neglected
character, who is sometimes human but is more often animal
notion. With the growth of the cult of the Virgin and Moth-
in shape, typically an animal noted for agility and cunning:
er the female side of a triad seemed guaranteed. If Mary had
the wily coyote, the sly fox, the elusive rabbit, or the crafty
been called God the Mother, like Isis, she would have com-
spider. Sometimes the trickster is the agent who introduces
pleted a divine family. In popular religion that might have
fire, agriculture, tools, or even death to the human world.
happened, but trinitarian theology was anchored in the
As such, he plays the part of another mythic archetype, the
Bible, and Christian teachings developed from those scrip-
transformer, or culture hero, who in a mythic age at the be-
tures that gave a threefold baptismal formula and a triadic
ginning of the world helps shape human culture into its fa-
blessing. As with other religions, the threefold doctrine is
miliar form. However, the trickster’s distinction lies not so
best understood in its historical context, however attractive
much in his particular feats as in the peculiar quality of his
seeming cultural parallels may be.
exploits—a combination of guile and stupidity—and in the
SEE ALSO Numbers; Trinity.
ludicrous dimensions of his bodily parts and biological
drives. In those cultures where he stands independent of
B
other mythic figures, his adventures are recounted in a sepa-
IBLIOGRAPHY
Useful general introductions to Indian and Chinese thought, with
rate cycle of myths and lore.
selections from texts, are available in Sources of Indian Tradi-
The trickster represents a complicated combination of
tion (New York, 1958) and Sources of Chinese Tradition
three modes of sacrality: the divine, the animal, and the
(New York, 1960), compiled by Wm. Theodore de Bary and
human. Myth relates that the trickster existed in the early
others. A. L. Basham’s The Wonder That Was India, rev. ed.
(New York, 1963), ranges over Indian history and society
times when the world was still taking shape and was inhabit-
but devotes its longest chapter to religion, and Robert C.
ed by supernatural beings. As one of these important super-
Zaehner’s Concordant Discord (Oxford, 1970) speculates
naturals, the trickster possesses extraordinary powers more
about Chinese triads and other doctrines of the divine na-
divine than human. He frequently thwarts the supreme
ture. Joseph Needham’s great series on China has been use-
being’s creative intentions. In one North American Indian
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TRICKSTERS: AN OVERVIEW
9351
myth, for example, the Winnebago trickster Wakdjunkaga
a penetrable (i.e., accessible, comprehensible) reality. In the
scatters all living creatures across the face of the earth with
process of penetrating it, he reveals the sacrality both of pas-
an enormous fart, which leaves them laughing, yelling, and
sage and of mundane flaw. He images the process of the reli-
barking. This is an ungracious parallel to the Winnebago’s
gious imagination itself, which sees to it that human beings
solemn account wherein Earthmaker creates a quiet and stat-
experiment with the sacred and which sometimes leads not
ic world order in which each species remains in a separate
to the serenity of faith in a static, eternal paradise but to an
lodge. The trickster may assume an even more active role on
exciting, unpredictable turmoil of the senses in sacred music,
the mythic stage in the absence or weakness of a supreme
dance, and sexuality. The trickster represents not a mystical
being. However, there is no need to pair the trickster in a
contemplation of the singular but a sensuous appreciation of
dualism with the supreme being in order to understand his
multiplicities and contraries.
unique character.
The trickster is remarkable for the carnality that he
As the trickster flounders toward a sacred life rooted
shares with humans and animals. In his case, however, bodily
more in carnate being than in divine being, ambiguity, irony,
functions and features are extreme: voracious appetite, insa-
change, and humor fill the emptiness caused by the keno¯sis
tiable lust, stupendous excretions, cosmic flatulence. He re-
of immortality. The trickster unites things by passing them
orders (or has reordered for him) his bodily parts: His head
through the senses and the imperfect reflections of his intelli-
may be fastened to his bottom, or his penis to his back. The
gence. His bodily parts and “all too human” intelligence
trickster is usually male, but he often assumes female form
admit no firm distinction between corporeal and spiritual ex-
in order to conceive and give birth. His (or her) most con-
istence. His exorbitant and active penis offers him access to
spicuous bodily parts are passages (mouth, nostrils, anus,
realms of reality in which he ought properly to have no busi-
ears, vagina) and members that bridge or penetrate those pas-
ness. His (or her) bodily passages become the loci where
sages (e.g., head, penis, or, in the case of the spider figure,
worlds meet, come together, and even pass through and in-
the filament with which he spins his web). The trickster’s ap-
terpenetrate one another. Wherever he appears, the trickster
petites cannot be exhaustively explained in terms of the biol-
enacts the human comedy as a sacred drama, displaying the
ogy of sex or the physiology of hunger. He craves modes of
ironic condition of a limited mind served by limited senses
being other than his own: animal, plant, and so on.
but with an unlimited desire to relate to the realms of mean-
On a grand scale, the trickster mimics human needs,
ing around it.
drives, and foibles, especially the imperfections of an ambi-
tious but flawed intelligence. He often fumbles his tricks,
BIBLIOGRAPHY
and his mishaps lead to a comic apotheosis of wit into wis-
The best overview of general interpretations of the trickster is
dom. The nature of his deception is especially complicated:
chapter 1 of Robert D. Pelton’s The Trickster in West Africa:
a pretended ignorance and a pretended cunning. The irony
A Study of Mythic Irony and Sacred Delight (Berkeley, Calif.,
of his maladroit trickery is so pervasive that one cannot de-
1980). For psychological interpretations that now appear
cide whether the trickster is really ignorant or whether he is
overdependent on developmental models without consider-
so clever that he successfully exculpates himself by pretend-
ation of religious depth, see three essays in Paul Radin’s The
ing to be stupid. Reflections on his nature call into question
Trickster: A Study in American Indian Mythology (1956; re-
the deeper nature of reality in an imperfect and changing
print, New York, 1969): C. G. Jung’s “On the Psychology
world of the senses. By his duplicity, the trickster would have
of the Trickster Figure,” Karl Kerényi’s “The Trickster in Re-
one believe that he intends his elaborate schemes to fail so
lation to Greek Mythology,” and Radin’s title piece. For an
that benefits might arise from catastrophe.
overview that makes healthier use of the social context of the
trickster in interpreting its meaning, see Laura akarius’s “Le
Ironically, it is just in his animal-like biological con-
mythe du ‘Trickster,’” Revue de l’histoire des religions 175
straints and imperfections of intelligence—the human frame
(1969): 17–46. For an attempt to place the figure within the
of meaning—that the trickster affirms a sacrality different
history of ideas, see Ugo Bianchi’s “Pour l’histoire du dual-
from that of divine immortals. This sensate sacrality of foi-
isme: Un Coyote africain, le renard pâle,” in Liber Amicorum:
bles stumbles into other sacred realms with penetrating bur-
Studies in Honor of Professor Dr. C. J. Bleeker (Leiden, 1969),
lesque. For these reasons, trickster stories have been called a
pp. 27–43. Angelo Brelich has done admirably by examining
mythology of incarnation, and he a symbol of the human
the uniqueness of the trickster vis-à-vis other mythical figures
condition. The religious dimension of comic figures in folk
in “Il Trickster,” Studi e materiali di storia delle religioni 29
literatures and dramas is often illumined by comparison with
(1958): 129–137. I have pointed to the kind of close reading
the strictly mythic personality of the trickster found in sacred
of trickster texts necessary to disclose their full religious value
texts relating the beginnings of the world.
in “Multiple Levels of Religious Meaning in Culture: A New
Look at Winnebago Sacred Texts,” Canadian Journal of Na-
The trickster parodies all pretensions to perfection. He
tive Studies 2 (December 1982): 221–247. I have also drawn
mocks the gods, institutional religious figures, the techniques
out the comic aspects of incarnate saviors and loutish literary
of humans, and himself. By poking fun at anything that pa-
figures in “The Irony of Incarnation: The Comedy of Keno-
rades as permanent, important, or impermeable, he exposes
sis,” Journal of Religion 62 (October 1982): 412–417.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9352
TRICKSTERS: AFRICAN TRICKSTERS
New Sources
animals as metaphors, partly for the surface rules and pat-
Hynes, William J., and William G. Doty, eds. Mythical Trickster
terns of their life, but much more for the deeper intuitions
Figures: Contours, Contexts, and Criticisms. Tuscaloosa, Ala.,
and meanings that make them, the Kaguru, who they are.
1993.
The Kaguru, like the Ashanti in their anansesem (“spider sto-
Kun, Mchog Dge Legs, Ldan Bkra Shis Dpal, and Kevin Stuart.
ries”) and the Azande in their tales of Tore, the spider, under-
“Tibetan Tricksters.” Asian Folklore Studies 58/1 (1999):
stand that the intricate lies and outrages of their tricksters re-
5–30.
veal the social order as sacred in its supple particularity. Too
McNeely, Deldon Anne. Mercury Rising: Women, Evil, and the
bawdy to be taken as cautionary fables, too confident of the
Trickster Gods. Woodstock, Conn., 1996.
unity between specific and ultimate aims to be reduced to
Mills, Margaret. “The Gender of the Trick: Female Tricksters and
sets of binary opposition, too attuned to animals’ lives to use
Male Narrators.” Asian Folklore Studies 60, no. 2 (2001):
them univocally, these stories provide an education in wit.
237–258.
They insist that the core of human existence, a meeting place
L
of every sort of force, is displayed by—not prior to, with-
AWRENCE E. SULLIVAN (1987)
Revised Bibliography
drawn from, or obliterated by—the twists of disease, the de-
nial of hospitality, the crazed lens of sexual rivalry. Ananse
is “wonderful” because he makes all multiplicity a symbol of
the Ashanti oneness that exists here and now. Telling the
TRICKSTERS: AFRICAN TRICKSTERS
trickster’s stories, then, is an anamnesis. In displaying his
African tricksters speak and embody a vivid, subtle language
power to dismember everything, a people celebrates its ca-
of sacred transformation. Through it they strike up absurd
pacity for remembering its own way of being.
conversations between laundresses and goddesses, sex and
death, flatulence and spiritual power, breaking the univocal
African trickster figures are images of an ironic imagina-
by the anomalous and so opening human life—bodily, daily,
tion that yokes together bodiliness and transcendence, soci-
defined—to its sacramental immensity. Like their counter-
ety and individuality. Ananse of the Ashanti, Mantis of the
parts in Amerindian myth and folklore, African tricksters in-
San, Ogo-Yurugu of the Dogon, and others contend with
ject bawdiness, rebellion, and wild lying (one might aptly call
animals and gods, spirits and humans; they exploit every li-
it polymorphous perversity) into the mythic history and the
minal space to claim all speech for human language. Thus
common experience of divine-human relations wherever
the differences among these figures are as significant as their
they appear. Unlike many tricksters elsewhere, however,
similarities. Indeed, the trickster in Africa shows by his witty
these multiform world-shatterers and pathfinders in Africa
juggling with meaning and absurdity that he is more accu-
are woven not only into the fabric of myth but also into the
rately understood as a spectrum of commentaries on mythic
stuff of everyday life, playing a part in economics, rites of
commentary than as a “category.” This epistemological play-
passage, and ordinary conversation. This observation may
fulness seems to represent a sophisticated African form of re-
tell more about the history of Western colonialism and eth-
ligious thought. It is perhaps a commonplace to insist that
nography than it does about the tricksters of non-
in every system the order of the center and the wildness of
Westerners, but it does suggest that anyone who wants to
the periphery are linked. It is a bold piece of spiritual logic
know the trickster in Africa must study the particular ways
to make this insistence a joke—or even more, a joking rela-
and speech of many different African peoples.
tionship.
Such study is only now passing into its second phase.
Legba, the trickster god of the Fon, personifies such
Travelers, ethnographers, and, more recently, Africans them-
logic clearly. The youngest of the seven children of the fe-
selves have studied hundreds of African societies. Trickster-
male-male high god, Mawu-Lisa, Legba is her linguist. All
like myths and stories have emerged from many of their re-
who approach her, even the other gods, must first address
ports, but only a few collections of trickster tales have been
him. His trickery provoked Mawu into distancing herself
gathered and examined within the context of their social and
from the newly formed earth, and his unpredictable media-
religious settings. Rarely do we have the tales in their original
tion reminds both gods and humans that autonomy requires
languages, or in more than a single version, together with the
the perils of relationship. Legba’s phallic image stands before
indigenous commentary that would make deep translation
all Fon dwellings as a symbol that every passage reshapes the
and comparison more reliable. Nevertheless, these barest be-
world; like Ananse, he reveals that each transaction releases
ginnings have already demonstrated that the transforming
a sort of anti-entropic energy that turns muteness into con-
power of the trickster—what the Yoruba refer to when they
versation, randomness into meaning.
say that “Es:u turns feces into treasure”—works in the present
Legba is the master of the Fon dialectic. Fon mythology
as well as in the primordial past.
has kept alive the memory of their historical adaptiveness,
In the first place, Africans have delighted in using ani-
which enabled them to borrow liberally from the institutions
mal tricksters to shape their children’s “moral imagination,”
of their neighbors (especially from the Yoruba, whose
as T. O. Beidelman (1980) has put it. He has analyzed the
Es:u-E:le:gba inspired Legba). By grasping their history in
complex ways that the Kaguru use Hare, Hyena, and other
mythic terms as well as in secular terms, the Fon have insisted
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9353
that their assimilation of others’ creations is both revelation
Yuru-gu, the “pale fox,” but his concupiscent itch, his desire
and ingenuity, and their traditional order has delighted in
to possess the source of fecundity, led his obedient male twin
elaborating the movement from dark, female inside to
(Nommo) to offer himself to Amma as a sacrifice that
bright, male outside—and back again. The patterns of king-
brought the world as it is into being. The Dogon believe that
ship and clan, the stages of inner growth, the interweavings
Yurugu still speaks a revelatory, if twisted, word in divination
of gods and nature, and even the structures of juridical pro-
and that his story is embedded in the human personality, es-
cess became images of the dual being of the high god, the
pecially in males. The navel bears witness to his premature
bipolar principle of all life. In the intercourse between visible
separation from the divine womb; children resemble him in
and invisible universes, Legba is the living copula. The Fon
their play; the joking relationship between an adolescent boy
say that Legba, or Aflakete (a name meaning “I have tricked
and his maternal uncle’s wife repeats the pattern of Ogo’s
you”), “dances everywhere like a man copulating.” He in-
quest for twinness; and funeral dances bear the traces of his
fuses cosmic dialectic into social order as the laughter he pro-
mistaken celebration of victory over Amma. Ogo-Yurugu is
vokes becomes the sacramental sign that the male-female
a paradigm of Dogon irony, for his “going and coming” dis-
processes of Fon life are both human and transcendent.
closes that wholeness is an “achieved gift,” one both won and
bestowed: as man thrusts outward, he discovers the inner
The link between divination and the trickster represents
unity of personal individuation, social integration, and cos-
a still deeper level of meaning that West Africans especially
mic intelligibility.
have found in him. The Yoruba, like the Fon (who have
The Dogon find Ogo-Yurugu within the soul and on
adopted much of the Yoruba system of divination, known
the peripheries of life, in the present and in the farthest past,
as Ifa) and the Dogon, see their trickster god as the chief pos-
in solitary rebellion and in every relationship. Like Ananse,
sessor of divination’s language. Es:u is a disruptive mediator,
whose lies defeat Kyiriakyinnyee (“hate to be contradicted”)
“the anger of the gods,” who stirs up trouble to increase sacri-
and bring contradiction into Ashanti life, Ogo symbolizes
fice, yet his quickness of eye and hand symbolizes a meta-
the human imagination reaching everywhere to create worlds
physical slipperiness that makes him both sociotherapist and
as filled with both order and meaning as language itself. The
iconographer. At moments of conflict the meetings that
African trickster, then, teaches both dexterity and insight.
create a world become collisions. Lines of connection break
His dance does not signify abandonment of either worship
down, intersections turn into dead ends, and, as the myths
or intelligence; it signifies delight that the unsayable is quite
say, all becomes as fluid as water, as destructive as fire. Divi-
precisely said in the never-final failures of this world’s words.
nation seeks to transform these dead ends into thresholds of
If, then, the realm of the sacred is shaped by human play as
larger meaning; Yoruba divination particularly knows that to
well as by divine work, so that the least fragment of life can
give answers to knotted social and spiritual questions is, fi-
become an icon of boundlessness, what could be more practi-
nally, to redraw an imago mundi, to restore the shattered icon
cal than learning how to imagine? And how could one better
of the Yoruba cosmos. Es:u is not the source of most divinato-
celebrate the meeting of transcendence and human wit than
ry responses, but he enables divination to run its course.
with sacred laughter?
Some depiction of him is carved into every divining tray, and
that portion of the tray is always turned to the east, from
SEE ALSO African Religions, article on Mythic Themes.
which both light and darkness come. Es:u brings confusion
so that order may encompass the unencompassable. In their
BIBLIOGRAPHY
art and cities the Yoruba image the world that the relation-
T. O. Beidelman has made an intensive study of trickster figures
ship between sky and earth, O:lo:run and Onile, with all their
and their social meanings in the oral literature of the Kaguru.
attendants and rituals, has brought into being. Lord of ex-
His important interpretive essay, which argues for a moral
change in the market beginning and ending each Yoruba
rather than an epistemological interpretation of the trickster,
week, Es:u reveals that the meeting of these beings creates
is “The Moral Imagination of the Kaguru: Some Thoughts
human business, truly Yoruba ground. At every kind of
on Tricksters, Translation and Comparative Analysis,”
American Ethnologist 7 (1980): 27–42. It includes a bibliog-
crossroads Es:u’s mastery of interchange ensures that the de-
raphy of his more than twenty-five articles on the Kaguru:
sign of this ground includes all movement—even explosion
collections and translations of tales, analyses of their signifi-
and decay.
cance, and other commentaries on Kaguru society. See also
Beidelman’s “Ambiguous Animals: Two Theriomorphic
The central figure of the vast spiral of correspondences
Metaphors in Kaguru Folklore,” Africa 45 (1975): 183–200.
that is Dogon life and myth is the tricksterlike Ogo-Yurugu.
Created by Amma, the high god, to become one of the an-
Other major collections of trickster stories are E. E. Evans-
drogynous semidivine founders and overseers of life on earth,
Pritchard’s The Zande Trickster (Oxford, 1967), R. S. Rat-
tray’s Akan-Ashanti Folk-Tales (Oxford, 1930), Charles van
Ogo rebelled against his “father’s” plan because he feared he
Dyck’s “An Analytic Study of the Folktales of Selected Peo-
would be deprived of his female twin. He seized part of his
ples of West Africa” (Ph.D. diss., University of Oxford,
primordial matrix and sought to shape the world with its
1967), and Melville J. Herskovits and Frances S. Herskovits’s
help. After a long struggle, Amma rendered him mute and
Dahomean Narrative: A Cross-Cultural Analysis (Evanston,
put him to wander alone on the fringes of human society as
1958). Tales, divination verses, and analyses of Es:u-E:le:gba
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9354
TRICKSTERS: NORTH AMERICAN TRICKSTERS [FIRST EDITION]
can be found in ’Wande Abimbola’s Ifa Divination Poetry
gods or spirits, and they have no cult (other than the semiri-
(New York, 1977); William Bascom’s Ifa Divination: Com-
tualistic narration of their stories). Their relationship to sha-
munication between Gods and Men in West Africa (Blooming-
manism, the definitive religious form in most of the region,
ton, Ind., 1969); John Pemberton’s “Eshu-Elegba: The Yor-
is debated. Tricksters’ activities in myths often resemble sha-
uba Trickster God,” African Arts 9 (1975): 20–27, 66–70,
mans’ journeys to the spirit world, but tricksters ordinarily
90–91, and “A Cluster of Sacred Symbols: Orisa Worship
employ no “helpers,” and shamans do not seek help from
among the Igbomina Yoruba of Ila-Orangun,” History of Re-
“trickster spirits.” Although a history of oral traditions can
ligions 17 (1977): 1–28; and Joan Wescott’s “The Sculpture
and Myths of Eshu-Elegba, the Yoruba Trickster,” Africa 32
be only a matter of speculation, it appears that the trickster
(1962): 336–354. The major work on Dogon myth and life
figure belongs to a very ancient stratum of Indian mythology,
is that of Marcel Griaule and Germaine Dieterlen: Le renard
since certain universally disseminated motifs, such as the
pâle, vol. 1, Le mythe cosmogonique, pt. 1, “La création du
theft of fire and the origin of death, are regularly attributed
monde” (Paris, 1965).
to him.
For a study of four West African trickster figures in their social
The concept of the trickster as a type is based upon his
and mythic settings, see my book The Trickster in West Afri-
most essential trait: his trickiness. Tricksters everywhere are
ca: A Study of Mythic Irony and Sacred Delight (Berkeley,
deceitful, cunning, amoral, sexually hyperactive, taboo-
1980), which concludes with a discussion of the theory of the
trickster. For a comparative study of African and North
breaking, voracious, thieving, adventurous, vainglorious—
American tricksters and an analysis of the trickster’s role
yet not truly evil or malicious—and always amusing and un-
among the Azande, see Brian V. Street’s “The Trickster
daunted. Even though his activities are usually motivated by
Theme: Winnebago and Azande,” in Zande Themes, edited
ungoverned desire, the trickster is capable of performing
by Andre Singer and Brian V. Street (Oxford, 1972),
deeds that benefit others: releasing imprisoned game, the
pp. 82–104. In addition to Beidelman’s bibliography and the
sun, the tides, and such; vanquishing and/or transforming
one in my book, see also that of Martha Warren Beckwith
evil monsters; and, like the shaman, journeying to the land
in her Jamaica Anansi Stories (1924; reprint, New York,
of the spirits or the dead to rescue a lost loved one. The sig-
1969).
nificant element in all these deeds is trickery. But the trick-
New Sources
ster’s tricks are not considered evil: as a weak “animal-
Bennett, Martin. West African TricksterTales Retold by Martin Ben-
person” or mere human in a world of strange animals and
nett. New York, 1994.
spirit beings, the trickster must use strategy to survive. More-
Hyde, Lewis. Trickster Makes this World: Mischief, Myth, and Art.
over, as a being of insatiable appetites (for food and sex), he
New York, 1998.
cannot afford the luxury of scruples. Thus he breaks incest
Hynes, William J., and William G. Doby, eds. Mythical Trickster
taboos (rapes or marries in disguise his daughter or mother-
Figures: Contours, Contexts, and Criticisms. Tuscaloosa, 1993.
in-law) and hoodwinks small animals into dancing with eyes
closed so he can kill them. His overweening pride prevents
Owomoyela, Oyekan. Yoruba Trickster Tales. Lincoln, 1997.
him from asking for help, or from acknowledging it when
Schmidt, Sigrid. Tricksters, Monsters and Clever Girls: African Folk-
he receives it, and leads him into countless misadventures.
tales—Texts and Discussions. Cologne, 2001.
Often behaving like a fool and coming to grief, he reacts in-
ROBERT D. PELTON (1987)
variably with buoyant good humor, refusing to accept defeat.
Revised Bibliography
Nothing is sacred in his eyes: all holy institutions may be
mocked or mimicked with impunity by the trickster. Sha-
manism, especially, seems parodied in such continent-wide
stories as those of a trickster’s flight with geese or on the back
TRICKSTERS: NORTH AMERICAN
of a buzzard, ending in his crashing to earth, often being
TRICKSTERS [FIRST EDITION]
fragmented, and his laughing it all off as a big joke.
The most prominent and popular personage, generally
speaking, in the varied oral traditions of the numerous Amer-
In addition to humorous trickster folk tales, which are
indian peoples living north of the Rio Grande is the figure
remarkably similar all over North America, each region has
known as the trickster. Although the trickster may be spoken
its own set of traditions about the mythic age, and in a ma-
of in the singular as a type, there are in fact many tricksters,
jority of instances the leading personage of that time was a
of whom a great variety of stories is told across the North
trickster.
American continent. Some are purely tricksters, but the most
Raven is the dominant mythic figure all along the Alas-
significant and central mythic figure in many tribes is a trick-
kan and Canadian Pacific coast. Some tribes attribute to him
ster who is also the tribe’s culture hero and the creator (usual-
the creation of the land (e.g., by dropping pebbles on the
ly by transformation) of the present world order. Sometimes
water), probably following a world flood. The central myth
he is the maker of the earth and its beings, or alternately the
of the Raven cycle is about his theft of the sun, which was
co-creator, often antagonistic to the principal creator.
being kept in a box by a “powerful chief.” Making himself
With rare exceptions, North American tricksters are be-
a tiny particle in the drinking water of the chief’s daughter,
ings of the mythic age only; they are not believed to be living
Raven contrives to be reborn as a baby in the chief’s house.
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9355
He cries for the box and is given it, whereupon he resumes
human race to emerge onto the earth by making them think
his raven form and flies away, bringing light to the world.
life here would be better. The Oglala are one of the few
(Theft of the sun is a mythic theme found over much of
groups in North America who consider the trickster genuine-
North America, attributed almost always to the principal
ly evil, and almost the only tribe that believes the trickster
trickster or to a group of animals headed by him.)
to be a living spirit.
In the Plateau region of the northwestern United States,
Hare, the chief trickster in the poorly preserved tradi-
Coyote is usually regarded as the maker or procreator of the
tions of the Indians of the Southeast, seems not to be impli-
people, sometimes using the body of a river monster he kills,
cated in the emergence-origin traditions of these tribes.
sometimes by cohabitation with trees after a flood. His prin-
Rather, he is a culture hero (stealing the sun, fire, and such;
cipal cycle concerns his release of the salmon and his subse-
transforming monsters), and he is the bungling rival of the
quent journey up the Columbia River, leading the salmon.
youthful “blood-clot boy,” a pure hero type. Siouan-
He demands a “wife” at each village, and if his request is
speaking peoples seem to have brought a tradition of Rabbit
granted, he makes that place a good fishing spot. The cycle
stories to the Great Plains when they migrated there from
is prefaced with a tale of jealousy, lust, and deceit. Coyote,
the Southeast. Their Rabbit or Hare is a precocious boy, liv-
desiring his son’s two wives, treacherously and magically
ing with his grandmother, who by his foolish and/or heroic
causes his son to be taken into the sky world. Coyote pre-
deeds makes the world habitable, as it is today. He is not,
tends to be his son while the son in the sky is gaining super-
however, credited with any demiurgic activities.
natural powers, unbeknownst to Coyote. Later the son re-
turns, reclaims his wives, and takes revenge by causing his
The Algonquins, inhabiting a large part of eastern and
father to fall into the river and be carried away. Thus Coyote
midwestern Canada, New England, and the area around the
arrives at the mouth of the river where the salmon are kept;
three western Great Lakes, have mythologies centered on an-
by turning himself into a baby, he tricks the women who
thropomorphic culture heroes who were also tricksters,
keep them and releases them to swim upstream.
though seldom foolish, plus several minor theriomorphic
tricksters. The leading figures are Gluskabe in Maine,
In California and the Great Basin region, Coyote usual-
Tcikapis in northern Quebec, and Manabush and Wisakejak
ly is involved in a dualistic relationship with a wise, benevo-
(various spellings) in the most westerly tribes. The few
lent creator (Eagle, Fox, Wolf, or an anthropomorphic fig-
Tcikapis tales recorded show him a monster-killing dwarf,
ure). Set against the backdrop of a world flood (or fire), the
whose greatest exploit was the snaring of the sun. Gluskabe,
earth is remade and repopulated by the two, with Coyote or-
Manabush, and Wisakejak have much in common: they live
daining the “bad” things such as mountains, storms, and
with their grandmother and younger brother, Wolf—who is
fruit growing out of reach. Coyote decrees death—and then
abducted and killed by water monsters and must be rescued
his son is the first to die. So Coyote establishes mourning
and revived by the hero. (A remarkably similar tale is told
rites for people to “enjoy.” He also decrees conception by sex
of Coyote and Wolf far to the west, in the Great Basin.) The
and painful childbirth. Here and in the Plateau, where “spirit
myth has been elaborated in the esoteric traditions of the
helpers” were commonplace in everyday life, Coyote too has
Midewiwin, a secret curing society of the western Algon-
his “helpers”: two chunks of excrement that he voids when
quins. Some investigators report a vague belief that the hero
in need of advice, but to which he always replies, “Just what
of this myth lives now somewhere in the north. The neigh-
I was going to do anyway!”
boring Iroquois make no place for their trickster,
The Paiute and Shoshoni of the Great Basin consider
S’hodieonskon, in their dualistic creation myth.
Coyote the progenitor of the people (through intercourse
In some tribes humorous trickster tales are relegated to
with a mysterious woman following the flood). But among
a category apart from the more serious “myths,” but because
the Pueblo, whose mythology centers on an emergence from
all these narratives are set in “myth times,” they are never
the underground, Coyote plays a rather minor role in most
confused with quasi-historical legends or accounts of sha-
tribes. The Navajo assign him a larger part than the others:
manic experiences. Thus, to some degree, a quality of sacred-
he causes the flood that necessitates the emergence; then he
ness adheres to the person of the trickster everywhere, despite
scatters the stars in the sky haphazardly, ordains death, and
the seemingly profane nature of many of the narratives.
establishes sex. On the Great Plains, Coyote is known pri-
marily as a trickster only. Some northern tribes credit him
The oral traditions of North America present a variety
with the recreation of the earth after the deluge, and the
of combinations of trickster traits with others (culture hero,
Kiowa consider themselves the people of Sendah, a Coyote-
demiurge, etc.); but all are reducible to the idea of a being
like figure, who led them out of a hollow log in the begin-
who lives by his wits and his wit, who represents a mythical
ning. Inktomi (“spider”) of the Lakota is very similar to Coy-
perception of man making his cosmos and finding a place
ote, except in the unique esoteric traditions reported from
within it.
the Oglala Lakota. Here he is a veritable “fallen angel,” who
caused the first human family to be banished from their sub-
SEE ALSO North American Indian Religions, article on
terranean paradise and who subsequently induced the whole
Mythic Themes.
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TRICKSTERS: NORTH AMERICAN TRICKSTERS [FURTHER CONSIDERATIONS]
BIBLIOGRAPHY
discourse also adopted the trickster as a model. Ironically,
The term trickster was coined by Daniel G. Brinton in his Myths
contemporary American Indians witnessed the cooptation of
of the New World (Philadelphia, 1868). The only serious
their tricksters by everyone else and so began to employ trick-
study of the American trickster to have been published in
ster tactics themselves. True to the trickster’s nature, the
book form remains Paul Radin’s The Trickster (1956; reprint,
practice of trickster tactics of destabilization, irony, foolish-
New York, 1969), which contains important essays by C. G.
ness, and deceit became a contest of one-upmanship. The
Jung and Karl Kerényi. It is not, however, a general study of
happy result is evident in current American Indian manifes-
tricksters in North America, but is mainly about those of the
tations of the trickster, a figure that cannot be analyzed as
Winnebago tribe. My article “The North American Indian
a phenomenon rooted in a mythic past anymore. Trickster
Trickster,” History of Religions 5 (Winter, 1966): 327–350,
is based on an earlier work, “The Structure and Religious
stories are still told with the same awe and laughter, but the
Significance of the Trickster-Transformer-Culture Hero in
trickster has become a model for action as well.
the Mythology of the North American Indians” (Ph. D.
The kinds of actions engaged in by contemporary trick-
diss., University of Chicago, 1965), which is a study of the
sters can in many ways be analyzed like the actions of the
entire continent north of the Rio Grande. Edward H. Piper
mythic trickster. On the one hand, there are actions that are
sees the trickster as basically a child figure in his psychologi-
foolish and lead to embarrassing consequences. On the other
cal analysis, “A Dialogical Study of the North American
Trickster Figure and the Phenomenon of Play” (Ph. D. diss.,
hand, there are actions that are creative and heroic and lead
University of Chicago, 1975). Laura Makarius has written
to community leadership and personal accomplishment. Ex-
several articles on tricksters from various parts of the world,
amples of the foolishness of tricksters most often impart les-
viewing the trickster as a taboo-breaking magician; on the
sons relevant to day-to-day life situations. The conflict be-
North American trickster, see her study “The Crime of
tween personal wants and needs and the order and
Manabozo,” American Anthropologist 75 (1973): 663–675.
limitations of an impersonal social order leads to constant
Barbara Babcock-Abrahams has published an interesting an-
evaluations of what actions to take in relation to the costs
thropological study, “‘A Tolerated Margin of Mess’: The
the actions will exact. Will the trickster engaged in quotidian
Trickster and His Tales Reconsidered,” Journal of the Ameri-
situations prompt foolish acts? Will the embarrassment of
can Folklore Institute 2 (1975): 147–186. A recent popular
failure (or success) be acceptable or will it prevent action? Do
collection of trickster stories, without significant interpreta-
tion, is by Barry Holstun Lopez: Giving Birth to Thunder,
the trickster stories compel one to act or prevent one from
Sleeping with His Daughter: Coyote Builds North America
acting? It is in these debates over trickster actions and re-
(Kansas City, 1977). See also the February 1979 issue of Pa-
sponses to the everyday that the importance of trickster sto-
rabola (4, no. 1), which is devoted to the trickster. For the
ries for self-identity can be explored. By recognizing that
texts of the stories, one must resort to the hundreds of vol-
contemporary peoples do not just enjoy trickster stories as
umes of reports of pioneer American anthropologists pub-
a humorous tale set in the mythic past, but see in them a par-
lished by the Bureau of American Ethnology, the American
able of actions and consequences that affect daily decisions,
Folklore Society, and other organizations.
we begin to see that tricksters continue to have a high degree
M
of salience for contemporary American Indians.
AC LINSCOTT RICKETTS (1987)
Can the trickster figure be said to have any religious or
spiritual significance or efficacy in today’s world? As stated
above, tricksters’ roles in religion and spiritually are continu-
TRICKSTERS: NORTH AMERICAN
ally debated. However, in acknowledging the creative influ-
TRICKSTERS [FURTHER CONSIDERATIONS]
ence that trickster figures have had in forming the landscape
These are exciting times for the trickster. As suggested above,
to make it suitable for human habitation we come closer to
the term trickster is used to describe a character that has
the spiritual nature of tricksters. Many examples in the earlier
“trickiness” as his main attribute and is adept at surviving by
part of this article illustrate how tricksters of many cultural
his “wits.” Yet, absent from this description is any critical ap-
traditions have been responsible for preparing the world for
praisal of the trickster concept. The comparative analyses of
humans. Tricksters have done so both consciously and un-
trickster types in varied American Indian cultural traditions
consciously. In the end (of mythic time), the landscape has
often ignore the bias of the analysts. Indeed, some critics sug-
become the physical manifestation of all of trickster’s activi-
gest that the trickster that we encounter when reading cross-
ties. Be it the freeing of game, the leveling of mountains, the
cultural accounts is not the indigenous trickster, but the
creation of waterfalls, the destruction of monsters, or the
trickster through the eyes of the analyst. But even as scholarly
changing of proportions and countenances of animals, all
accounts of tricksters were being debated, the trickster be-
these actions are embedded in the landscape and the cultural
came, in the 1980s and 1990s, a paradigm for overturning
traditions of the native North Americans. For many Ameri-
accepted practices in the academic world. During the height
can Indians the Native landscape is a sacred landscape, full
of the postmodern movement in the humanities and sciences
of stories that reinforce their connections to this world as
critics of the status quo invoked the name of Trickster to un-
well as to the mythic world that existed before humans.
dermine and question accepted practices. Marginalized
These worlds are not separate, just as the trickster of the
groups fighting to have their voices heard over the dominant
mythic time and world is not separate from today’s world.
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TRICKSTERS: MESOAMERICAN AND SOUTH AMERICAN TRICKSTERS
9357
Trickster is not an object for analysis held at an objective
TRICKSTERS: MESOAMERICAN AND SOUTH
distance, but tather serves as a model for survival. Many
AMERICAN TRICKSTERS
American Indian artists, writers, leaders, and community
The peoples of Mesoamerica and South America maintain
members use trickster tactics—and thereby embody the
lively traditions concerning a cunning and deceitful mythic
trickster—to negotiate social injustices, preservation of tradi-
figure, the trickster. Although tricksters are ludicrous rather
tional values, and repatriation of self-identity and self-
than solemn beings, they cannot be discounted as trivial be-
determination. Trickster, then, is alive and well in Native
cause their activities and transformations touch on religious
North America.
issues. For instance, they steal fire, which is deemed the cen-
ter of social and physical life, and their clever bungling fre-
SEE ALSO Anishinaabe Religious Traditions; Cosmology, ar-
quently introduces death. They stir up such a riot of the
ticle on Indigenous North and Mesoamerican Cosmologies;
senses with their playful conduct, that sex, food, and song
North American Indian Religions, article on Mythic
become sacred emblems of incarnate life. The trickster’s
Themes.
scheming prefigures human intelligence, which is based,
ironically, on the realm of the senses.
BIBLIOGRAPHY
The analysis of the trickster from non-Native perspectives and to
Tricksters are usually animals that have bodies riddled
serve non-Native purposes has been a part of the translation
with passages, or they may have excessively large orifices, any
processes since trickster tales were recorded. Paul Radin’s
of which may be cut open or penetrated. The contemporary
classic The Trickster; a Study in American Indian Mythology.
Huichol, who live in the Sierra Madre Occidental, in north-
With Commentaries by Karl Kerényi and C. G. Jung (New
central Mexico, consider Káuyúumaari (“one who does not
York, c1956; reprint, 1972) is an example from the perspec-
know himself” or “one who makes others crazy”) one of their
tive of psychoanalysis. Lewis Hyde would later follow with
principal deities (Myerhoff, 1974). Káuyumarie is the animal
his cross-cultural perspective in Trickster Makes This World:
sidekick of the supreme Huichol deity, Tatewari (“our
Mischief, Myth, and Art (New York, 1998). The postmodern
grandfather fire”). Irreverent, clever, and amusing, Káuyu-
incarnation of tricksters as a mode of critique is clearly articu-
marie brought about the first sexual intercourse between
lated in Donna Harray’s “Situated Knowledges:The Science
Question in Feminism and the Priviledge of Partial Perspec-
man and woman. He guides pilgrims to Wirikúta, where the
tive” in her Simians, Cyborgs, and Women: The Reinvention
Huichol believe the beginning of time and the center of
of Nature, (New York, 1991). A trickster mode of analysis for
space are located, and where, as the Sacred Deer, he was dis-
semiotics is also explicitly stated in C. W. Spinks’s Semiosis,
membered. Pilgrims learn at Wirikúta that all paradoxes and
Marginal Signs and Trickster: A Dagger of the Mind (Hound-
contradictions—even the distinctions between deer, maize,
mills, Basingstoke, U.K., 1991), and most recently in his ed-
and peyote—arise from the division of Káuyumarie’s body
ited volume Trickster and Ambivalence: The Dance of Differ-
(Myerhoff, 1974). The four directions are colored by his
entiation (Madison, Wis., 2001). For discussions on trickster
body parts, and these colors can be seen in flowers or in the
and marginal literature see Jeanne Campbell Reesman’s
visions induced by eating his flesh—the sacred peyote plant.
Trickster Lives: Culture and Myth in American Fiction (Ath-
The horns on Káuyumarie’s head enable humans to pene-
ens, Ga., 2001) and Jeanne Rosier Smith’s Writing Tricksters:
trate the contradictions that make up human experience
Mythic Gambols in American Ethnic Literature (Berkeley,
1997). In this same period, Native American writers and art-
(Furst, 1976).
ists began to re-appropriate trickster discourses in their cre-
Tricksters distort sight and sound purely to create illu-
ative works. Gerald Vizenor’s Dead Voices: Natural Agonies
sion and noise. The Aztec divinity, Tezcatlipoca (“smoking
in the New World (Norman, Okla., 1992) is a novel that
mirror”), uses an obsidian mirror to distort images. He was
grapples with the trickster role in contemporary Native
American oral traditions and his Narrative Chance: Postmod-
able to trick Quetzalcoatl, for example, into looking into the
ern Discourse on Native American Indian Literatures (Albu-
mirror in which Quetzalcoatl saw a repulsive and misshapen
querque, N. Mex., 1989) uses the postmodern appropria-
being. Tezcatlipoca in one of his assumed shapes is Huehue-
tions of trickster discourse to re-present a native analysis of
coyotl (“drum coyote”), the puckish patron of song and
Native American literature. Native American artists were also
dance, who was an ancient Chichimec divinity known for
exploring the possibilities of a revitalized trickster discourse
being a sly contriver (Brundage, 1979).
in their creative works as discussed and presented in Allan J.
Ryan’s The Trickster Shift: Humour and Irony in Contempo-
Extraordinary body designs or cross-sex dress, which the
rary Native Art (Vancouver, 1999). More locally inspired
trickster sometimes manifests, is a way in which the contrary
trickster projects are embedded in larger cultural reinscrip-
conditions of existence are mediated. In her study of Zina-
tion projects such as the Tlinkit project Will the Time Ever
cantecan myth from the Chiapas Highlands of Mexico, Eva
Come?: A Tlingit Source Book, edited by Andrew Hope III
Hunt links contemporary female tricksters to the sixteenth-
and Thomas F. Thornton (Fairbanks, 2000) and the West-
century goddess Cihuacoatl, a female deity with a tail, a fake
ern Apache project described by Keith Basso in his Wisdom
baby, and a snake, which emerges from under her skirt and
Sits in Places: Landscape and Language Among the Western
from between her legs. In the contemporary Cuicatec region
Apache (Albuquerque, 1996).
and the Puebla-Nahuatl area of Mexico, she is embodied as
BERNARD C. PERLEY (2005)
Matlacihuatl, and she is also known as Mujer Enredadora
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TRICKSTERS: MESOAMERICAN AND SOUTH AMERICAN TRICKSTERS
(“entangling woman”). Her name derives from maxtli, a
Maotchi, is extracted from a hole in a tree by a female agouti
loincloth. Matlacihuatl is adulterous and promiscuous, and
with whom he has promised to have sex in exchange for
she specializes in seducing homosexual men. She is sexually
being rescued. Once night falls, he fears making love with
anomalous, having a vagina at the back of her neck that
her, and so they sleep foot-to-foot. However, she begins to
opens like a mouth. If a man does seduce her, he will become
devour him through her anus, and by midnight she has
pregnant and give birth to a child that looks like excrement
“swallowed” him up to his anus, which then begins to swal-
(Hunt, 1977).
low her. On another occasion, Maotchi tricks his elder
A female turtle is the trickster of the Desána people in
brother, Kawarimi, into jumping with him into an enormous
southern Colombia. She constantly outsmarts primordial
hole that leads to another world at the center of the earth.
monkeys, jaguars (the dominant supernatural beings of the
Maotchi saves himself by grabbing a vine as he falls, uproot-
primordial age), foxes, deer, and tapir, using their body parts
ing the vine in the process. As his brother falls into the hole,
to her advantage; for example, she uses the leg bone of the
Maotchi shouts “Stone, stone!” to make his brother fall faster
jaguar as a flute.
and, eventually, break all his bones (Jacopin, 1981).
Tricksters often opposed the dominant supernatural be-
Cross-dressing constitutes another tactic of the trickster.
ings of their day and embarrassed or humiliated the divine
In eastern Ecuador, the Shipibo trickster is an ant eater who
patrons of priests, shamans, and other privileged religious
manages to trade “clothes” with a jaguar. The result is the
specialists. For example, the Maquiritaré, Carib-speakers of
human world, in which appearances and body forms can be
Venezuela, tell of divine twins; Iureke revives his twin broth-
deceiving: that is, where an ant eater is really a jaguar, a jag-
er, Shikiemona, who has been fixed in the form of a fish by
uar really an anteater, and so on (Roe, 1982). Because death
the Master of Iron. In an effort to save his brother, Iureke
is the ultimate transformation, tricksters have been linked
assumes the form of a kingfisher and covers his brother with
with it; they also mock death and extract benefit from its ap-
excrement. When the Master of Iron washes Shikiemona
pearances. For example, in Brazil, the Tapirapé culture hero,
clean, the water removes the excrement and revives the dying
Petura, is able to steal fire from the primordial king vulture
twin, and he swims away (Civrieux, 1980). Later, the twins
by pretending to be a cadaver: When the king vulture comes
destroy the supernatural jaguar by exploiting his will for
to devour the maggots infesting the corpse, Petura steals his
power. “I want some wind. I need some power,” the jaguar
“red fire.” He also gives the anteater its shape by thrusting
exclaims. So the twins trick him into swinging on a vine after
a club up its anus and a wooden stick into its nostrils (Wag-
eating a smelly agouti (a kind of rodent). The jaguar breaks
ley, 1977).
wind, filling the air with a foul smell on a cosmic scale, and
In the Gran Chaco area of southern South America, the
ultimately the jaguar is propelled to the end of the earth,
Mataco trickster Tokhwáh—also known as Tawkx-wax,
where he lands with a bang and breaks all his bones.
Takwaj, Takjuaj, Tokhuah—is both good and bad, and, al-
In other myths tricksters steal various forms of life from
though he advances human capabilities, every step forward
the underworld. For example, the Sanumá (Yanoama) of the
brings comic disaster (Simoneau and Wilbert, 1982). Tokh-
Venezuela-Brazil border region, tell of Hasimo, a mythic
wáh acts bisexually, chasing women and often seduced by
bird-man, who steals fire from a primordial alligator, which
men. His exploits require an entire cycle of myths, and he
stores fire in its mouth, by shooting excrement into its face,
is at once divine and earthly, creative and destructive. In
forcing the alligator to laugh (Taylor, 1979).
order to retain nourishing foods, Tokhwáh uses mud to close
Manipulation of flesh and of bodily openings and clos-
up his anus, which had been torn open through intercourse
ings is a key stratagem of tricksters. Among the Waiwai of
with an iguana. In another episode, he is blinded with excre-
Venezuela, an old man, who is a known liar and master of
ment that comes flying through the air when Tokhwáh
disguise, rescues his child from buzzards by making himself
strikes a pile of dung that has answered his questions by mak-
smell like putrid flesh (Fock, 1963). Yaperikuli, the trans-
ing inarticulate dropping noises, “pa pa pa pa.” On another
former and trickster of the Baníwa of the upper Rio Negro
occasion, as punishment for eating a child, all of Tokhwáh’s
region of northwestern Brazil, killed the chief of the Eenu-
orifices are plugged with clay or wax. When a woodpecker
nai (“sky people”) by opening his body and leaving it in a
reopens his orifices, various bird-beings are spattered with
hammock like a “dummy.” The trickster’s role in general
blood and waste, giving the various species their distinguish-
consists of his becoming enmeshed in a predicament and
ing marks (Simoneau and Wilbert, 1982).
then rescuing himself through the use of his incarnate intelli-
The actions of Mesoamerican and South American
gence and the physical transformation of his body. Tricksters
tricksters reveal the contradictions at the heart of human ex-
are sometimes wedged in the dangerous passages between
perience: carnal and spiritual, living but mortal, ambitious
two states of being, and through their efforts to rescue them-
but finite. With a blend of humor and tragedy, trickster
selves—using perhaps a hole, or vine, as a passage—these
myths describe the calamities that occur when contrary con-
states of being become altered forever.
ditions of being collide and overlap in a single experience.
The Yuküna people of the northwest Amazon region tell
the story of two heroic brothers. The younger brother,
SEE ALSO Jaguars; Tezcatlipoca.
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TRIGLAV
9359
BIBLIOGRAPHY
of him in the temple at Szczecin (Stettin), Pomerania, is at-
For a consideration of trickster figures as general mythical types
tested by Herbord, Ebbo, and Monachus Prieflingensis, the
among American Indian people, see A˚ke Hultkrantz’s The
three biographers of Otto, a twelfth-century bishop of Bam-
Religions of the American Indians (Berkeley, Calif., 1967). For
berg. According to Herbord, the image of Triglav at Szczecin
a treatment of trickster figures in Mesoamerica, see Barbara
had three heads joined to one another. Ebbo states that the
G. Myerhoff’s Peyote Hunt: The Sacred Journey of the Huichol
image was of gold; Monachus Prieflingensis asserts that all
Indians (Ithaca, N.Y., 1974); Burr C. Brundage’s The Fifth
three heads were silver-plated. Another idol of Triglav stood
Sun: Aztec Gods, Aztec World (Austin, 1979); and Eva Hunt’s
The Transformation of the Hummingbird: Cultural Roots of a
in the town of Wolin. Both images were destroyed by Otto.
Zinacantecan Mythical Poem (Ithaca, N.Y., 1977).
No detailed description of the image of Triglav exists.
For tricksters in various parts of South America consult the excel-
One of the interesting features of this god is that he was con-
lent series of volumes on folk literature of South American
nected with the number three. His idol stood on the largest
peoples edited by Johannes Wilbert and Karin Simoneau and
of the three hills of Szczecin, and the black horse consecrated
published by the UCLA Latin American Center at the Uni-
to him and used in divination was led thrice across nine
versity of California, Los Angeles. Each volume contains ex-
(thrice three) lances that were placed in front of the temple,
tensive indices directing the reader to specific trickster mo-
about a yard apart.
tifs. For example, this article refers to Johannes Wilbert and
Karin Simoneau’s Folk Literature of the Mataco Indians (Los
In the words of the high priest of the temple at Szczecin,
Angeles, 1982). Gerardo Reichel-Dolmatoff, Amazonian
Triglav had three heads in order to make it known that he
Cosmos: The Sexual and Religious Symbolism of the Tukano In-
ruled over three realms: heaven, earth, and the underworld.
dians (Chicago, 1971) presents the mythic figures of south-
Ebbo refers to him as the “summus deus” (“highest god”).
ern Colombia. For references to tricksters in the northwest
Hence, Triglav may have been either a manifestation of three
Amazon region, see the excellent collections of myths in
major gods or three aspects of one god. The black horse and
Robin M. Wright’s “History and Religion of the Baníwa
Peoples of the Upper Rio Negro Valley,” 2 vols. (Ph.D. diss.,
the mention of the underworld suggest Triglav’s ties with
Stanford University, 1981), and in Pierre-Ives Jacopin’s “La
Veles-Volos, the god of death and the underworld, a deity
parole generative: De la mythologie des indiens yukuna”
standing in opposition to Sventovit, the god of heavenly
(Ph.D. diss., Université de Neuchâtel, 1981). Trickster my-
light, who was associated with a white horse. Triglav may
thologies from Venezuela may be found in Marc de Civ-
also have been related to Chernoglav, the “black god,” who
rieux’s Watunna: An Orinoco Creation Cycle (San Francisco,
had a silver mustache and who was worshiped at Rügen, as
1980); Niels Fock’s Waiwai: Religion and Society of an Ama-
mentioned in the Knytlingasaga (1265).
zonian Tribe (Copenhagen, 1963); and Kenneth I. Taylor’s
“Body and Spirit among the Sanumá (Yanoama) of North
Tricephalous sculptures, mostly undated, have been
Brazil,” in David L. Browman and Ronald A. Schwarz’s Spir-
found in South and East Slavic areas (Yugoslavia, Bulgaria,
its, Shamans, and Stars: Perspectives from South America (The
Russia); in France, Gallo-Roman sculptures of three-headed
Hague, 1979), pp. 201–221, which discusses people living
gods date from the second to the fourth century CE. A trice-
on the Brazil-Venezuela border. Mention may also be made
phalous figure called the Thracian Rider was known in the
of Charles Wagley’s Welcome of Tears: The Tapirapé Indians
ancient Balkan world, particularly in Bulgaria, and his image
of Central Brazil (Oxford, 1977); the special study made by
is preserved on hundreds of stelae of the second and third
Mario Califano, “El ciclo de Tokjwaj: Analisis feno-
centuries CE. The name of Triglav has been retained in the
menológico de una narración mítica de los Mataco Cos-
toponymy of all Slavic areas, proving its common Slavic
taneros,” Scripta ethnológica (Buenos Aires) 1 (1973): 156–
186; and Peter G. Roe’s The Cosmic Zygote: Cosmology in the
origin.
Amazon Basin (New Brunswick, N.J., 1982).
B
New Sources
IBLIOGRAPHY
Machál, Jan. “Slavic Mythology.” In The Mythology of All Races,
Basso, Ellen B. In Favor of Deceit: A Study of Tricksters in an Ama-
vol. 3, edited by Louis H. Gray and George Foot Moore,
zonian Society. Tucson, 1987.
pp. 217–220. Boston, 1918.
Bierhorst, J. Myths and Tales of the American Indians. New York,
1992.
Palm, Thede. Wendische Kultstätten: Quellenkritische Untersuchun-
gen zu den letzten Jahrhunderten slavischen Heidentums. Lund,
Erdoes, Richard, and Alfonso Ortiz, eds. American Indian Trick-
1937.
ster Tales. New York, 1998.
Pettazzoni, Raffaele. “The Pagan Origins of the Three-Headed
Vizenor, Gerald. “Trickster Discourse.” American Indian Quarter-
Representation of the Christian Trinity.” Journal of Warburg
ly. 14 (1990): 277–287.
and Courtauld Institutes 9 (1946): 135–151.
LAWRENCE E. SULLIVAN (1987)
Pettazzoni, Raffaele. “West Slav Paganism.” In his Essays on the
Revised Bibliography
History of Religions, pp. 151–163. Leiden, 1967.
New Sources
Kapica, F. S. Slavyanskije tradicionnije verovanija, prazdniki i ritu-
TRIGLAV, a three-headed deity of the heathen Slavs, was
ali [Slavic traditional beliefs, festivities and rituals]. Moscow,
literally named: from tri,“three,” and glava, “head.” Worship
2001.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9360
TRINITY
Petruhin, A. Y., T. A. Arapkina, L. N. Vinogradova, and S. M.
the first person of the Trinity but a synonym for God. Early
Tolstaya. Slavyanskaja mifologija [Slavic mythology]. Mos-
liturgical and creedal formulas speak of God as “Father of our
cow, 1995.
Lord Jesus Christ”; praise is to be rendered to God through
Shaparova, N. S. Kratkaya enciklopedija slavyanskoj mifologii [A
Christ (see opening greetings in Paul and deutero-Paul).
short dictionary of Slavic mythology]. Moscow, 2001.
There are other binitarian texts (e.g., Rom. 4:24, 8:11; 2 Cor.
Tokarev, S. A. “Mifi narodov mira [World myths].” Bolshaya Ros-
4:14; Col. 2:12; 1 Tm. 2:5–6, 6:13; 2 Tm. 4:1), and a few
sijskaya Enciklopedija, vol.1–2. Moscow, 1998.
triadic texts (the strongest are 2 Cor. 13:14 and Mt. 28:19;
others are 1 Cor. 6:11, 12:4–6; 2 Cor. 1:21–22; 1 Thes. 5:18–
MARIJA GIMBUTAS (1987)
Revised Bibliography
19; Gal. 3:11–14). Christ is sent by God and the Spirit is
sent by Christ so that all may be returned to God.
The language of the Bible, of early Christian creeds, and
TRINITY. Trinitarian doctrine touches on virtually every
of Greek and Latin theology prior to the fourth century is
aspect of Christian faith, theology, and piety, including
“economic” (oikonomia, divine management of earthly af-
Christology and pneumatology, theological epistemology
fairs). It is oriented to the concrete history of creation and
(faith, revelation, theological methodology), spirituality and
redemption: God initiates a covenant with Israel, God speaks
mystical theology, and ecclesial life (sacraments, community,
through the prophets, God takes on flesh in Christ, God
ethics). This article summarizes the main lines of trinitarian
dwells within as Spirit. In the New Testament there is no re-
doctrine without presenting detailed explanations of impor-
flective consciousness of the metaphysical nature of God
tant ideas, persons, or terms.
(“immanent trinity”), nor does the New Testament contain
the technical language of later doctrine (hupostasis, ousia, sub-
The doctrine of the Trinity is the summary of Christian
stantia, subsistentia, proso¯pon, persona). Some theologians
faith in God, who out of love creates humanity for union
have concluded that all postbiblical trinitarian doctrine is
with God, who through Jesus Christ redeems the world, and
therefore arbitrary. While it is incontestable that the doctrine
in the power of the Holy Spirit transforms and divinizes (2
cannot be established on scriptural evidence alone, its origins
Cor. 3:18). The heart of trinitarian theology is the conviction
may legitimately be sought in the Bible, not in the sense of
that the God revealed in Jesus Christ is involved faithfully
“proof-texting” or of finding metaphysical principles, but be-
and unalterably in covenanted relationship with the world.
cause the Bible is the authoritative record of God’s redemp-
Christianity is not unique in believing God is “someone”
tive relationship with humanity. What the scriptures narrate
rather than “something,” but it is unique in its belief
as the activity of God among us, which is confessed in creeds
that Christ is the personal Word of God, and that through
and celebrated in liturgy, is the wellspring of later trinitarian
Christ’s death and resurrection into new life, “God was in
doctrine.
Christ reconciling all things to God” (2 Cor. 5:19). Christ
is not looked upon as an intermediary between God and
Dogmatic development took place gradually, against
world but as an essential agent of salvation. The Spirit
the background of the emanationist philosophy of Stoicism
poured out at Pentecost, by whom we live in Christ and are
and Neoplatonism (including the mystical theology of the
returned to God (Father), is also not a “lesser God” but one
latter), and within the context of strict Jewish monotheism.
and the same God who creates and redeems us. The doctrine
In the immediate post–New Testament period of the Apos-
of the Trinity is the product of reflection on the events of
tolic Fathers no attempt was made to work out the God-
redemptive history, especially the Incarnation and the send-
Christ (Father-Son) relationship in ontological terms. By the
ing of the Spirit.
end of the fourth century, and owing mainly to the challenge
DEVELOPMENT OF TRINITARIAN DOCTRINE. Exegetes and
posed by various heresies, theologians went beyond the im-
theologians today are in agreement that the Hebrew Bible
mediate testimony of the Bible and also beyond liturgical
does not contain a doctrine of the Trinity, even though it
and creedal expressions of trinitarian faith to the ontological
was customary in past dogmatic tracts on the Trinity to cite
trinity of coequal persons “within” God. The shift is from
texts like Genesis 1:26, “Let us make humanity in our image,
function to ontology, from the “economic trinity” (Father,
after our likeness” (see also Gn. 3:22, 11:7; Is. 6:2–3) as proof
Son, and Spirit in relation to us) to the “immanent” or “es-
of plurality in God. Although the Hebrew Bible depicts God
sential Trinity” (Father, Son, and Spirit in relation to each
as the father of Israel and employs personifications of God
other). It was prompted chiefly by belief in the divinity of
such as Word (davar), Spirit (ruah:), Wisdom (h:okhmah),
Christ and later in the divinity of the Holy Spirit, but even
and Presence (shekhinah), it would go beyond the intention
earlier by the consistent worship of God in a trinitarian pat-
and spirit of the Old Testament to correlate these notions
tern and the practice of baptism into the threefold name of
with later trinitarian doctrine.
God. By the close of the fourth century the orthodox teach-
ing was in place: God is one nature, three persons (mia ousia,
Further, exegetes and theologians agree that the New
treis hupostaseis).
Testament also does not contain an explicit doctrine of the
Trinity. God the Father is source of all that is (Pantokrator)
Questions of Christology and soteriology (salvation) oc-
and also the father of Jesus Christ; “Father” is not a title for
cupied theologians of the early patristic period. What was
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TRINITY
9361
Christ’s relationship to God? What is Christ’s role in our sal-
of Thomas Aquinas (d. 1274). Still Augustinian but focusing
vation? The Logos Christology of the apologists identified
on person rather than nature, Richard of Saint-Victor
the preexistent Christ of Johannine and Pauline theology
(d. 1173) and Bonaventure (d. 1274) developed a psycholo-
with the Logos (“word”) of Greek philosophy. The Stoic dis-
gy of love; charity is the essence of Trinity.
tinction between the immanent word (logos endiathetos) and
Although there are important exceptions to any typolo-
the expressed word (logos prophorikos) provided a way for Jus-
gy, in general, Greek theology emphasizes the hypostases, the
tin Martyr (d. 163/165) and others to explain how Christ
“trinity in unity,” whereas Latin theology emphasizes the di-
had preexisted as the immanent word in the Father’s mind
vine nature, or “unity in trinity.” The Greek approach can
and then became incarnate in time. Third-century monar-
be represented by a line: Godhood originates with the Fa-
chianism arose as a backlash against Logos theology, which
ther, emanates toward the Son, and passes into the Holy
was feared to jeopardize the unity of God; the modalism of
Spirit who is the bridge to the world. Greek theology (follow-
Sabellius admitted the distinctions in history but denied
ing the New Testament and early Christian creeds) retains
their reality in God’s being. Origen (died c. 254) contributed
the “monarchy” of the Father who as sole principle of divini-
the idea of the eternal generation of the Son within the being
ty imparts Godhood to Son and Spirit. The Greek approach
of God; although other aspects of Origen’s theology later
tends toward subordinationism (though hardly of an onto-
were judged to be subordinationist, his teaching that the Son
logical kind) or, in some versions, to tritheism since in Greek
is a distinct hypostasis brought about subtle changes in con-
theology each divine person fully possesses the divine sub-
ceptions of divine paternity and trinity. In the West, Tertul-
stance. The Latin approach can be represented by a circle or
lian (d. 225?) formulated an economic trinitarian theology
triangle. Because the emphasis is placed on what the divine
that presents the three persons as a plurality in God. Largely
persons share, Latin theology tends toward modalism (which
because of the theology of Arius, who about 320 denied that
obscures the distinctiveness of each person). Also the Trinity
Christ was fully divine, the Council of Nicaea (325) taught
is presented as self-enclosed and not intrinsically open to the
that Christ is homoousios (of the same substance) with God.
world.
The primary concern of Athanasius (d. 373), the great de-
PRINCIPLES OF TRINITARIAN DOCTRINE. Trinitarian theolo-
fender of Nicene orthodoxy, was salvation through Christ;
gy is par excellence the theology of relationship. Its funda-
if Christ is not divine, he cannot save. Like the bishops at
mental principle is that God, who is self-communicating and
Nicaea, Athanasius had a limited trinitarian vocabulary;
self-giving love for us, is from all eternity love perfectly given
hupostasis (person) and ousia (substance) could still be used
and received. The traditional formula “God is three persons
interchangeably.
in one nature” compactly expresses that there are permanent
The fourth-century Cappadocian theologians (Basil of
features of God’s eternal being (the three persons) that are
Caesarea, Gregory of Nyssa, and Gregory of Nazianzus) for-
the ontological precondition for the three distinct manners
mulated orthodox trinitarian doctrine and made it possible
of God’s tripersonal activity in the world (as Father, Son,
for the Council of Constantinople (381) to affirm the divini-
Spirit).
ty of the Holy Spirit. The speculatively gifted Cappadocians
Technical terms, theological theories, and official (con-
made a clear distinction between hupostasis and ousia (rough-
ciliar) statements function together as a “set of controls” over
ly equivalent to particular and universal), thereby establish-
the correct way to conceive both of God’s self-relatedness as
ing orthodox trinitarian vocabulary. At the close of the pa-
Father, Son, and Spirit, and God’s relatedness to creation as
tristic period John of Damascus (d. 749) summarized Greek
Father, Son, and Spirit. Although one must guard against re-
trinitarian doctrine with the doctrine of pericho¯resis (Lat., cir-
ducing the mystery of God to a set of formal statements, pre-
cumincessio), or the mutual indwelling of the divine persons.
cise distinctions are useful insofar as they refine theological
Western trinitarian theology took a different course be-
vocabulary or protect against distortions (“heresy”). Still,
cause of Augustine (d. 430). Instead of regarding the Father
doctrinal statements are inherently limited; they address spe-
as source of divinity, Augustine’s starting point was the one
cific points of controversy, leaving other questions unsettled
divine substance, which the three persons share. He sought
and sometimes creating new problems. Conciliar statements
the image of the Trinity within the rational soul and formu-
and theological principles guard against egregious errors (for
example, “the Holy Spirit is a creature”) and serve as bounda-
lated psychological analogies (memory, intellect, will; lover,
ries within which trinitarian discourse may take place.
beloved, love) that conveyed unity more than plurality. The
Augustinian approach served to effectively refute Arianism,
First, God is ineffable and Absolute Mystery, whose re-
but it also moved the doctrine of the Trinity to a transcen-
ality cannot adequately be comprehended or expressed by
dent realm, away from salvation history, from other areas of
means of human concepts. Trinitarian doctrine necessarily
theology, and from liturgy. In the Latin West Boethius (died
falls short of expressing the full “breadth and length and
c. 525) formulated the classic definition of person, namely,
height and depth” of God’s glory and wisdom and love. Even
“individual substance of a rational nature.” Augustinian the-
though God who “dwells in light inaccessible” is impenetra-
ology was given further elaboration in medieval theology, es-
ble mystery, the doctrine of the Trinity is not itself a mystery,
pecially by Anselm (d. 1109) and in the Scholastic synthesis
nor is the doctrine revealed by God, nor is the doctrine a sub-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9362
TRINITY
stitute for the knowledge of God gained in the union of love
cians) understands the unity to reside in the “perichoretic”
that surpasses all concepts (see Eph. 3:18–19). Trinitarian
relatedness of the three persons.
doctrine is a partial and fragmentary exegesis of what has
A corollary of the inseparability of the three coequal di-
been revealed, namely, that God is self-communicating love.
vine persons is the axiom that “all works of the triune God
Further, because God is a partner in love and not an object
ad extra are indivisibly one” (“opera trinitatis ad extra indivi-
to be scrutinized or controlled by the intellect, speculative
sa sunt”). According to Latin theology it is the three-
theology must be firmly rooted in spirituality, doxology, and
personed substance of God that acts in history; according to
a concrete community of faith so that trinitarian doctrine
Greek theology every action of God toward creation origi-
does not become “heavenly metaphysics” unrelated to the
nates with the Father, passes through the Son, and is perfect-
practice of faith.
ed in the Spirit (Gregory of Nyssa). In any case, the axiom
Second, the revelation and self-communication of the
must not be understood to obscure what is distinctive to each
incomprehensible God, attested in the concrete images and
divine person.
symbols of the Bible and celebrated in Christian liturgy, is
Fourth, a false distinction must not be set up between
the proper starting point of trinitarian theology. Theological
what God is and what God does, between essence and exis-
thinking proceeds from “God with us” (“economic” Trinity)
tence, between unity and threefoldness, between nature and
to the nature of God (“immanent” Trinity). The starting
person (relation). There are no “accidents” in God; the state-
point “within” God led to an overly abstract doctrine in the
ment of the Fourth Lateran Council (1215) that each divine
West and to a virtual divorce of the “immanent” Trinity
person is the divine substance countered the claim of some
from the Trinity of history and experience. Friedrich Schlei-
theologians (Joachim of Fiore) that God is a quaternity
ermacher (d. 1834) reacted against the cleavage between
(three persons + essence = four persons).
“God” and “God for us” by relegating the idea of the essen-
tial Trinity to an appendix to his summary of Christian the-
Fifth, since the nature of God is to love, and love natu-
ology. Karl Rahner’s (d. 1984) widely accepted axiom is per-
rally seeks an object, it might appear that God “needs” the
tinent: “the ‘economic’ Trinity is the ‘immanent’ Trinity and
world as a partner in love. This would make the world co-
vice versa.” God is who God reveals God to be. Concepts
eternal with God. Many Scholastic theologians speculated on
that describe the ontological intrarelatedness of God must be
this question. Thomas Aquinas admitted that while he saw
drawn from and are subject to control by the “facts” of re-
no philosophical reason to deny the eternity of the world, the
demptive history.
testimony of the Book of Genesis and his Christian faith con-
strained him to do so. In 1329 Meister Eckhart was con-
Third, because the three persons together and insepara-
demned for asserting the eternity of the world. With respect
bly (though without mingling or confusion) bring about sal-
to trinitarian theology, even though Rahner’s axiom (see
vation and deification, and because the one God is wor-
above) suggests that God’s relations to us, including creation,
shiped as Father, Son, and Spirit, no divine person is inferior
are constitutive of God and vice versa, theologians tradition-
to any other person. Although undivided, God exists as the
ally speak of a perfect and reciprocal exchange of love “with-
pure relationality of love given and received. The decree of
in” God, that is, among Father, Son, and Spirit independent
the Council of Florence (1442) that “everything in God is
of their relationship to creation, in order to preserve the ab-
one except where there is opposition of relation” was regard-
solute character of God’s freedom.
ed as a final answer to tritheism (belief in three gods), Arian
C
subordinationism (ontological hierarchy of persons), Sabelli-
URRENT DIRECTIONS AND REMAINING PROBLEMS. After
an modalism (no real distinctions “in” God), and Macedoni-
centuries of disinterest in trinitarian doctrine in the West,
anism (denial of the divinity of the Holy Spirit).
the riches of this vast tradition are once again being explored.
Three basic directions may be observed. First, some theolo-
There are two divine processions: begetting and spira-
gians have revised analogies of the “immanent” Trinity ac-
tion (“breathing”). Each divine person exists by relation to
cording to contemporary philosophy (for example, process
the other two persons (Gr., “relation of origin”; Lat., “rela-
metaphysics), linguistics, or interpersonal psychology. While
tion of oppositon”), and each fully possesses the divine sub-
this approach overcomes some of the aporia of classical expo-
stance. In Greek theology the three hypostases have the
sitions, it perpetuates the metaphysical starting point “with-
distinguishing characteristics (sg., idiotes) of “being unbegot-
in” God apart from salvation history. A second approach fo-
ten” (agenn¯esia), “being begotten” (genn¯esia), and “proceed-
cuses on soteriology and Christology and is circumspect
ing” (ekporeusis). The Father is the fountainhead of Godhood
about the “immanent” Trinity, though without denying that
(fons divinitatis), who imparts divinity to Son and Spirit. Ac-
historical distinctions are grounded ontologically in God. A
cording to Latin theology there are four relations (begetting,
third approach uses trinitarian symbolism to describe God’s
being begotten, spirating, being spirated) but only three
deeds in redemptive history but resists positing real distinc-
“subsistent” relations: paternity, filiation, spiration. Latin
tions in God. Despite basic differences in method, these
theology (following Augustine) understands divine unity to
three approaches all move in a more personalist (relational)
reside in the divine nature that is held in common by Father,
direction and, in the case of the latter two, a more “econom-
Son, and Spirit; Greek theology (following the Cappado-
ic” direction.
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TRINITY
9363
Theologians who specialize in trinitarian doctrine sug-
BIBLIOGRAPHY
gest that several areas warrant further attention. First, most
Biblical and Historical Sources
trinitarian doctrine is so abstract it is difficult to see its con-
For the New Testament origins of trinitarian doctrine, see the arti-
nection with praxis. The “summary of Christian faith” and
cle and bibliography by Franz Josef Schierse, “Die neutesta-
the living out of that faith should be brought to bear more
mentliche Trinitätsoffenbarung,” in Mysterium Salutis, ed-
directly on each other. Creeds, doxologies, and liturgy are
ited by Johannes Feiner and Magnus Löhrer, vol. 2
important loci of the trinitarian faith recapitulated in trini-
(Einsiedeln, 1967), and Arthur W. Wainwright’s The Trinity
in the New Testament (London, 1962). A standard and nearly
tarian doctrine.
complete exposition of patristic and medieval, Greek and
Second, unlike the “mystical theology” of the Orthodox
Latin trinitarian doctrine is Théodore de Régnon’s four-
tradition, theology in the West has been separated from spiri-
volume Études de théologie positive sur la Sainte Trinité (Paris,
tuality since the thirteenth century. Reintegrating theology
1892–1898). Organized chronologically and full of helpful
and spirituality would help to overcome the rationalist ten-
textual references is “Trinité,” by G. Bardy and A. Michel,
dencies of Western theology, to provide the field of spiritual-
in Dictionnaire de théologie catholique (Paris, 1950), vol.
ity with theological foundation, and also to strengthen the
15.2, cols. 1545–1855. Standard English-language works in-
weakest component of Western theology, namely, pneuma-
clude George L. Prestige’s study of shifting terminology and
concepts in early Greek trinitarian theology in God in Patris-
tology.
tic Thought, 2d ed. (1952; reprint, London, 1964), J. N. D.
Third, the filioque (“and from the Son”) clause, inserted
Kelly’s historical study, Early Christian Doctrines, 5th rev. ed.
into the Western creed in the sixth century but denounced
(New York, 1977), and Edmund J. Fortman’s The Triune
by the Orthodox church, remains a serious obstacle to re-
God (Philadelphia, 1972). Yves Congar’s three-volume I Be-
union between East and West. Theologians should work as-
lieve in the Holy Spirit (New York, 1983) is more impression-
siduously for ecumenical agreement.
istic but contains many historical gems and a seasoned ap-
proach to this vast field.
Fourth, to speak of God as “three persons” always has
been problematic and remains the same today. In the mod-
Theological Works
ern framework “person” means “individual center of con-
In Protestant theology, Karl Barth placed the doctrine of the Trin-
ity as a prolegomenon to dogmatic theology in Church Dog-
sciousness.” To avoid the tritheistic implications of positing
matics, vol. 1, pt. 1 (Edinburgh, 1936). See also Claude
three “persons” in God, the relational, or “toward-the-other”
Welch’s summary of recent Protestant theology in In This
character of “person” should be reemphasized.
Name: The Doctrine of the Trinity in Contemporary Theology
Fifth, the exclusively masculine imagery of trinitarian
(New York, 1952). Trinitarian theology that centers on the
doctrine hinders full recovery of the trinitarian insight into
cross is represented in Eberhard Jüngel’s God as the Mystery
the essential relatedness of God. The fatherhood of God
of the World (Grand Rapids, Mich., 1983) and Jürgen Molt-
should be rethought in light of the critique of feminist theol-
mann’s The Crucified God (New York, 1974). In Catholic
ogies and also in view of the nonpatriarchal understanding
theology, Karl Rahner’s monograph The Trinity (New York,
1970) summarizes but also seeks to go beyond standard
of divine paternity to be found in some biblical and early
Western trinitarian dogma. Heribert Mühlen’s Der heilige
theological writings.
Geist als Person, 2d ed. (Münster, 1966) and Una Mystica
Sixth, revising trinitarian theology along soteriological
Persona (Paderborn, 1964) develop a pneumatological and
lines raises the question of its place in the dogmatic schema,
interpersonal analogy of the “immanent” Trinity. Walter
that is, whether it ought to be treated as a separate “tract,”
Kasper’s The God of Jesus Christ (New York, 1984) is a magis-
as prolegomenous to theology, as its apex and summary, or
terial summary of classical and contemporary trinitarian the-
as an undergird that is presupposed throughout but never al-
ology, developed against the backdrop of modern atheism
luded to explicitly.
and in light of current studies in Christology. On Orthodox
theology, see Vladimir Lossky’s The Mystical Theology of the
Seventh, trinitarian theology must be pursued within
Eastern Church, 2d ed. (Crestwood, N.Y., 1976).
the context of the “God question” of every age, whether this
New Sources
question takes the form of existentialist atheism, secular hu-
Bobrinsky, Boris. The Mystery of the Trinity. Translated by Antho-
manism, or some other.
ny P. Gythiel. Crestwood, N.Y., 1999.
Eighth, the Christian doctrine of God must be devel-
Boff, Leonard. Holy Trinity, Perfect Community. Translated by
oped also within the wider purview of other world religions.
Phillip Berryman. Maryknoll, N.Y., 2000.
Trinitarian doctrine cannot be Christomonistic, excluding
Butin, Philip Walker. Reformed Ecclesiology: Trinitarian Grace Ac-
persons of other faiths from salvation, nor can it surrender
cording to Calvin. Princeton, N.J., 1994.
its conviction that God is fully present in Christ.
Collins, Paul M. Trinitarian Theology, West and East: Karl Barth,
For trinitarian doctrine to be recovered as a vital expres-
the Cappadocian Fathers, and John Zizioulas. Oxford and
sion of God’s nearness in Christ, theologians must translate
New York, 2001.
into a contemporary idiom the mystery of God’s triune love
Davis, Stephen T., Daniel Kendall, and Gerald O’Collins, eds.
in a way that does justice not only to the testimony of our
The Trinity. Oxford and New York, 1999.
predecessors but also to the ongoing and ever-new features
Schwöbel, Christoph, and Colin E. Gunton, eds. Persons Divine
of God’s relationship with a people.
and Human. Edinburgh, 1991.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9364
TROELTSCH, ERNST
Thompson, John. Modern Trinitarian Perspectives. New York,
Enlightenment traditions were more important than the the-
1994.
ology of the reformers. He believed that theology must be
Torrance, Thomas Forsyth. The Christian Doctrine of God. Edin-
changed from the old dogmatic paradigm to a “historical
burgh, 1996.
method” and must be based upon a general, rational theory
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TROELTSCH, ERNST
designated such a theology, which he believed compatible
(1865–1923), German Prot-
with modern consciousness, a “religious-historical disci-
estant theologian and cultural philosopher. Ernst Peter Wil-
pline.” It is not yet clear to what extent this statement was
helm Troeltsch is considered “the most eminent sociological-
influenced by the Göttingen religious historian and Septua-
ly oriented historian of Western Christianity” (Talcott
gint scholar Paul Anton de Lagarde (1827–1891). Troeltsch
Parsons, quoted by James Luther Adams, “Why the Tr-
was part of a very close and friendly exchange in Göttingen
oeltsch Revival? Reasons for the Renewed Interest in the
with the church historian Albert Eichhorn (1856–1926), as
Thought of the Great German Theologian Ernst Troeltsch,”
in The Unitarian Universalist Christian 29, 1974, pp. 4–15).
well as the exegetes Hermann Gunkel (1862–1932), Alfred
With regard to the impact of his work, Troeltsch was the
Rahlfs (1865–1935), Wilhelm Wrede (1859–1906), Hein-
most significant evangelical theologian since Friedrich
rich Hackmann (1864–1935), and especially Wilhelm Bous-
Schleiermacher (1768–1834). As the central figure in Ger-
set (1865–1920). These “young Göttingers” wanted to trans-
man Protestant theology in the early twentieth century, he
form traditional biblical scholarship into an undogmatic,
was able to exercise an enduring influence on philosophy, re-
sociologically informed religious history of Judaism and early
ligion, sociology, and the study of history.
Christianity. They therefore attempted to understand the or-
igins of Christianity from the perspective of the ancient reli-
Troeltsch was born in Haunstetten, a small town near
gions, especially of late Judaism. Since they were not interest-
the old southern German imperial city of Augsburg. He
ed in historically secondary theological dogmatics, but rather
spent his childhood and youth in Augsburg. Through the ef-
in the original productivity of religious consciousness, they,
forts of his father, a well-to-do physician, Troeltsch became
along with Johannes Weiss (1863–1914), emphasized very
acquainted at an early age with the modern natural sciences,
strongly the eschatological character of Jesus’ preaching of
and the famous preparatory school at Sankt Anna gave him
the kingdom of God, and also the autonomy of religion
the sense of a cosmopolitan Christian humanism.
within culture. Troeltsch was considered the “systematician”
In 1883, Troeltsch began the study of philosophy for
of this “little Göttingen faculty,” which as a so-called reli-
two semesters at the Roman Catholic preparatory school in
gious-historical school exercised a significant influence on
Augsburg and then, in the fall of 1884, of Protestant theolo-
the theology of the early twentieth century.
gy in Erlangen. He was particularly interested in the reconcil-
In a well-known essay, Über historische und dogmatische
iation of faith with knowledge and, therefore, attended lec-
Methode in der Theologie (On Historical and Dogmatic
tures in art history, political science, national economics,
Method in Theology; 1900, included in his Gesammelte
history, psychology, and philosophy. Since the theological
Schriften, vol. 2, Tübingen, 1913, pp. 729–753), using the
faculty at Erlangen was dominated by a neoorthodox Luther-
historiographic principles of critique, analogy, and correla-
anism, Troeltsch transferred, in 1885, to Berlin for a year
tion, Troeltsch drew the radical conclusion of definitively
and, in the fall of 1886, finally to Göttingen. Here the sys-
separating a supranaturalistic view of Christianity as the only
tematic theologian Albrecht Ritschl (1822–1889), the most
true religion from the old dogmatic understanding of Jesus
prominent contemporary representative of a liberal, Luther-
Christ as the extraordinary and exclusive revelation of God.
an, cultural Protestantism, exercised a primary and profound
The breaking down of the traditional isolation of Christiani-
influence upon him.
ty from other religions should not, however, imply any skep-
As early as 1891, however, Troeltsch formulated a sharp
tical relativism, but rather should serve as a foundation for
criticism of Ritschl’s ethicizing modernization of Luther’s
the specific validity that Christianity claims. The program
theology. He emphasized the far-reaching cultural differ-
for a general theory of religion, which Troeltsch first outlined
ences between the “Old Protestantism” of the sixteenth and
in 1895 in Die Selbständigkeit der Religion (The Indepen-
early seventeenth centuries and the modern world, which
dence of Religion), should, therefore, produce a metacritique
had emerged only with the Enlightenment of the eighteenth
of modern religious criticism. It should demonstrate, more-
century. Insofar as Luther had remained committed to the
over, in dialogue with Ludwig Feuerbach’s “suspicion of illu-
ideal of a religiously dominated, homogeneous culture and
sion,” the real meaning of religious consciousness, in order
had represented a pacifist ethic that sanctioned submission
to prove thereby the special validity of the Christian tradi-
to the status quo, he was, for Troeltsch, still part of the Mid-
tion. Thus the connection of historical-empirical analyses of
dle Ages. Thus for Troeltsch’s own theological development,
the history of Christianity with a variety of attempts at a sys-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TROELTSCH, ERNST
9365
tematic philosophy of religion is characteristic of Troeltsch’s
knows itself—or all finite reality—to be grounded in a divine
lifework. The difficulties of making such a connection, how-
substance only insofar as he understood the a priori as a prod-
ever, demanded extensive epistemological, historical, and
uct not proper to the intellect. To presuppose objects of cog-
philosophical analyses of the relationship between historical
nition as directly given, however, contradicted the Kantian
contingency and the absolute. This Troeltsch was not able
point of departure of his argumentation. The more Troeltsch
to bring to completion. To that extent, his massive literary
sought to explain, in numerous small monographs on the
work is, for the most part, fragmentary.
philosophy of religion, the relationship of the religious con-
sciousness to reality, the less he could still do justice to Kant’s
After a short lectureship in Bonn, and at the age of only
criticism. Although in close personal contact with the leading
twenty-nine, Troeltsch was called to Heidelberg in 1894 as
German representatives of Neo-Kantianism, Troeltsch did
professor of systematic theology. After the turn of the centu-
not share their basic assumptions.
ry, he became known far beyond the narrow borders of aca-
demic theology. This was a result of his intensive engage-
After the turn of the century, in addition to his studies
ment in ecclesiastical politics on behalf of different
in the philosophy of religion, Troeltsch published in relative-
organizations in liberal Protestantism, and also his promi-
ly quick succession several cultural-historical investigations
nent position within the University of Heidelberg. From
into the profound transformation of the Christian conscious-
1909 to 1914, Troeltsch represented the university in the
ness during the transition to the modern period. These in-
lower chamber of the parliament of the grand duchy of
clude the large treatise, Protestantisches Christentum und Kir-
Baden. He was especially known for his numerous publica-
che in der Neuzeit (Protestant Christianity and the Church
tions. On the basis of religious-historical comparison in his
in the Modern Age, in Paul Hinneberg, ed., Die Kultur der
famous lecture Die Absolutheit des Christentums und die Reli-
Gegenwart, Part 1, Section 4.1, Berlin and Leipzig, 1906;
gionsgeschichte (The Absoluteness of Christianity and the
1922, 3d ed.), on the basis of which the University of Greif-
History of Religion, Tübingen, 1902), he denied to Chris-
swald conferred on him an honorary doctorate in philoso-
tianity its traditional claim of absoluteness and relative supe-
phy, and a famous lecture, Die Bedeutung des Protestantismus
riority as the religion of personality. In Psychologie und Erken-
für die Entstehung der modernen Welt (Munich, 1906; 1911,
ntnistheorie in der Religionswissenschaft (Psychology and
2d ed.; abridged English version, Protestantism and Progress:
Epistemology in the Study of Religion, Tübingen, 1905), an
A Historical Study of the Relation of Protestantism to the Mod-
essay presented to the International Congress of Arts and Sci-
ern World, London and New York, 1912). Both show the
ences in Saint Louis in 1904, he connected William James’s
strong influence of Max Weber’s investigations of 1904–
psychological pragmatism with the Neo-Kantian assumption
1905 into the genetic connections between Protestant ethics
of empirically independent structures of consciousness to
and the spirit of capitalism. And Weber, in turn, was strongly
form a theory of the “religious a priori.” In accordance with
influenced by Troeltsch’s understanding of Lutheranism as
this, the production of religious ideas is seen as a constitutive
a politically as well as economically premodern, patriarchal
accomplishment of human subjectivity. In Wesen der Religion
religion. Moreover, indications of the significance of the as-
und der Religionswissenschaft (Writings on Theology and Re-
cetic work-ethic of Calvinism for the development of capital-
ligion, 1977, pp. 82–123), Troeltsch sought to explicate the
ism can already be found in Troeltsch’s work before the ap-
independence of religion on four levels: First, empirically
pearance of his friend’s famous essays on Protestantism. The
given religion should be analyzed according to a psychology
very close, seventeen-year friendship meant a substantial
of religion as an autonomous phenomenon of life that is con-
scholarly enrichment for both Troeltsch and Weber.
stitutive for all culture. Second, in the epistemology of reli-
gion, the level of reality proper to religious consciousness
It is true that Troeltsch had established a sociological
must be rationally justified. Third, within a special historical
foundation for his understanding of the church even before
philosophy of religions, the general concept of religion
the meeting with Weber. However, it was only under the in-
should be realized specifically and concretely in terms of the
fluence of his friend that he distinguished precisely between
plurality of real existing religions for comparative religious-
church and sect as different types of religious community-
historical studies. Fourth, a metaphysics of religion bases the
building. Die Soziallehren der christlichen Kirchen und Grup-
religious understanding of worldly reality upon the self-
pen (The Social Doctrines of Christian Churches and
revelation of God. In this way, the universal history of reli-
Groups), which, already partially published in 1908–1910,
gion should be proven to be the progressive revelation of
appeared in 1912 as the first volume of Troeltsch’s collected
God, and the presence of the absolute would be demonstrat-
works, also shows, however, significant sociological differ-
ed in finite consciousness.
ences between the friends. Troeltsch wanted to present the
social and ethical consequences of the Christian conceptual
Troeltsch was not, however, able to carry out this great
world and its interaction with cultural phenomena. The es-
program. The concept of the religious a priori remained espe-
chatological ideal of the kingdom of God of the Gospels
cially unclear. For Troeltsch only partially appropriated
stands in a relationship of unresolvable tension to the factici-
Kant’s understanding of a priori structures of consciousness.
ties of culture. Nevertheless, in that the church institutional-
He could do justice to the statement that the pious subject
izes the grace of redemption sacramentally, it can become the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9366
TROELTSCH, ERNST
place of salvation for the masses and fit the Christian con-
political way for Germany. Since 1916 he had been fighting
cepts to the political-social order and its needs for legitima-
for a thorough democratization of the imperial constitution,
tion. In contrast to this, the sects, small groups on the margin
the political integration of the parties of the workers’ move-
of society with demands for high achievement on their mem-
ment, and economic reforms aimed at breaking down class
bers, radicalize the tensions of religion and society to the
differences. This was reflected in manifold activities for the
point of absolute opposition between the norms of culture
limitation of war and for peace negotiations. Troeltsch was
and the lex Christi, the Sermon on the Mount.
a delegate of the leftist-liberal German Democratic party in
the Prussian state assembly and undersecretary in the Prus-
From the types of church and sect, Troeltsch further
sian ministry for cultural affairs. After defeat and revolution,
distinguished mysticism as the third particular social form of
he was one of the leading representatives of that small minor-
Christianity. Here the opposites of religion and society are
ity in German Protestantism that interceded for the accep-
reconciled within the pious subject himself, to the extent that
tance of the constitutional compromise of Weimar and for
he knows himself to be a participant in the divine spirit and
its concrete actualization as a social democracy.
he glimpses the true reality of the kingdom of God in a pure-
ly spiritual and universal brotherhood of those gifted by
In close connection with his political and practical activ-
God. Troeltsch especially ascribed to his third type signifi-
ity, Troeltsch turned his attention in Berlin primarily to this
cant historical effects for modern Christianity. Weber, how-
question: to what extent could normative approaches to the
ever, did not consider mysticism to be a separate social form
solution of the present cultural crisis be found in the Europe-
of religion. This difference is the expression of contradicting
an cultural tradition? Because of his sudden death on 1 Feb-
evaluations of the real meaning of religion for modern socie-
ruary 1923, Troeltsch was not able to realize concretely his
ties. Unlike Weber, Troeltsch was convinced that, even
program for a “European cultural synthesis.” However, the
under the conditions of Western rationalism, religion was an
basic theological structure of Troeltsch’s philosophy of histo-
extremely important factor in societal formation. He under-
ry can be recognized in the lectures Christian Thought: Its
stood the Christian tradition primarily as a force for the
History and Application (London, 1923), edited by his friend
strengthening of individual autonomy over against the de-
Friedrich von Hügel (1852–1925), the so-called lay bishop
personalizing developmental tendencies of modern capital-
of Roman Catholic modernism, and also the concluding part
ism. Moreover, the church’s tradition had to be provided
of Das logische Problem der Geschichtsphilosophie (The Logical
with a new cultural credibility; that is, “religious individual-
Problem of the Philosophy of History), the first book of Der
ism,” inspired by the mystical tradition, which had been
Historismus und seine Probleme (Historicism and its Prob-
forced out of the evangelical church, had to be again given
lems), which appeared in 1922 as the third volume of the
a right to exist within a “flexible church of the people” (Ge-
Gesammelte Schriften. Troeltsch now expressly restricted to
sammelte Schriften, vol. 2, Tübingen, 1913, p. 105). In con-
the European-American cultural arena the old claim of
nection with Schleiermacher’s program of a practically ori-
Christianity to a position of relative superiority among the
ented theology of consciousness, Troeltsch interpreted
world religions. To pretend to understand foreign cultures
dogmatic statements as self-communications of the genuine
was cultural imperialism. Against monistic worldviews,
Protestant consciousness, as is shown especially in Die Bedeu-
which presuppose that a universal history of humanity can
tung der Geschichtlichkeit Jesu für den Glauben (1911; trans-
be recognized, Troeltsch argued for a pluralistic understand-
lated as The Significance of the Historical Existence of Jesus for
ing of reality. In that he was guided by the theological insight
Faith, in Writings on Theology and Religion, 1967,
that an overview of history is possible only for God, but not
pp. 182–207) and in his posthumously edited lectures on
for finite persons.
Die Glaubenslehre (Munich and Leipzig, 1925).
In the antiliberal, mostly antidemocratic, German Prot-
In the spring of 1915 Troeltsch was transferred to Berlin
estant theology of the 1920s, Troeltsch’s cultural relativism
by the minister for cultural affairs. The chair he occupied
encountered intensive criticism. Since the 1960s, however,
there was renamed specifically for him, as a professorship in
one can see—on the international level as well as on an inter-
“religious, social, and historical philosophy and the history
disciplinary level—a notable renaissance of interest in Tr-
of Christian religion” and was transferred from the theologi-
oeltsch’s thought. Indeed his theology of cultural modesty
cal to the philosophical faculty.
is important, in that it permits central problems of contem-
porary theological and philosophical discussion—for in-
With his moving to the capital of the empire, Tr-
stance, the pluralism of religious traditions, the dependency
oeltsch’s intensive political activity quickly gained in public
of theology upon contexts, the relationship of Christianity
significance. Troeltsch interpreted World War I as an impe-
to cultural modernity—to be grasped outside of all claims of
rialistic power struggle, at the root of which lay not only eco-
dogmatic absolutism.
nomic antagonisms, but also deep-seated political and cul-
tural contradictions between the German spirit and Western
BIBLIOGRAPHY
rationality. In spite of this connection with his earlier analy-
A comprehensive listing of published works by Troeltsch is now
ses of the social and ethical differences between Lutheranism
offered by Ernst Troeltsch Bibliographie, edited and with an
and Calvinism, Troeltsch was not a theoretician of a separate
introduction and commentary by Friedrich Wilhelm Graf
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TRUBETSKOI, EVGENII
9367
and Hartmut Ruddies (Tübingen, 1982). This inclusive bib-
brother of Sergei, was professor of philosophy at the Univer-
liography indicates numerous previously unknown publica-
sity of Moscow from 1905 to 1918. He developed his philo-
tions of Troeltsch and various of Troeltsch’s own editions of
sophical views within the same general context as did Vladi-
the same texts. Summaries of texts that have been published
mir Solov’ev and was the author of a major study on him,
in English can be found in Jacob Klapwijk’s “English Trans-
Mirosozertsanie Solov’eva (Solov’ev’s Worldview, 2 vols.,
lations of Troeltsch’s Works,” in Ernst Troeltsch and the Fu-
Moscow, 1913). A theoretical disagreement with Solov’ev,
ture of Theology, edited by John Powell Clayton (Cambridge,
which did not stand in the way of their friendship, led Tru-
1976); see also the appendix, “Troeltsch in English Transla-
tion,” in Troeltsch’s Writings on Theology and Religion, trans-
betskoi to study Western theocratic ideas. In his two-volume
lated and edited by Robert Morgan and Michel Pye (Lon-
Religiozno-obshchestvennyi ideal zapadnogo khristianstva (The
don, 1977).
Religio-Social Ideal of Western Christianity, Moscow, 1892;
Kiev, 1897), which focused on Augustine and the medieval
Several introductions to Troeltsch’s work have been published:
papacy, he concluded that a religious institution’s primary
Trutz Rendtorff’s “Ernst Troeltsch, 1865–1923,” in Theolo-
responsibilities were incompatible with that institution’s ex-
gen des Protestantismus im 19. und 20. Jahrhundert, vol. 2, ed-
ited by Martin Greschat (Stuttgart, 1978); Karl-Ernst Apfel-
ercise of political power.
bacher’s Frömmigkeit und Wissenschaft: Ernst Troeltsch und
In his philosophy, Trubetskoi blended philosophical
sein theologisches Programm (Munich, 1978); Giuseppe Can-
idealism, traditional Orthodoxy, and a voluntaristic-
tillo’s Ernst Troeltsch (Naples, 1979); Robert J. Rubanowice’s
exhortative creed that shaded off into political activism. His
Crisis in Consciousness: The Thought of Ernst Troeltsch, with
a foreword by James Luther Adams (Tallahassee, 1982);
posthumously published Smysl zhizni (Meaning of Life) was
Trutz Rendtorff’s and my discussion of Troeltsch in Nine-
popular among the Russian émigrés whom it provided with
teenth Century Religious Thought of the West, vol. 3, edited by
the much-needed assertion that there was meaning in exis-
Ninian Smart et al. (Cambridge and New York, 1985); and
tence.
my and Hartmut Ruddies’ “Ernst Troeltsch: Gesch-
ichtsphilosophie in praktischer Absicht,” in Grundprobleme
Trubetskoi was instrumental in stimulating increased
der grossen Philosophen, vol. 8, edited by Joseph Speck (Göt-
interest in religious philosophy. He was active in the Moscow
tingen, 1986). A critical biography of Troeltsch does not yet
Psychological Society, in the Religio-Philosophical Society of
exist. However, there are detailed studies for a biography of
Vladimir Solov’ev (named after the philosopher), and in the
the young Troeltsch in Troeltsch-Studien, vol. 1, Unter-
publishing house Put’ (The Way). All three, on different le-
suchungen zur Biographie und Werkgeschichte: Mit den un-
vels, popularized metaphysics, religion, and, tangentially, lib-
veröffentlichten Promotionsthesen der “Kleinen Göttinger
eralism. Trubetskoi worked for reform of the Russian Ortho-
Fakultät” 1888–1893, edited by Horst Renz and Friedrich
dox church and for a greater involvement of the laity in the
Wilhelm Graf (Gutersloh, 1982).
church. He was appointed to the pre-Sobor meeting in 1906
Jean Séguy’s Christianisme et société: Introduction à la sociologie de
that prepared for institutionalizing self-government in the
Ernst Troeltsch (Paris, 1980) offers an instructive introduc-
church and was elected to the church council that pro-
tion to Troeltsch’s sociology of religion. Intensive work has
nounced the reestablishment of the patriarchate in 1917.
also been done on Troeltsch’s dogmatics and theory of reli-
gion. See Ernst Troeltsch and the Future of Theology, edited
Evgenii Trubetskoi in his writing focused both on the
by John Powell Clayton (Cambridge, 1975); B. A. Gerrish’s
individual, as the carrier of value, and on the state, which es-
The Old Protestantism and the New: Essays on the Reformation
tablishes conditions that can make moral value effective. He
Heritage (Edinburgh, 1982); Walter E. Wyman, Jr.’s The
published a number of important works in law, and led be-
Concept of Glaubenslehre: Ernst Troeltsch and the Theological
tween 1906 and 1910 a small moderate political party, the
Heritage of Schleiermacher (Chico, Calif., 1983); Sarah Coak-
Party of Peaceful Regeneration. At the same time he edited
ley’s Christ without Absolutes: A Study of the Christology of
the Moskovskii ezhenedel’nik (Moscow Weekly), a journal in
Ernst Troeltsch (Oxford, 1986); and Troeltsch-Studien, vol. 3,
which he expounded upon public issues. In 1910 he joined
Protestantismus und Neuzeit, edited by Horst Renz and Frie-
the Constitutional Democratic Party. During World War I
drich Wilhelm Graf, (Gutersloh, 1984). In addition to
studies in the reception of Troeltsch’s thought in the Anglo-
his patriotic brochures, especially one containing an analysis
American world, in Italy, and in the Netherlands, this last
of icons titled Umozrenie v kraskakh (Speculation in Colors),
volume contains detailed examinations of Troeltsch’s politi-
were quite popular.
cal activity. Moreover, an instructive introduction is offered
Trubetskoi based his liberalism not on the will of the
by Arrigo Rapp in Il problema della Germania negli scritti
politici di E. Troeltsch, 1914–1922 (Rome, 1978).
majority but on the rights inherent in each individual. He
saw the state as a necessary buffer between the majority,
FRIEDRICH WILHELM GRAF (1987)
which could, on occasion, be illiberal, and the individual.
Translated from German by Charlotte Prather
Equally outspoken about the dangers of violence from the
left as from the right, he condemned the terrorist actions of
radicals that the Russian progressives tended to condone.
TRUBETSKOI, EVGENII (1863–1920), Russian
Trubetskoi was an early and uncompromising foe of the
Orthodox philosopher. Evgenii Nikolaevich Trubetskoi, a
Bolsheviks. In the last years of his life he placed great hopes
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9368
TRUBETSKOI, SERGEI
on the innate religiosity and conservatism of the Russian
ty and is also part of that reality. Consciousness is not solely
peasants to overthrow the oppressive Bolshevik regime. He
the function of the individual but of the species collectively.
died in Novorossisk, fleeing the Bolsheviks and predicting
Hence, Trubetskoi considered the consciousness of causality
their early demise.
to be both innate and based upon external reality. In his
statement, “Whenever I make any decision I hold within my-
B
self a conference about all with all,” Trubetskoi encapsulated
IBLIOGRAPHY
There is no comprehensive study of Evgenii Trubetskoi. His
a theory he characterized as “metaphysical socialism.”
philosophical views are discussed in the standard works on
Because human beings have the capacity to reason, Tru-
Russian philosophy. I have written an introduction to a new
betskoi argued, it follows that humankind can rise above nat-
edition of his memoirs, Iz proshlago (Newtonville, Mass.,
1976), in which can also be found a bibliography of his
ural causes and act morally. Eventually, humanity or society
major works.
can develop the capacity to become a real organism, an eter-
nal person. Although Trubetskoi posited the collectivity of
MARTHA BOHACHEVSKY-CHOMIAK (1987)
consciousness, he maintained that value lay with the individ-
ual, since it is the individual who can reason and know. He
defended the immortality of the individual soul and the free-
TRUBETSKOI, SERGEI
dom of the individual from external constraints. His con-
(1862–1905), scion of an
scious attempts to popularize philosophy drew him into the
old noble family in Russia, was professor of philosophy at the
public arena. The reactionary wing of the Russian Orthodox
University of Moscow. Weeks before his death Sergei
clergy, which resented lay interference and the intrusion of
Nikolaevich Trubetskoi became the university’s first elected
philosophy into religion, accused Trubetskoi of undermin-
rector. He was instrumental in popularizing philosophical
ing religion, while in actuality he sought to make it meaning-
idealism. His philosophical and religious convictions led him
ful to the educated.
to take public stands on the major issues of the day, positions
which brought him national prominence. At an audience
with the tsar in June 1905 Prince Trubetskoi was the spokes-
BIBLIOGRAPHY
man of the moderate liberals. A close confidant of Vladimir
Among Trubetskoi’s major works are Metafizika v drevnei Gretsii
Solov’ev, Trubetskoi worked within the philosophical tradi-
(Metaphysics in Ancient Greece; 1890), Uchenie o logose v
tion of idealism that encompassed Plato, Kant, the Russian
istorii (A Study of the Logos in History; 1900), “Psikhologi-
cheskii determinizm i nravstvennaia svoboda” (Psychological
Slavophiles, especially Ivan Kireevskii, and the Western mys-
Determinism and Moral Freedom; 1894), “Etika i dogma-
tics, particularly Jakob Boehme. Trubetskoi’s interest in the
tika” (Ethics and Dogmatics; 1895), “Osnovaniia idealizma”
history of philosophy led him to the history of religion. He
(Foundations of Idealism; 1896), and “Vera v bezsmertie”
wrote an introduction to the Russian edition of Karl Barth’s
(Belief in Immortality; 1902). The articles were published in
Religions of India and prepared a bibliography on the history
Voprosy filosofii i psikhologii (Issues in Philosophy and Psy-
of religion for the Russian edition of P. D. Chantepie de la
chology), a journal Trubetskoi was instrumental in found-
Saussaye’s Illustrated History of Religions.
ing. His collected works are available as Sobranie sochinenii
kn. Sergeia Nikolaevicha Trubetskogo, 6 vols. in 5, edited by
Trubetskoi’s work was based on philological as well as
L. M. Lopatin (Moscow, 1907–1912). For further discussion
historical study and demonstrates an amalgamation of philo-
of Trubetskoi, see my book S. N. Trubetskoi: An Intellectual
sophical and religious concerns. He maintained that while
among the Intelligentsia in Pre-Revolutionary Russia, with an
no strictly philosophical system can solve all the problems
introduction by Georges Florovsky (Belmont, Mass., 1976).
raised by philosophy, Christianity does hold solutions to
these problems. For Trubetskoi, sophia (wisdom) is an inter-
MARTHA BOHACHEVSKY-CHOMIAK (1987)
mediary between the absolute and humanity. He argued that
the Logos, which he traced not to the philosophy of the
Greeks but to Jewish gnosticism, refers to the concrete per-
TRUTH. The concept of religious truth expresses various
son of Christ rather than to a rational concept that might be
aspects of human experience: reality that is permanent, im-
linked to sophia. He rejected the notion of God as the abso-
measurable, unconcealed, effective, powerful; personal char-
lute actualizing itself in history since, in his view, the abso-
acter that is sincere, good, genuine, valuable; and knowledge
lute, by its very nature, could not be in the process of becom-
that is certain, accurate, pure, clear, and convincing. Truth
ing. Trubetskoi held that Christianity, with its absolute and
emerges out of the basic human experience of valuation
autonomous system of morality, is the vehicle through which
(both as assessment and appreciation) as a necessity for
the potential for the kingdom of God can be realized.
human survival and well-being. Human life is characterized
The source of true knowledge, according to Trubetskoi,
by the need to distinguish between what is real and unreal,
lay in reason, sensibility, innate ideas, mystical experience,
powerful and powerless, genuine and deceptive, pure and
and faith, all of which reflect what he refers to as the “con-
contaminated, clear and confused, as well as relative degrees
crete consciousness” of each individual. Knowledge is possi-
of one extreme or the other. In an attempt to understand the
ble because the human being is conscious of an external reali-
character and variation of the existential engagement with
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truth in different religious traditions, we can recognize three
truth is a transforming orientation leading to superlative
aspects of truth: (1) the character of accurate knowing,
well-being, known in traditional religious terms as the con-
(2) the nature of the reality known, and (3) the formation
version from sin to salvation, illusion to insight, bondage to
of value as the power to actualize this reality in authentic liv-
freedom, and chaos to order. It expresses not only what is
ing. As a general concept, religious truth can be defined as
apparent or of relative worth but also what-is at the deepest
the knowledge and expression of what-is for the purpose of
level. From the standpoint of sin, bondage, or chaos, this ul-
achieving the greatest well-being possible (i.e., salvation, ab-
timate reality is experienced as what ought to be. By affirming
solute freedom, or total harmony).
the highest truth, a person declares a strategy for both know-
ing the ultimate reality and actualizing it in his or her daily
Inherent in religious truth is the recognition that a per-
experience, because such truth is of highest value for achiev-
son who knows, manifests, or orients his or her life to ulti-
ing superlative well-being. It expresses a comprehensive pur-
mate reality is achieving ultimate transformation—for exam-
pose as part of a person’s perception of reality.
ple, being saved or attaining complete liberation. In knowing
the truth a person becomes authentic because he or she places
In world religions, truth is advocated as a corrective to
his or her self-consciousness in a comprehensive context of
three general sorts of deception: (1) intentional deception be-
what-is. The object of religious knowing is not simply infor-
tween people, or lying; (2) error due to lack of information;
mation about another thing or person; it is recognition of
and (3) an inclination toward self-deception. These are inter-
the deepest reality or resource for fulfillment of life. Such an
related because, in the last analysis, the expression of truth
object, called God, the Dharma, the Dao, tathata¯
between people and the correction of ignorance find their ca-
(“thusness”), or nirva¯n:a, is not a conventional object in a
pacity in the awareness developed through a continuing ef-
subject-object relationship, but the original source, the na-
fort to avoid self-deception about “the way things really are.”
ture, or quality of all conventional objects as they really are.
People often lie to each other in the sense that they deceive
This understanding of truth cannot be limited to a concep-
themselves about their own deepest resource; they lack infor-
tion of truth as a relationship between words or between
mation about ultimate values and reality because they are too
ideas and things (though words, ideas, and mental images
easily satisfied by short-term pleasures.
may evoke the quality of truth whereby self-consciousness re-
sponds appropriately to what-is). Religious truth entails the
At the same time, there is a wide range of solutions to
continuing development of a valid relationship between self-
self-deception in the different world religions. This is due to
consciousness and one’s most extended and most profound
the fact that there are different orientations having different
environment (reality).
structures of valuation for determining which way of being
authentic is really the best and which is derivative or second-
When people express religious truth, they are aware of
ary. Since truth is a solution to a process of self-deception,
different levels, kinds, or functions of truth. At the extremes
the correcting process that communicates and actualizes
are absolute and relative truth, or transcendent and conven-
what-is at the deepest level, and thus what ought to be, is a
tional truth. The former expresses the deepest reality, the sa-
comprehensive transformation of one’s life-orientation. To
cred, God, or “what-is”; the latter indicates accurate infor-
examine different expressions of truth in world religions, we
mation about life the importance of which is limited to
must not only look at different ideas about truth as a concep-
specific situations and short-term goals. The assumption of
tual formulation but describe the processes in which the
all religious truth is that personal estimations of what-is or
truth as description or information about reality is also a re-
decisions of momentary value must be affirmed only insofar
evaluation of what is significant in life. We will look at five
as they are an aspect of the transcendent or absolute truth.
different approaches or ways of knowing the truth so that it
Such absolute truth transcends and incorporates the con-
might actualize the deepest well-being possible, sometimes
cerns defined by information dependent on time-space con-
specified as the good, heaven, salvation, liberation, or total
ditions; it establishes an overarching value in relation to
harmony. These approaches to truth are (1) intimate experi-
which the information has significance and meaning. This
ence of spiritual presence(s), (2) symbolic duplication of
value is not external to the reality experienced, as an idea
sacred reality through myth and ritual, (3) cultivation of
about something or a momentary feeling would be. Rather,
appropriate relationships, (4) awakening transcendent con-
it is experienced as a total orienting impetus providing coher-
sciousness, and (5) cognition of necessary and eternal reali-
ence for the ideas and feelings that prompt a person to act
ties. Then we will consider some of the problems of formu-
in a certain way. Thus, truth is the valuation achieved by self-
lating and reformulating the deepest truth in relation to
consciousness as it becomes a particular organizing center of
other, general claims to truth in changing historical and so-
self-awareness, meaning, feeling, and action—an individual
cial contexts.
participating in, and responding to, reality.
INTIMATE EXPERIENCE OF SPIRITUAL PRESENCE(S). One
To respond appropriately or accurately to what-is can
way of knowing the ultimate truth is the awareness of what-is
be understood as a release of ultimate power enabling a per-
through the extraordinary experience of spiritual presence(s).
son to avoid self-deception and dissipating entanglement
These are most often unseen but powerful, controlling forces
with unimportant activities and destructive forces. Religious
in life. This type of truth does not appeal for its validity to
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TRUTH
universal ideas or the coherence and meaning of culturally
cosmology that affirms hidden vital forces, and his “seizure”
accepted symbols, even though the social-mythic system
is seen as a sign that they will soon hear the voices or sounds
communicates the reality of these powerful presences in sym-
of these spirits that will aid them in dealing with vital prob-
bolic and mythic language. For this type of truth the adequa-
lems. The truth of the shaman’s utterances, then, is part of
cy and meaning of reality is encountered by direct personal
a total orientation to life in which the members of the com-
acquaintance with usually unseen spiritual presences as they
munity respond emotionally, socially, and physically to the
provide healing, regenerative resources, wholeness, and joy.
perceived forces affecting them day in and day out. Shamanic
The validity of this truth depends on the intimate and direct
utterances are distinguished in these societies from psychotic
experience of such a presence. I shall describe two kinds of
experiences among the people by their predictive force and
intimate knowledge of sacred presence. The first is found in
concrete results in solving problems. At the same time, when
many archaic cultures in North and South America, Africa,
the utterances of a recognized shaman are not effective by
Siberia, and the South Pacific islands; it is expressed in the
empirical examination, some extenuating circumstance, such
ecstatic experiences of diviners and shamans. The second is
as impurity or inadequate following of a prescription, can be
found in the ecstatic devotion to, and often prophetic utter-
given to account for the failure.
ance for, God in Judaism, Christianity, Islam, and the theis-
tic forms of Hinduism.
The second kind of religious truth that requires an inti-
mate knowledge of a sacred presence is the overwhelming ex-
An essential element of this religious knowledge is the
perience of a devotee to God. This, too, requires a sense of
rupture of conventional, everyday experience, a personal,
a usually hidden force that directs one’s life as well as all exis-
heightened sensitivity to the usually hidden, but ultimately
tence. Direct personal experiences of God in Judaism, Chris-
real, presence of power(s). While the wisdom of the shaman
tianity, and Hinduism are described as awesome, uncanny;
is often described as “supernatural,” it is probably better to
they can provoke fear and terror. At the same time, they can
regard this—from the standpoint of the advocates—as a
provide deep comfort, evoke a sense of wonder and joy of
deeper or clearer knowledge of the natural forces that make
life, and transform one’s self-consciousness from a feeling of
all life possible. For example, the kilumba or nganga (one
weakness, corruption, and worthlessness to strength, purity
who possesses a healing vision) among the Bantu-speaking
of heart, and profound value. In the theistic traditions of all
Luba in Africa is a man who is “seized” by a spirit or disem-
cultures are found examples of pious devotees whose person-
bodied ancestor in order to reveal why some person or a soci-
al experiences of God are described as spontaneous eruptions
ety has inappropriately interfered with the powers of life and
of a divine force that, on the one hand, compels them to lead
therefore has manifested disease, social disharmony, or natu-
a new kind of existence and, on the other, provides a serene
ral catastrophe. Or, among the Huichol of north-central
strength to meet life’s traumas of personal loss, illness, and
Mexico, the shaman (mara’akáme) is a person who is more
death. The devotee who lives his or her life in the presence
deeply aware of the hidden forces contending with each
of divine love and judgment feels reconnected with the
other; he has transcended the apparent conditions of conven-
source of life, so that even when mundane life is seen as full
tional existence and becomes the medium or mouthpiece of
of evil and impotency, there is confidence in the divine
these forces in life. The unusual character of his knowledge
power’s ability to overcome the apparent meaninglessness
is described as coming from the spirits (divine powers), who
and self-destructiveness.
know and determine everyday happenings.
The shamanic communication requires crossing over
The validity of the truth known from personal experi-
from the biosphere to a hidden (spiritual) plane and then re-
ence depends directly on an evaluation of one’s self-
turning to the mundane world. The mundane sphere is a
consciousness within the context of a transcendent presence
state of separation, pollution, and mortality, as evidenced by
of the powers of life or the Holy One. The awareness is per-
illness and social conflict. The hidden, but more powerful
ceived as an overwhelming disclosure that transcends other
(spirit) realm is also one of contending forces who (which)
norms of validity, such as empirical verification or rational
can be benevolent or beneficent toward the members of the
analysis. Such divine disclosure provides a direction for living
biosphere. The shaman needs to have the capacity and skill
and a principle for knowledge not available in other norms
to maintain a balance between the contending forces; he en-
of validity. The response to this disclosure is faith or trust
gages the spirit forces as they “possess” him while deftly re-
in the final control of a powerful, loving, and caring divine
maining balanced between two worlds. According to the Tu-
presence. In the last analysis, such a divine presence remains
cano of the Amazon forests, the soul of the shaman (payé)
a mystery, one that cannot be controlled by personal wants
is said to be luminous, penetrating the darkness, and genera-
or verified by the mundane experience of health or prosperi-
tive of life and health—like the sun. His skill and purity of
ty. The response of faith is one of service in (and servitude
soul allow him to ascend to the sky or descend into the neth-
to) the divine will. The truth known in such response is vali-
erworld, described as “death” or “dismemberment,” and then
dated by the devotee in the experience of being known by
return to the everyday world.
the Holy One.
When the shaman becomes “possessed” by a spirit, his
SYMBOLIC DUPLICATION OF SACRED REALITY THROUGH
ecstatic experience is interpreted by the audience within a
MYTH AND RITUAL. Symbolic expressions of truth in the
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9371
form of divine words, sacred myths, and sacramental rites
scribe the joys of paradise in the eternal realm. In providing
and initiations are found throughout the world. They reflect
the paradigmatic truth regarding reality, myth and ritual also
the power of symbolic gestures and language to construct a
provide a model for successful human living. The appeal to
realm of meaning. While often combined with the experi-
divine action is a basic principle of justification for social re-
ence of powerful forces and the sense of social obligation and
lations, morality, and, in many cases, all human activities.
order, the communicative power of religious symbolic forms
Sacred words (divine names, sacred actions and laws,
is found in their capacity to express several levels of meaning
blessings, curses) and sounds (mantras, chants) are perceived
simultaneously, so that such activities as dancing, eating to-
by religious devotees to have a special capacity to release
gether, body marking, telling stories, and the use of special
power. According to the perspective of M¯ıma¯m:sa¯, a school
words or sounds can have more than a single signification.
of Hindu philosophical thought, the sacredness of mantras
Verbal language, especially, has the mental-emotional force
(sacred sounds, phrases, or verses) derives from the eternity
to construct multiple levels of meaning whereby self-
of the word. The use of the mantra in prayer, meditation,
consciousness attends to, and structures, experienced reality.
or worship reveals the deity or divine energy because the
The formation of ideas woven together by syntax (i.e., lan-
sound is intrinsically related to the divine energy; it is an eter-
guage) identifies and orders (often overlapping) conceptual
nal causal principle. The sound (´sabda) of words is not arbi-
units of consciousness into meaningful awareness. Thinking
trary; it represents an eternal principle or force that is mani-
or imagining is more than a presentation of external sensa-
fested in many forms of changing existence. The mantras,
tions to the mind; the formation of ideas is a projection of
thus, express the essence of divine powers in their very repeti-
self-consciousness toward, and into, the sensations of the ex-
tion; the sacred utterance in the hymns of the R:gveda is a di-
perienced world. To speak about the world creates a relation-
rect testimony to the primal energies of the universe. This
ship of symbolic meaning between self-consciousness and the
view is basic for several subsequent Hindu theistic schools
world. The use of language demands a choice whereby a per-
that appealed to the validity of verbal testimony on the basis
son separates one “thing” from another, classifies similar ap-
of the intrinsic power of sound (speech) to express the eternal
pearances into concepts, and makes evaluations between
principles so long as the revealer, the source of knowledge,
more or less significant features of one’s experience.
is adequate.
The power of language to construct a symbolic realm
In Zoroastrianism, a sacred utterance, the Ashem Vohu,
of meaning relates self-consciousness to the world by creating
is used in most devotions to concentrate a person’s mind on
a “center” in the individual and, at the same time, placing
asha (“truth”). Asha is the name of an abstract principle of
the individual in a universe “as it is”—that is, as it appears
truth or righteousness in the cosmos, but also the name of
directly to self-consciousness. Thus, symbols that express
a divinity often invoked in the Ga¯tha¯s, one of the Amesha
truth are those consistent with the deepest (often presumed)
Spentas (“bounteous immortals”). As one of the immanent
valuation inherent in one’s experience. Religious symbols are
powers who maintain the universe, Asha is also symbolically
those mental-emotional lenses that provide images of oneself
identified with fire, a focus of much Zoroastrian ritual. In
(a psychology) and the universe (a cosmology); they teach
this religious tradition, truth is symbolically expressed in a
human beings not only what to see, but how to see. As schol-
divine name, a concrete ritual image, and evoked through a
ars of mythology have pointed out, religious myths are those
sacred prayer. In Islam, “truth,” as identical to reality
symbolic expressions that are recognized as true simply by
(al-h:aqq), is an attribute of God, the creator of the world and
being expressed.
maintainer of righteousness. Al-h:aqq is that which is stead-
fast and permanent; it is genuine and authentic. God, as the
A religious symbol, such as a divine name, sacred myth,
reality, is the source of truth for humanity, especially as
ritual action, or visual image of a deity, is seen by religious
found in the sacred recitation (QurDa¯n) given to Mu-
advocates as the manifestation of a pure, original, mysterious,
h:ammad.
and powerful reality in a particular concrete form. The sym-
bolic bodily gesture, sound, or physical image is a paradigm
The validity for truth in religious symbolic expression,
of reality—divine reality. Myths and rituals are repetitions
then, is found in the recognition that its source is eternal,
of original life-creating actions by the gods, primal ancestors,
of the realm of the sacred. The activity of God, of bounteous
and cultural heroes and, therefore, must be carefully pre-
spiritual beings, or of primal ancestors is the real and signifi-
served and meticulously duplicated. They disclose the divine
cant activity. The duplication of the sacred realm in symbolic
resource that makes any life at all possible. It is the sacred
gestures, physical objects, names, stories, and sounds pro-
that is eternal, genuine, whole, and pure—the opposite of
vides the paradigm for meaning, regeneration in life cycles,
the profane, corrupt, and fragmented mundane human expe-
and the norm for righteousness. True human knowledge and
rience—yet, paradoxically, it is expressed in and through the
behavior imitates that of the gods or God. In religious initia-
mundane form, where it usually remains hidden. The reli-
tions, sacrifices, and sacraments, people release eternal power
gious power of the symbols derives precisely from the fact
that purifies as it discloses the foundation for human well-
that they claim to repeat the primal action of creation, the
being. The deepest problems in life arise from forgetting
divine rescue of the world from devouring demons, or to de-
one’s sacred source, neglecting to repeat the sacred action
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TRUTH
symbolically, or rejecting the sacred word (such as the Jewish
In classical Hinduism, also, there is the recognition that
Torah, Jesus Christ as the divine word made flesh, or the
truth about what-is is most profoundly expressed in everyday
Muslim QurDa¯n) as the basis for all well-being. When the ef-
activity. From the beginning of the common era, when the
fects expected from following the sacred rituals and words
Brahmanic tradition that grew out of Vedic rituals was syn-
are not attained, the devotee usually recognizes some failure
thesized with a concern for social order, down to the present
in perfectly duplicating the sacred paradigm. When there are
a prominent notion has been that of dharma (“law, reality,
conflicting myths competing for the loyalty of believers, the
truth”). The cosmic order that pervaded all things is ex-
sacred reality of one myth is often judged to be demonic
pressed also in appropriate social relationships. The dharma,
power by those holding another myth (an exclusive posi-
what people should do, is the correct arrangement of every-
tion), or it is seen as a lesser but related aspect of the true
thing in life. Knowledge of oneself is found in following
sacred reality according to advocates of another myth (an in-
one’s dharma, one’s way of being in relation to the organic
clusive position).
whole. Everything and everybody has a place in the universe.
CULTIVATION OF APPROPRIATE RELATIONSHIPS. Another
The moral duties of farmer and ruler, husband and wife, or
approach to truth that expresses self-consciousness of what-is
child and parent were defined by their appropriateness to
is through practical moral wisdom characterized by honesty,
each person’s station. To act contrary to one’s obligations
trustworthiness, and sincerity. Here the emphasis is on moral
and responsibilities destroys one’s own character and creates
action that is consistent with personal integrity. This ap-
chaos in society and nature.
proach holds that a person cannot truly know the nature of
According to the Brahmanic text Manusmr:ti (The laws
reality without demonstrating what it means to “be” in ev-
of Manu) the sources for knowing one’s dharma were first
eryday activities. The means for attaining wisdom combines
the Veda, then the tradition, then the virtuous conduct of
intuition with observation and learning drawn from ancient
the religious leaders and holy men, and, finally, self-
tradition. We will discuss first the expression of this truth
satisfaction. Most of the society did not study the Vedas, so
from Chinese and Indian sources, which appeal to a natural
they learned appropriate conduct from the tradition as ex-
cosmic order (law), and then briefly note several theistic ex-
pressed in popular stories, festivals, and social rules as they
pressions whose ultimate source is divine but that emphasize
were reinforced by interaction with others. The truth of one’s
the moral character of truth.
existence was defined by participation in the fabric of society,
In the classical Chinese expression of truth there is no
and the cultivation of personal character was found in the
sharp distinction between the knowledge of what-is and a
virtues of sincerity, self-restraint, and honesty.
person’s moral action. Authentic awareness of reality is ex-
pressed more in daily practice than formulated in arguments
In the theistic traditions of Zoroastrianism, Judaism,
about the nature of the good. The law of life is known not
and Islam there has also been a deep sense of expressing truth
through a personal experience of a divine presence, duplica-
through moral behavior. Truth is expressed in the qualities
tion of a sacred word, or rational reflection; rather it is
of veracity, integrity, and trustworthiness. In Zoroastrian-
known through living out a sensitivity to the inherent cosmic
ism, truth (asha) is the order that governs human conduct.
harmony within the self and the world. Moral wisdom is
Those who are honest, keep their oaths and covenants, and
found typified in the ancient Sage Kings by the phrase “sa-
are loyal to Ahura Mazda¯ are the righteous ones (ashavan),
geliness within and kingliness without.” The goal is to devel-
those who uphold asha. They look for the final victory over
op a moral attitude that is tested in social relationships, one
the wicked (drugvant), those who follow falsehood. In Juda-
that is based on the general notion that there is an intrinsic
ism, truth ( Eemeth) is expressed in righteousness, justice, and
order in all things that must be actualized in concrete rela-
peace. In such actions Jews worship “the God of truth.” God
tionships with nature and society.
keeps his word, and those who speak the truth come near
him. Thus, those who avoid deceit and hypocrisy in all their
Truth in both verbal expression and behavior is defined
dealings practice the truth. In Islam, the word s:adaqa means
as chang (“constant”). A statement or behavior is “constant”
integrity, honesty, and trustworthiness. It is the quality of ex-
when it promotes appropriate relationships within an organ-
pression when one tells the truth; it requires that a person
ic order. Thus, truth is not an idea or abstraction but a
be honest with himself or herself and with others, as well as
human expression that shapes practical behavior. It has a
recognize the actual situation with which one is dealing. To
practical function in communication that attempts to pro-
express the truth is to follow the will of God, since he is the
mote good behavior. In the Confucian classic Zhong yong
source of everything. A statement that corresponds to reality
(Doctrine of the Mean) the insight into the way (dao) of life
is an action that is trustworthy.
focuses on “sincerity” (zheng). Sincerity is the demonstration
that one perceives the reality of all life; it is a manifestation
AWAKENING TRANSCENDENT CONSCIOUSNESS. A fourth re-
of the ultimate coherence between self-consciousness and the
ligious way that truth is viewed as the accurate self-
objective world. The capacity to cultivate such sincerity or
consciousness of what-is focuses on the quality of conscious-
integrity is inherent in human beings, but its actualization
ness. Rather than centering the nature of truth on the inti-
is not inevitable, so the potential must be fulfilled by cons-
mate experience of a spiritual presence, on the symbolic
tant personal effort.
structuring of a sacred realm of meaning, or on cultivating
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TRUTH
9373
appropriate relationships within a cosmic network, the
emotional stimuli, sustained and detailed awareness of the
power by which one can attain comprehensive well-being is
factors in one’s self-conscious “becoming,” concentration
the liberating insight that purifies inner dispositions, atti-
(sama¯dhi) on the unmoving or unifying center of conscious-
tudes, and the thinking-feeling processes—all aspects of con-
ness, and various levels of mental absorption (dhya¯na). These
sciousness.
are techniques through which a person is reeducated to “see”
himself or herself in relation to the world so that he or she
The truth of oneself and the world is perhaps partially
is not constructing mental-emotional chains that cause suf-
expressed in symbolic imagery, ideas, and behavior, but the
fering. For example, in Theravada Buddhist practice, the
key condition for attaining true (or transcendent) knowl-
meditation procedures are intended to help one to withdraw
edge, say the practitioners of this way, is the avoidance of at-
from external conditioning forces and to concentrate one’s
tachment to these conventional habits of knowing. Here the
concern to transform the manner or mode of knowing from
consciousness, so that one can avoid the habitual confusion
a self-limiting, fabricating, and distorting process to a free-
of one’s pure consciousness with the shifting appearances of
ing, direct-intuitive insight is crucial because it is assumed
things, people, ideas—all aspects of the “objective” world.
that there is an intrinsic and reciprocal relation between the
Once a person is not attached to conventional perceptive and
knowing process and the reality known. It is also assumed
ideational imagery, he or she can expand consciousness
that there are different qualities of knowing, each of which
through trance or mental absorption and eventually, in a
leads to one or another kind of “becoming real.” For any-
freed state of mind, be intuitively aware of “the immeasur-
thing to exist, it has to come into existence, or “become
able” or “emptiness.” In such a state of awareness, say the
something,” within the context of some manner of percep-
Buddhist suttas, the Buddha perceived the nature of “becom-
tion, process of knowing, and mode of consciousness. The
ing” as dependent coarising and also understood the root
concept of realization includes the two elements of knowing
cause of suffering and the possibility of its elimination. Simi-
and becoming, as when we say that someone realizes certain
larly, classical Hindu Yoga advocated the use of certain body
possibilities. To realize transcendent consciousness requires
positions, controlled breathing, detachment of the senses
a shift away from the conventional habits of consciousness
from external objects, and concentrated mental states to
aimed at perceiving (understanding) what-is. In this shift to
quiet—that is, to avoid producing—conventional proce-
another process of knowing, a person also comes to exist,
dures of knowing, such as habitual perceptions, inference,
“becomes,” in a new way.
memory, or authoritative (sacred) words. These conventional
means of knowing are useful as practical vehicles for business,
The highest truth, then, in this approach requires in-
getting physical pleasure, or establishing social relationships,
sight into the nature of the process of becoming; it stresses
but they are not useful in knowing the deepest reality, pure
how a person contributes positively or negatively to this pro-
consciousness (purus:a). Yoga intends to free one from the
cess by the manner or quality of his or her awareness. This
small, limiting consciousness, or the image of one’s ego, so
means that the expression of truth must “fit” the level or
that one may become directly aware of universal con-
quality of the hearer. Truth is not a single idea or proposition
sciousness.
that stands eternally and to which all particular forms partial-
ly correspond. Ideas and concepts are useful as pointers to
A common metaphor in both theistic and nontheistic
truth, or catalysts for freeing a person from habitual mental-
religious traditions for the transcendent consciousness is the
emotional entanglements, but a statement that would “fit”
identity or union of the self with ultimate reality (God).
a lower spiritual condition, and thus be “true,” might be de-
Well-known examples of this are found in Advaita Veda¯nta
nied as an appropriate expression for someone at a higher
Hinduism, in Muslim S:u¯f¯ı recollection of God, and in
level of spirituality. Because thought, emotions, and inner
Christian mysticism. S´an˙kara (eighth century CE), as an ex-
dispositions are interrelated, say the teachers of this way, a
ponent of “nondual highest knowledge” (advaita veda¯nta),
true statement is not a universal abstraction, an idea known
asserted that a genuine and deep investigation into dharma
by the intellect, but a catalyst for insight. Also, the hearer of
led to the inquiry into brahman, the single undifferentiated
truth must be prepared to receive it; for a religious idea to
reality that pervades all differentiated existence. The eternal
bear spiritual fruit, it must be received with a pure heart, or
brahman is pure being-consciousness-bliss (sat-cit-a¯nanda),
liberated mind. Such an apprehension requires more than in-
and the most profound spiritual truth is to realize that self-
tellectual skills or socially conditioned reflex responses; it is
consciousness (atman) is identical to brahman. The S:u¯f¯ı
cultivated through serenity, courage, diligence, and love
master Ibn al-EArab¯ı expresses a comparable insight in his as-
(compassion). To know the highest truth, then, is an illumi-
sertion that true submission to God is an all-pervading sense
nation of “becoming” as an aspect of what-is, which is experi-
that the self vanishes in the only true reality, God. He says
enced as unconditional freedom.
in his Fus:us: al-h:ikam: “When you know yourself, your ‘I’-
ness vanishes and you know that you and God are one and
The methods for attaining insight, which liberate one
the same.”
from self-imposed bondage according to several spiritual dis-
ciplines in India, include quieting the mind through medita-
The Spanish Christian mystic John of the Cross (1542–
tion, separating oneself from conventional perceptual and
1591) makes a similar claim in his manual on spiritual disci-
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TRUTH
pline, Ascent of Mount Carmel, when he writes: “This union
cognitive judgments pertaining to the continually changing
comes to pass when God grants the soul this supernatural
appearances of the outer world. The mind has both a passive
favor, that all the things of God and the soul are one in par-
and an active role in becoming aware of the meaning that
ticipant transformation; and the soul seems to be God rather
is exposed in the changing appearances. The passive aspect
than a soul, and is indeed God by participation.” The soul,
receives the impressions through observation, while the ac-
then, is like an unstained window that allows the divine rays
tive aspect constructs the meaning mentally, by thinking or
to illumine it and “transform it into its own light.” These
judgment. In this act the self-consciousness appropriates to
examples indicate a common concern to know the highest
some degree the meaning inherent in the being of things.
truth through emptying the self of its conventional con-
The truth cognized is the valuable quality of the meaning ap-
sciousness so that the ultimate reality itself is manifest; how-
propriated, and it is evident to the degree that the mind sig-
ever, because mystics each use a distinctive method interwo-
nifies to itself what is disclosed by what-is. In this approach
ven with their own psychological and cosmological concepts,
to truth, then, the primary effort is to respond with the intel-
their statements about the nature of consciousness and ulti-
lect to a meaning found in an impersonal but active reality
mate reality remain significantly different.
outside the mind. Truth is universal and has an inherent sig-
COGNITION OF NECESSARY AND ETERNAL REALITIES. A fifth
nification that must be reflected by the intellectual grasp of
approach to the expression of truth is that found in classical
that objective meaning. The basic conceptual signification of
Greek reflection on the nature of reality. While Greek phi-
reality should be the same in the mental experience of all
losophy is not a religious tradition in the conventional con-
human beings, regardless of their particular languages or
temporary sense, Greek philosophers such as Socrates, Plato,
symbolic systems.
and Aristotle wrestled at a profound level with the relation
Unlike the approach to truth through myth and symbol
between self-consciousness, the perceived world, and eternal
(which establishes the true meaning in symbolic duplication
reality (or realities). Their reflection had a significant influ-
of a sacred realm), the meaning in this approach is assumed
ence on patristic and medieval Christian theology and on Is-
to be in an external reality that is only reflected in corre-
lamic theology, as well as on the post-Renaissance European
sponding concepts. When mental images or concepts that in-
philosophical discussion of truth. Despite important differ-
tend to signify the meaning inherent in nonsymbolic facts
ences in the understanding of truth found in the philoso-
conflict with each other, it is an indication that one or more
phies of Plato and Aristotle, they shared several assumptions
of the symbolic significations do not correspond to the
in their approach that have been carried forward in the way
meaning, or self-signification, of reality. Such meanings are
Western philosophers, and some Christian and Muslim
simply “beliefs,” which may have emotional force but are not
theologians, have addressed the issue of truth.
regarded by people taking this approach as signifying what-
One of the basic assumptions is that reality (the being
is. In the Western religious traditions, this approach has led
of things) is universal, necessary, and, consequently, prior to
to both dogmatism and scientific theorizing: the former
any knowledge of it. Truth (Gr., al¯etheia, from al¯etheuein,
identifies eternal, universal, and objective signification with
“to disclose”) is a disclosure of what-is. Whether the eternal
divine revelation and its explication in theological dogmas;
being is defined in terms of eternal ideas, as in Plato, or in
the latter identifies eternal, universal, and objective significa-
terms of substances, as in Aristotle, the object of true knowl-
tion with scientific theories based on empirical verification
edge is a necessary reality that is effective (even active) in the
and general inferences that are presumed to function alike
experienced world. The being of things is objective, present-
in the experience of all people.
ing itself to the mind. Another important assumption is that
INTERPRETATION, COMMUNICATION, AND VERIFICATION.
whatever is real is intelligible; reality is that which can be
All religious truth, as an existential expression of what-is, is
known by the intellect. It has a signifying character, or a
tested and verified by ever-changing human experience. Re-
meaning of its own, which is known by cognition and, for
gardless of the nature of ultimate reality and its relation to
Plato, intellectually contemplated by the mind. The “being”
the process of its becoming actualized in self-consciousness,
of things is the subject of any true judgment, which is basi-
as discussed in the approaches to truth given above, the qual-
cally a response to the disclosure of being. Whatever is real
ity of one’s awareness, symbolic expression, or social relation-
has a universal potential—it is potent and is a possibility—
ship is tested in the changing circumstances of personal mat-
and is disclosed in particular forms and events. Plato asserted
uration and cultural-historical development. There is a basic
that being is itself a unity expressed by many particular
question arising in each religious and cultural tradition: how
forms, and such being is known by an integration of self-
is knowledge of the transcendent reality related to a general
consistent judgments. By means of the intellect, human be-
human means of knowing, for example, perception and in-
ings can know the universal potentials (reality), that is, can
ference? Another question arises: how is the original, eternal
identify their meanings as they disclose themselves. By know-
truth—which itself became manifest in a specific historical-
ing the eternal ideas, especially the Good, human beings re-
cultural-linguistic situation—to be known in changing and
spond appropriately to life and achieve their own well-being.
sometimes quite different cultures? We will look at various
In this context true knowledge is the mind’s inner ap-
answers to these questions by first considering the issues of
propriation of the universal potentials that are disclosed by
continuity, meaning, and interpretation of symbolic and
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9375
moral truth. We shall then examine levels of meaning, practi-
history of the Christian church. During the thirteenth centu-
cal techniques, and the use of language to communicate the
ry a watershed formulation was made by Thomas Aquinas
special awareness found in the experience of spiritual pre-
that eventually was recognized as authoritative and has re-
sence(s) and transcendent consciousness.
mained the supreme theological statement for the Roman
In the claims of truth that are based on a sacred word
Catholic Christian community. In his Summa theologiae and
(divine revelation) and/or found in a tradition of trained
De veritates he synthesized an understanding of Christian
scholars (such as priests, lawyers, or Confucian literati) who
faith with Greek philosophical thought, especially from Aris-
conserve and interpret the eternal moral law, there is a pro-
totle, affirming that truth is a transcendental property of
found concern to understand or make intelligible the mean-
being that, in turn, is dependent on God, the ultimate intel-
ing of the sacred word and the eternal moral law. Great effort
lectual cause. According to him, faith is human understand-
is made to learn, preserve, and interpret the normative teach-
ing, but the truth of faith rests on the truth of God, and be-
ing so that it is relevant to a community of believers in a spe-
lief—which includes church dogma—is a result of divine
cific lived experience. The difficulty in exposing the genuine
grace. In the sixteenth and seventeenth centuries, however,
intention of the original symbolic expression in light of new
Christian reformers, such as Martin Luther and John Calvin,
situations and personal differences of interpretation has re-
rejected the medieval understanding of a single ministerial
sulted in the development of various schools or denomina-
(papal) office and, thus, many Roman Catholic dogmas; they
tions within all religious traditions. For example, the center
emphasized the need to base Christian faith on the primal
of Jewish life is the study and interpretation of the Torah.
sacred word, the Bible. During the past three centuries,
In this tradition there are different interpretations regarding
Christians in western Europe and America have engaged in
the relation between the written Torah and the oral Torah.
theological reflection in a cultural context dominated by ra-
All faithful Jews try to live in the basic myth of the Exodus
tionalism, scientific analysis, and industrial socioeconomic
and according to God’s commandments, but there are differ-
structures. These intellectual influences condition the for-
ent interpretations of the purpose of God relative to the his-
mulation of Christian faith on issues such as the nature of
torical experience of the Jewish community, the nature of the
human life, the meaning of revelation, and the role of men
promised salvation (in this life and the next), and the degree
and women in the political and social order.
to which certain customs and ritual laws are to be observed
in different cultural situations, as well as the centrality and
Some basic problems encountered by advocates of truth
character of study, prayer, moral action, and observance of
derived from an intimate experience of spiritual presence(s)
sacred days. For the past two millennia the leadership of the
and from transcendent awareness are (1) communicating an
Jewish community has centered on the rabbi, who not only
inconceivable reality through the use of words or appeals to
was trained to interpret the Torah in a creative fashion but
conventional human experience, (2) relating unusual inner
also served in many communities as judge and administrator
experience to general criteria of verification in common-
of the law. Especially since medieval times, the rabbis and
knowledge perception or inference, (3) justifying the claims
philosophically inclined thinkers have had to relate the ex-
for a superior inner spiritual quality within the person who
pressions of the Torah to reason and, in the last two centu-
claims unusual and authoritative states of consciousness, and
ries, to scientific analysis of the human condition. Such ques-
(4) avoiding the apparent circularity entailed in the claim
tions as the nature of free will, divine providence, and the
that those who do not affirm the validity of supraconscious
psychological conditions for faith are important consider-
truth are not qualified to understand or judge the validity of
ations for contemporary efforts to worship God in truth and
this truth. The manifestation of the ultimate source of truth
to fulfill divine moral obligations of justice and love.
in an experience of spiritual presence(s) or an unconditional
transcendent awareness is seen by its advocates to be a source
Similarly, Christian faith is based on the divine revela-
of knowledge beyond logic, symbolic imagery, and conven-
tion in Jesus Christ, and study of the Bible, especially of the
tional perception.
New Testament, has been central to the life of the Christian
community. Already in the first centuries of the Christian
Nevertheless, advocates use words, symbols, and infer-
church, as the New Testament canon was taking shape and
ence to argue by analogy or by logical analysis. For example,
the creeds (the “symbols” of the church) were formulated to
the vision of Lord Vis:n:u in the Hindu classic Bhagavadg¯ıta¯
define the normative understanding of faith, the impact of
(Song to the Lord) includes such imagery as “many mouths
the Classical Greek philosophical language helped to shape
and eyes,” and “the light of a thousand suns springing forth
the doctrines of the Trinity, the person of Christ, and the
simultaneously in the sky” to portray the Lord. The Muslim
nature of humanity. A continuing issue in the proper inte-
devotional mystic Jala¯l al-D¯ın Ru¯m¯ı (d. 1273) describes the
pretation of scripture, devotional life, and worship was the
true devotee as a person with “a burning heart.” With regard
authority of one or another bishop to declare the official un-
to the use of inference to communicate transcendent aware-
derstanding of Christian faith, which was settled by the con-
ness, a prime example is the second-century CE Indian Bud-
vening of councils in the fourth and fifth centuries.
dhist philosopher-monk Na¯ga¯rjuna, who used a rigorous
The concern to formulate statements of belief that
logical dialectic to reject the claim of unchanging essences as
would gain intellectual assent by believers has pervaded the
the reality of existence. Or, in the Zen Buddhist tradition,
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TRUTH
logical riddles (ko¯an) are used to break the habits of language
forms (contents) of truth emerges when there is stability in
and conceptual imagery that cause attachment to things or
the basic system of evaluation.
ideas. Logic and symbolic imagery, then, are never wholly
The contemporary world is characterized by rapid
descriptive of the transcendent reality—only suggestive, or
changes in technology and the development of a worldwide
preparatory to moving to a new level of awareness.
communication network. This situation requires new con-
Critics, on the other hand, argue that since the religious
cepts of the self and the universe and an exchange of cultural
reality that its advocates claim to know is so different from
and religious approaches to truth. The challenge for contem-
any communicable description of it, religious experiences in-
porary people is how to live within some system of compre-
dicate more about the simply subjective (perhaps only psy-
hensive evaluation (as found in a religion or ideology) and
chological) conditions of the knower than about any univer-
how to respond in a mutually life-enhancing way with people
sal reality. Or, since the nature of religious truth requires a
committed to another system of evaluation. The survival and
change in the quality of apprehension through special tech-
well-being of people in all cultures necessitates a creative re-
niques or through transcendent power (e.g., God’s grace),
examination and critical assessment of varied truth claims
any special appeal to unusual states of consciousness cannot
that implicitly give weight to different ways of valuation.
provide the norm of validity for a general theory of truth that
SEE ALSO Epistemology; Knowledge and Ignorance; Philos-
also relies on conventional inference or perception.
ophy; Religious Experience.
Truth in world religions, then, is a concept that not only
has different meanings and uses in religious language but also
BIBLIOGRAPHY
indicates different approaches to the religious concern for the
Introductory discussions of the concept of truth in world religions
becoming self-conscious of what-is that makes possible the
can be found in the following works: William A. Christian,
attainment of the highest well-being. Each of the approaches
Jr.’s Meaning and Truth in Religion (Princeton, 1964) and his
described here provides an evaluative process that structures
Oppositions of Religious Doctrines (New York, 1972); Truth
and Dialogue in World Religions: Conflicting Truth-Claims,
the conditions, goals, and nature of truth. The different ap-
edited by John Hick (Philadelphia, 1974); Wilfred Cantwell
proaches each have their own development, principles of val-
Smith’s Questions of Religious Truth (New York, 1967); and
idation, and impact on people’s lives. While different reli-
my Understanding Religious Life, 3d ed. (Belmont, Calif.,
gious and cultural traditions emphasize one or two
1985).
approaches to truth, the major world religions and civiliza-
For introductions to the nature of truth in shamanism and the
tions have included several of them as sometimes permissible
symbolism of archaic cultures, see Joseph Campbell’s The
options.
Masks of God, 4 vols. (New York, 1959–1968); Mircea
Eliade’s The Sacred and the Profane (New York, 1959) and
In the contemporary world, where people of different,
his Shamanism (New York, 1964); S. F. Nadel’s Nupe Reli-
and sometimes conflicting, religions and ideologies are in a
gion (London, 1954); and Gerardo Reichel-Dolmatoff’s Am-
network of political, economic, and ecological relationships,
azonian Cosmos (Chicago, 1971).
there is a heightened sense of urgency to develop strategies
The religious significance of truth in Western traditions is dis-
for at least existing safely within a plurality of ultimate com-
cussed in Mary Boyce’s A History of Zoroastrianism, 2 vols.
mitments, if not for integrating or discovering the principle
(Leiden, 1975–1982); Jacob Neusner’s The Way of Torah
of unity in that truth that declares the source of well-being
(Belmont, Calif., 1979); Understanding Jewish Theology, ed-
for all humanity. One of the most difficult issues in attempt-
ited by Neusner (New York, 1973); Stephen Reynolds’s The
ing to integrate the various approaches is that each holds that
Christian Religious Tradition (Belmont, Calif., 1977); Leslie
a distinction must be made between lesser, conventional
Dewart’s Religion, Language and Truth (New York, 1970);
truth and the highest, or divine, truth. Each approach is itself
W. Montgomery Watt’s Islamic Philosophy and Theology, 2d
a system of evaluations about the nature of ignorance, the
enl. ed. (Edinburgh, 1984); and Islam from Within, edited
ultimate reality, and the mechanism of knowing the truth
by Kenneth Cragg and R. Marston Speight (Belmont, Calif.,
1980).
that rejects alternate systems of evaluation.
The nature and cultivation of truth in Eastern traditions is de-
Especially in those communities that identify their sur-
scribed in Hajime Nakamura’s Ways of Thinking of Eastern
vival and highest fulfillment with a single form of truth,
Peoples (Honolulu, 1964); Revelation in Indian Thought, ed-
through orthodoxy (normative or prescribed teaching) or
ited by Harold Coward and Krishna Sivaraman (Emeryville,
orthopraxis (normative or prescribed behavior), the tolerance
Calif., 1977); K. Kunjunni Raja’s Indian Theories of Meaning
of alternative approaches to truth is difficult to maintain.
(Madras, 1963); Padmanabh S. Jaini’s The Jaina Path of Pu-
rification (Berkeley, 1979); Kulitassa Nanda Jayatilleka’s
Paradoxically, a society often holds rigidly to a form of truth
Early Buddhist Theory of Knowledge (New York, 1963); Fran-
when there is change in, or confusion about, the underlying
cis Dojun Cook’s Hua-Yen Buddhism (University Park, Pa.,
system(s) of evaluation (as, for example, the conflict between
1977); Tantra in Tibet, translated and edited by Jeffrey Hop-
the epistemological assumptions of the scientific method and
kins (London, 1977); Toshihiko Izutsu’s Toward a Philoso-
those of the symbolic self-consciousness attained in myth
phy of Zen Buddhism (Tehran, 1977); A Source Book in Chi-
and sacrament), and often an openness to explore alternative
nese Philosophy, translated and edited by Wing-tsit Chan
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TSADDIQ
9377
(Princeton, 1963); Fung Yu-lan’s The Spirit of Chinese Phi-
presence. His teachings often take on two forms: (1) exoteric
losophy (Boston, 1962); Invitation to Chinese Philosophy, ed-
explanations of biblical or rabbinic lore, said with his eyes
ited by Arne Naess and Alastair Hanney (Oslo, 1972); and
open; and (2) esoteric teachings on the soul or on other mys-
Tu Wei-ming’s Centrality and Commonality: An Essay on
tical matters, which he says with his eyes closed, often in
Chung-yung (Honolulu, 1976).
trance.
A critical assessment of various principles of validity emerging
from different cultures is found in Eliot Deutsch’s On Truth:
BIBLICAL AND RABBINIC DOCTRINES. The Hasidic use of
An Ontological Theory (Honolulu, 1979); Modes of Thought:
the term tsaddiq—the righteous one—has deep roots in bib-
Essays on Thinking in Western and Non-Western Societies, ed-
lical and classic rabbinic literature, and was further informed
ited by Robin Horton and Ruth Finnegan (London, 1973);
by qabbalistic and late-medieval ethical treatises. Some of
and Knowing Religiously, edited by Leroy S. Rouner (Notre
these sources shall be illustrated here.
Dame, 1985). For an examination of the relation of lan-
guage, meaning, and truth in the mystical experiences of dif-
In biblical writings, the term tsaddiq was used to desig-
ferent religious traditions, see Mysticism and Philosophical
nate both the divine nature—righteousness—and the one
Analysis, edited by Steven T. Katz (Oxford, 1978).
who carries out God’s will. Given the biblical mythos that
New Sources
regards the human being as created in the divine image, the
Allen, Barry. Truth in Philosophy. Cambridge, Mass., 1993.
term represents the human ideal. The tsaddiq is one who has
chosen to be an instrument of the divine nature and will. At-
Blackburn, Simon, and Keith Simmons, eds. Truth. New York,
taining charisma thereby, he or she employs it for sacred pur-
1999.
poses.
Field, Hartry H. Truth and the Absence of Fact. New York, 2001.
Gupta, Anil, and Nuel Belnap. The Revision Theory of Truth.
The persona of the tsaddiq, as reflected in the teachings
Cambridge, Mass, 1993.
of the rabbinic period (second century BCE—fifth century
Hill, Christopher S. Thought and World: An Austere Portrayal of
CE) often suggests the functions of one who in biblical times
Truth, Reference, and Semantic Correspondence. New York,
was described by the word navi (prophet). The rabbis state
2002.
that a tsaddiq transforms divine wrath into divine compas-
sion: God issues a heavenly decree, and the tsaddiq may
Kölbel, Max. Truth without Objectivity. New York, 2002.
annul it (Midrash Genesis Rabba 33:3). The divine presence
Luntley, Michael. Reason, Truth and Self: The Postmodern Recondi-
(shekhinah) is said to be the tsaddiq’s constant companion.
tioned. New York, 1995.
Lynch, Michael P., ed. The Nature of Truth: Classic and Contempo-
The rabbis appraised the deeds of the tsaddiqim as being
rary Perspectives. Cambridge, Mass., 2001.
even more valuable than the creation of heaven and earth;
Soames, Scott. Understanding Truth. New York, 1999.
for the latter are the product of divine justice, whereas the
tsaddiqim add kindness to the creation (Babylonian Talmud
Williams, Bernard Arthur Owen. Truth and Truthfulness: An Essay
Ketubot fol. 5a). The tsaddiq is sometimes also called a
in Genealogy. Princeton, N.J., 2002.
Hasid—one who acts with kindness towards God and cre-
FREDERICK J. STRENG (1987)
ation, beyond the obligations of the law; upon acquiring
Revised Bibliography
both wisdom and humility. The rabbis detested the ignorant
Hasid, whom they regarded as a public nuisance. (The term
Hasid, meaning “follower of a particular Hasidic rebbe,” has
TSADDIQ.
no textual witness before the 1850s.) In classical Midrash,
The Hasidic tsaddiq (righteous one), also
the biblical Joseph was given the appellation tsaddiq, and re-
called rebbe (teacher) or admor (acronym for “master, teach-
fraining from sexual impropriety was regarded as the tsad-
er, and guide”), is the spiritual leader of a Jewish community,
diq’s hallmark.
to whom members look for guidance in both spiritual and
mundane matters. Throughout history, with a few excep-
In Babylonian Talmud Yoma there are esoteric state-
tions, the overwhelming majority of Hasidic tsaddiqim (plu-
ments such as: “the entire world was created for the sake of
ral for tsaddiq) have been male. The tsaddiq is the officially
one tsaddiq”(fol. 38b)—where either or both God and the
designated intercessor to God (shaliah tsibur) whose prayers
righteous individual are indicated; or “The tsaddiq is a foun-
on behalf of the community or the individual, while not ab-
dation upon whom the entire world stands”(fol. 38b)—a
solving them of their religious responsibility to address only
source for the idea of the Hasidic tsaddiq as axis mundi
God in prayer, are considered to be more efficacious than
(Green, 1977). The rabbis state that prior to creation, God’s
their own, due to his perceived close intimacy with—and in-
“first thought” was the creation of tsaddiqim, and that their
fluence on—divine providence. He prays with his communi-
primordial presence was “consulted” in the creation of the
ty and often presides over sacred meals with them, where his
human being (Midrash Genesis Rabbah 8:7). The tsaddiq
followers observe his holy comportment and participate in
functions as the conduit through whom divinity pours bless-
his charisma, expressed in both communal song and verbal
ings and liberation into creation; and it is stated that due to
teaching. The source of his charisma is said to be his having
the merit of tsidqaniyot (female tsaddiqim), Israel was deliv-
transformed his material being into spiritual form and sacred
ered from the bondage of Egypt (Babylonian Torah Sotah
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TSADDIQ
fol. 11b). In the Qabbalah of the sefirot, which hypostasized
ness of the letters of the Torah—through which the world
the divine attributes, Joseph represents the archetype of the
itself was created. These holy letters are themselves a central
tsaddiq—the procreative power.
object of contemplation. The famous Epistle of the Besht indi-
cates that the Messiah revealed to R. Israel Baal Shem Tov
The sages declare that male and female tsaddiqim are ex-
(henceforth, Besht, an acronym for Baal Shem Tov; 1700?–
empted from the curses of Adam and Eve—meaningless toil
1760), the founder of the Hasidic movement, that each letter
and the pain of childbirth (Babylonian Torah Sotah fol.
contains aspects of the outer world the realm of the soul, and
12a). In this Edenic vein another rabbinic teaching that plays
the divine realm, which all unite within divinity. Practice in
an especially important role in qabbalistic and Hasidic
this form of contemplative-union was said to have afforded
thought pronounces that: “By the light that was created on
the Besht (“Master of the Good Name”) clairvoyant vision.
the first day, one could simultaneously gaze from one end
of the world to the other. God, having observed that it could
This qabbalistic difference of opinion is similar to one
be abused by the wicked, hid this light and vouchsafed it for
found in medieval Jewish philosophy that deals with the pos-
the tsaddiqim in ‘the future time’”(Babylonian Torah Hagiga
sibility of conjunction—or devequt—during one’s lifetime
fol. 12a).
with the active (or agent) intellect, which is regarded as di-
vinely emanated. This devequt union results from human
It is within the potential of every human being, regard-
awareness transcending the physical body, focusing on the
less of national affiliation, to be a tsaddiq. As for the minimal
divine presence within the human mind. Formulae to this
qualification of the title tsaddiq, the rabbis state that a tsaddiq
effect are found in the explanations to the yihudim (unifica-
is one who has chosen, more often than not, to function as
tions)—practices promulgated by the sixteenth-century
a divine instrument: doing more good than evil, and at-
Qabbalah of R. Isaac Luria, whereby the tsaddiqim unify
tempting to establish a conscience-driven rapport with the
their own conscious presence with the divine attributes, and
divine presence (Babylonian Torah Qidushin fol. 40b).
raise them to higher levels, thereby drawing bounty from
Yet, even the greatest tsaddiqim—even the angels—are
more sublime levels within the divine source for the sake of
not perfectly free of fault. King David was accorded the role
tiqun—the repair of the divine-human interface. Lurianic
of the repentant tsaddiq who defeated his evil inclination by
Qabbalah stipulates eight basic levels of theurgic union that
practicing austerities although the ascetic ideal was not uni-
provide sustenance, increase, renewal, or innovation, on the
versally embraced by the rabbis. According to some rabbis,
spiritual and/or material planes. During the millenia of the
human beings—endowed with freedom of choice—are more
exile, nearly all unifications that occur are, in effect, the tsad-
precious to God than the angels, who were expressly created
diqim uniting with the shekhinah—as it were, embodying the
to suit their particular functions (Babylonian Torah Sanhe-
place of God—by uniting the divine primordial union with
drin fol. 93a). The principal inner voice of the human tsad-
the temporal state. During the Temple period (first Temple,
diq is the inclination to the good, construed as an angel nur-
c. ninth century BCE to late fifth century BCE ; second Tem-
tured by the tsaddiq’s good deeds, and the impetus that
ple, fourth century BCE to 70 CE) and in the Messianic era
sustains the tsaddiq is faith in divine righteousness. All of
(yet to occur), we read that it is God who directly enacts this
these form the ideal of the Hasidic tsaddiq.
union.
QABBALAH AND HASIDISM. Regarding the “light of the first
LEVELS OF TSADDIQIM. Hasidism, following the Zohar and
day” in qabbalistic literature, we find a difference of opinion
Lurianic Qabbalah, divided the soul into five levels: (1) ne-
as to the meaning of “the future time” when it is stored away
fesh, the animating soul of the material plane; (2) ruah, the
for the tsaddiqim. According to the Sefer haBahir, one of the
emotive spirit; (3) neshamah, the consciousness soul; (4)
earliest works of the Qabbalah (anon., twelfth century CE?),
hayah, the emanated wisdom-soul of divine Imminence; and
members of the Provence and Gerona schools of Qabbalah
(5) yehida, transcendent unity.
(1180–1230), the authoritative Sefer haZohar (anon., late
These soul levels correlate with four worlds and their de-
thirteenth century), and the Sefer haTemunah (anon., early
fining sefirot (divine attributes) as follows:
fourteenth century); this light is available to tsaddiqim during
their earthly lifetime, by means of Torah study and contem-
1. nefesh = action-sovereignty;
plative prayer. Through uniting with the light, the tsaddiq
2. ruah = formation-harmony;
theurgically and devotionally draws blessings to the entire
creation. But according to the more conservative Ma Darekhet
3. neshamah = creation-understanding;
haElohut and the introductory qabbalistic treatise Gates of
4. hayah = emanation-wisdom; and
Light by R. Joseph Gikatilla (both are late thirteenth centu-
5. yehida = crown of emanation = primordial Adam = unity
ry), as well as the Sefer haPeliah (early fourteenth century?)
within the absolute infinite. Each level contains all five,
“the future time” refers to the after-death state. In the six-
within its own context.
teenth century, R. Moshe Cordovero (1522–1570) and R.
Isaac Luria (1534–1572), both of whom greatly influenced
Whereas emanation is understood and experienced as a
Hasidic thought, accepted the view of the Zohar. In early
seamless divine dialectical unity, creation represents the un-
Hasidic teaching, this light was said to inhere in the sacred-
folding of the individual’s participation in this dialectic pro-
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9379
cess. Formation represents the emotional contours of this
In every generation a soul-spark of the Messiah is sent
participation, and action, righteous effectuation. Given that
to incarnate, to redeem the generation that shows itself wor-
all souls were originally within Adam, this schema
thy; or, if there are worthy tsaddiqim in the generation, to
was understood as forming a collective, living, human-form
illuminate them. By means of messianic consciousness, all
organism.
the holy potential in human beings will be realized, and nu-
merous texts of early Hasidic teaching (1750–1825) suggest
The potential of the human being as such, whether male
that even the wicked will be transformed and released from
or female, is likened to all five levels, as explicated in the
hell. This transformative work, according to the Zohar and
Lurianic corpus. One who purifies all five levels of the nefesh
Lurianism, is performed by tsaddiqim in the present (both
attains to periodic transcendent unification with the aspect
in this life and in the hereafter), rescuing the souls of those
of sovereignty-in-emanation. This level constantly descends
people who are associated with their own Adamic roots.
into the world of creation and needs to be raised to emana-
tion by the tsaddiq, who has also descended. This is also the
This work is the source of the Hasidic doctrine of “the
case with one who is in the process of purifying the fourth
descent of the tsaddiq,” who must periodically leave exalted
level of thenefesh. These two constitute the levels of most
states of divine union in order to raise up those for whom
tsaddiqim. If one succeeds in purifying all five levels of the
they are responsible. Lower-level tsaddiqim leave involuntari-
ruah, one would be in constant communion with the Ruah
ly, and may even temporarily fall. For higher-level tsaddiqim
haQodesh, the Holy Spirit, and would abide—as active or
who have cultivated equanimity (as taught by the Besht and
passive—in the world of emanation, even when in descent
his disciples), in the words of Rabbi Elimelech of Lizansk
to the “lower worlds,” and would no longer be subject to jeal-
(1716?–1787), “oyven-hinten, hinten-oyven” (“below [inte-
ousy and competitiveness. This is perhaps the qabbalistic an-
grated with] above, and above [with] below”) (Or Elimelekh,
alog to the conceptions of the tsaddiq developed by R. Nah-
p. 98, number 148). And as said by Rabbi Pinchas of Koretz
man of Bratslav (1772–1810), a great-grandson of the Besht,
(1726–1791), a companion of the Besht: “great tsaddiqim
and by the founder of Habad Hasidism, R. Shneur Zalman
love the exceedingly wicked, and lesser tsaddiqim love the less
of Lyadi (1745?–1814). The archetypal image of tsaddiqim
wicked” (Imrei Pinchas haShalem vol. 1, p. 474, number 72).
mentioned in the Bible has them working on the five aspects
Elimelech and his disciples also stressed the practice of union
of the neshamah. The biblical forefathers, for example, were
with all the tsaddiqim. Since the appearance of the pioneering
regarded as the “Divine Chariot”—the instruments of the
work of Mendel Piekarz (1978), scholars no longer believe
emanated divine attributes: kindness, judgment, and harmo-
that these aspects of Hasidic spirituality were influenced by
nizing compassion—uniting the second and the third levels
the Sabbatean false-messiah movement (c. 1666). The anti-
of the cosmic neshamah. Moses was said to have attained the
Hasidic mitnagdic (opponent [to Hasidism]) theology of
union of its third and fourth levels and received, as a gift
Rabbi Elijah of Vilna (1720–1797) concurs with the concep-
tion of the tsaddiq in all of the above, and differs from the
from God, the emanated light of the fifth level. According
early Hasidic model on the public aspect of the intercessory
to the Zoharic-Lurianic Qabbalah, Moses incarnates in every
role of the tsaddiq and on the breakdown of elitist stratifica-
generation, and is potentially present in all Israelite and con-
tion in the community. Indeed, the Hasidic “social revolu-
vert-souls. Upon completion of the tiqun of the fifth level
tion” and its displacement of previous rabbinic and commu-
of the neshamah, he will be in constant union with the un-
nal forms became possible only as a result of the complete
changing compassion of the yehidah, and will manifest as the
breakdown of centralized Jewish authority (and its well-
Messiah.
established universal educational system) in Poland and Lith-
Luria states that tsaddiqim who during the course of
uania due to the continuing upheavals in the kingdom of Po-
their lifetime have always striven to “unite the part with the
land between the years 1648 and 1772 which resulted in a
whole” are constant companions of the divine presence
smaller and weakened state. In addition, the aforementioned
(shekhinah) and are themselves present in spirit whenever
failed popular messianic movement resulted in the near-
anyone enacts a yihud. Furthermore, these tsaddiqim may
interdiction of qabbalistic literature, which became the pre-
“impregnate” with their own souls the soul of one who con-
serve of the elite, who were perceived as having coldly dis-
templates in this way (striving to unify the part with the
tanced themselves from the greater, largely uneducated, com-
whole), thereby aiding the person’s spiritual development.
munity. These two events seemed to have engendered a novel
According to the Lurianic explanation of the Zohar, higher-
construal of social solidarity and a replacement of authority.
level tsaddiqim are able to voluntarily reincarnate, and they
MODELS OF HASIDIC LEADERSHIP: A BRIEF HISTORY OF
do so for the sake of furthering the cosmic tiqun. With this
THE TSADDIQ IN HASIDISM. Defining the archetype of
background it is easier to understand the insistence of R.
Moses as leader of his people was central to the formulation
Yaakov Yosef of Polnoya (died c. 1782), the chief spokesman
of the ideal tsaddiq in the teachings of the Besht, who de-
of the doctrine of the tsaddiq as expounded by the Besht, that
scribed such a tsaddiq as encompassing all and uniting with
for the untutored laity as well as for the lesser tsaddiq to expe-
all, from the pharoah to the sage. The tsaddiq’s sense of re-
rience devequt with God, he or she must be aligned with the
sponsibility is mirror-like; all facets of the world, both wick-
tsaddiqim.
ed and holy, become located in tsaddiqim, through recogni-
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TSADDIQ
tion of their subtle forms within themselves. This causes
obscurations will come to an end and the time of divine favor
them to repent, and opens the way for the wicked to repent
and salvation will be upon us.” Whereas the Besht was dis-
as well. When they discern that heavenly inspiration is of-
tressed by this answer, his numerous teachings instructing
fered, they give honest and loving rebuke, being present
the would-be tsaddiq in the ways of humility and the accep-
within the dialectic of humility and innate worth, and realiz-
tance of mutual social responsibility reflect acceptance of the
ing that the rebuke applies to themselves as well. Deriving
messianic challenge, albeit with the understanding that it is
from the qabbalistic procreative metaphor of the tsaddiq,
a slow process. Indeed, this messianic ideal is in keeping with
Rabbi Yaakov Yosef of Polnoya regarded the desire, enthusi-
Moses’ aspiration (Num. 11:29) that “the entire People of
asm, and pleasure that a person has in performing the good
God be prophets.”
as the expression of the attribute of the tsaddiq within the
individual.
It is this ambivalence that led to differences of opinion
among scholars as to whether early Hasidism was messianic,
In early Hasidic applications of these teachings to peti-
or represented a neutralization of acute messianism. In addi-
tionary prayer, the Besht and his successor, the magid
tion, we find statements from the Besht regarding the messi-
(preacher) of Mezritch (1710?–1772) had always stressed the
anic spark inherent in all who serve God, and the proviso
importance of the needs of the shekhinah as being the fore-
that one must pray for personal redemption before one can
most of the tsaddiq’s concerns; the Besht, making allowance
pray for cosmic redemption. We also find anecdotal testimo-
for personal petition when one’s sincerity would be compro-
ny regarding at least two Hasidic masters who realized this
mised by pretense. They counseled the tsaddiqim to observe
spark within themselves, while renouncing pretensions of
their needs, and by applying qabbalistic tools of symbolic
public messianic identity: Rabbi Menachem Mendel of Vi-
analogy, to discern the spiritual needs of the shekhinah. The
tebsk (1730–1788), a senior disciple of the magid who guid-
magid, being of an ascetic bent, and having accepted the
ed Rabbi Shneur Zalman after the magid’s demise, before
leadership of what was fast becoming a religious movement
emigrating to the Holy Land in 1777; and Rabbi Menachem
that was attracting the cream of the young spiritually and in-
Mendel of Rymanov (d. 1815).
tellectually gifted, placed his entire stress on the needs of the
divine presence. This emphasis was passed on to Rabbi Sh-
THE THIRD GENERATION AND THE NINETEENTH CENTURY.
neur Zalman of Lyadi, who asked his followers not to trouble
Rabbi Elimelech of Lyzansk was an elder disciple of the
him with personal petitions.
magid who came to him after having already developed into
The magid, acting as the Hasidic movement’s advocate,
a fairly accomplished tsaddiq. He is credited with the formu-
distinguished between two types of tsaddiqim, based on
lation of a new Hasidic model—“Practical Tsaddiqism.” His
Psalm 92:12: “The tsaddiq shall blossom like a palm; like a
understanding of the exigencies of the time empowered the
cedar of Lebanon shall he rise high.” The solitary tsaddiq,
Hasidic tsaddiq to directly intercede on behalf of the material
who may rise high as “a perfect tsaddiq,” produces no fruit.
needs of the Jews. This was acknowledged by Rabbi Ephraim
But the one who causes others to flourish, raising the lower
of Sudlykov (1740–1800), a grandson and respected disciple
elements outside himself, although he may not rise “as high”
of the Besht, as legitimate, even as he stated that it represents
as the cedar, will blossom with new fruit. It is interesting to
a change from previously accepted emphasis on the needs of
note that this distinction is not found in the teachings of the
the shekhinah.
Besht as recorded by Rabbi Yaakov Yosef and other disciples.
The chief disciple of Rabbi Elimelech was Rabbi Jacob
This fact seems to conform to the view of scholars as of the
Isaac Hurwitz (1745–1815), the “Seer of Lublin,” whose dis-
1980s that Hasidism cannot be construed as a movement
ciples (1795–1870) became the rabbinic leaders of Poland
prior to the succession of the magid.
and Galicia and even penetrated into the Austro-Hungarian
Indeed, the recruitment efforts of the magid’s disciples
Empire. Hurwitz was allowed to function as a public tsaddiq
enabled them to become the next generation’s elite rabbinic
during the lifetime of Elimelech. The Seer’s school produced
authorities in most of the Ukraine and part of Poland (1772–
great practitioners of Lurianic theurgy, and further applied
1800), no doubt facilitated by the final division of Poland
its practices to petitionary prayer. The rationale given for this
in 1772 and the vacuum in Jewish centralized authority. The
was the conviction that with fewer material concerns, the
socioreligious change that Hasidic ideology advocated in the
laity would better apply themselves to spiritual pursuits. This
teachings of the Besht, as recorded by Rabbi Yaakov Yosef,
gave rise to anti-acute-messianism and informed a proto-
called for “men of form” to spiritually transform the “people
anti-Zionist ideology. Rabbi Tsvi Elimelech of Dynov
of matter.” This is in keeping with a narrative in the afore-
(1783–1841), a disciple of the Seer, asserted in the name of
mentioned Epistle of the Besht, which contains an exchange
the Besht that it is easier to attain the level of Ruakh ha-
between the Besht and the Messiah. The Besht asked: “when
Qodesh (inspiration of the Holy Spirit) in exile than in the
will the Master (Messiah) come?” The Messiah answered:
Holy Land, where the standards are more demanding. His
“when your teachings will be so well-publicized and revealed
descendants, the rebbes of Munkacs, were among the fore-
in the world . . . that they too will be able to enact unifica-
most anti-Zionist Hasidic leaders in the pre–World War II
tions (yihudim) and soul-ascents as you do. Then the cosmic
period.
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Returning to the theme of the Lurianic “cosmic organ-
zienice, Rabbi Israel Hopstein (1733–1815), a prolific writer
ism” with its levels and shortcuts, the early Hasidim claimed
of qabbalistic works and close friend of both the Seer and
that the tsaddiq can raise up some people only by eating or
Rabbi Simha Bunim of Preshischa (1765–1827), attempted
engaging in other mundane matters in a mode of holy inten-
to act as a bridge between them.
tion, whereas others had to be elevated through the tsaddiq’s
His daughter, Perele (d. 1849?) observed many of the
direct engagement in sacred matters. One of the contempla-
biblical commandments ordained specifically for men, and
tive innovations of the Besht involves the “raising up” of im-
was recognized as a tsadeqet by Rabbi Elimelech of Lyzansk,
proper, distracted thought by recognizing the holy essence-
who, together with her father, urged his followers to visit her
nature of the thought: physical desire is rooted in kindness,
with their prayer petitions. The Rebbe’s Daughter: Memoir of
anger and its effects are rooted in judgement, and pride is
a Hasidic Childhood (2002), a memoir by Malka Shapira, a
rooted in harmonious beauty. By subduing the evil impulse
descendent of the magid of Kozienice, sheds light on the ele-
in these negative manifestations and recognizing their specif-
vated status of women in this branch of Hasidism. Harry M.
ic nature in holiness, the tsaddiq “sweetens them at their
Rabinowicz, a scholar of the Hasidim in the late twentieth
roots.” Rabbi Yaakov Yosef quotes the Besht as saying that
century, profiled more than ten women who made their
one who doesn’t believe that divinity inheres in everything,
mark in the nineteenth-century Hasidic world, including
and who doesn’t believe that an untoward thought during
one who was not born into a family of Hasidic rebbes. Rabbi
prayer contains a holy spark sent to the person by divine
Hannah Rachel Werbmacher (1805–1892), an exceptional
providence so as to find redemption, shows a lack of faith.
self-taught tsadeqet known as the “Maid of Ludmir,” acted
Some of the disciples of the magid held that thought-
as a full-fledged Hasidic rebbe, receiving prayer petitions and
transformation practices were reserved only for the elite,
delivering Torah sermons in public from a cordoned-off
whereas some tsaddiqim from the school of the Seer of Lu-
room. Since the late 1980s there has developed a controversy
blin—notably, the great Hasidic qabbalist Rabbi Isaac of Ko-
among scholars of Hasidism as to the correct assessment of
marno (1806–1876)—advocated them for anyone who can
these phenomena. Certainly, there is much research yet to
maintain honesty in the course of these practices.
be done in this field.
There is an early Habad tradition (which traces its prov-
As of the 1870s, the elite of Preshischa renewed their
enance to the Besht) that states that whereas in earlier times,
interest in Qabbalah, including the works of Rabbi Isaac of
souls were incarnated within a stratified rubric (peasants pos-
Komarno, an opponent to the Preshischa path. Particularly
sessing souls from the world of action, business people
good examples of such integration can be found in numerous
possessing souls from the world of formation, and scholars
works of Rabbi Tsaddoq haKohen of Lublin (1823–1900),
possessing souls from the world of creation), as of the advent
a disciple of Rabbi Mordehai Joseph of Izbica (1788?–1854)
of the Besht, which constitutes the “footsteps of the Messi-
who often placed his teacher’s and his own deep psychologi-
ah,” the souls that enter the world contain sparks from all
cal insights in a qabbalistic context, and also emphasized the
worlds. Thus, at one moment, one can be engaged in a sub-
aspect of the tsaddiq potential in all his followers; and Rabbi
lime religious experience, and at the next, one can find one-
Yehudah Leib of Gur (1847–1905), whose voluminous Sefat
self in totally different inner circumstances. For this reason
Emet integrated many of the insights of the early Hasidim.
the Besht counseled against self-satisfaction—the surest way
to forsake the sacred path. Yet, Habad reserved thought-
Throughout this period, Hasidism faced staunch oppo-
transformation practices for tsaddiqim. On the other hand,
sition from the maskilim (enlighteners), who advocated an-
there is an oral tradition from the fifth Lubavitcher rebbe,
titraditional modernization and often attempted to accom-
Rabbi Shalom Dov-Ber (1860–1920), who recommended
plish it through government lobbying. Recriminations of
that each of his followers spend at least fifteen minutes a day
unscrupulous manipulation were rife on both sides. The his-
cultivating the persona of the tsaddiq, observing all things as
toriography of this period needs to be reevaluated, as its
rooted in primordial Adam.
scholarship has been colored by modernist agendas that mis-
I
value the efforts of the traditionalist Hasidim to preserve
NTERNAL DISSENT; EXCEPTIONAL WOMEN; EXTERNAL OP-
their culture. Although most Hasidic groups held secular ed-
POSITION; DECLINE AND ACCOMMODATION. The Hasidism
ucation, and even job-training, as anathema, many Pre-
of Preshischa, formulated at the beginning of the nineteenth
shischa-influenced Hasidic courst (including Gur) were
century by disciples of the Seer of Lublin as a breakaway re-
among the first to allow their communities access to Jewish
form of Hasidism, attempted to purify Hasidism from an
trade schools, and to permit the formation of political parties
ethos of the vain petitionary seeking of the miraculous. In-
that were more accommodating to the Zionist movement.
stead. it stressed the values of inner truth and the study of
the law, and demurred from the study of Qabbalah. This
Piekarz has gathered evidence to produce a profile of the
movement conquered Poland for the Hasidism of Kotzk,
deteriorated state of East European tsaddiqism based on cer-
Gur, Aleksander, Biala, Amshinov-Worka, and Izbica-
tain early twentieth-century Hasidic texts (c. 1920). This
Radzin. During the first three generations, it upheld its an-
decadent tendency sustains an insular conformist mentality
tipetitionary position. There was mutual criticism between
that fears and attacks all change. It views the stratification
the schools of Lublin and Preshischa. The great magid of Ko-
of souls as innate and unchanging—everyone has his station,
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TSADDIQ
and must place their faith in an unerring tsaddiq who is de-
riod by the few surviving elders. Most notable of those who
scribed as “the root of all worlds, transcending and filling and
trained these future rebbes was Rabbi Joel Teitelbaum
giving life to them all.” These tsaddiqim and their families
(1887–1987), the Satmar rebbe, whose lineage goes back to
and close kin would often spend their time at Western Euro-
Rabbi Moshe of Ujhely (1759–1841), a leading disciple of
pean resorts, financed by their less-than-wealthy Hasidic fol-
the Seer of Lublin. An ultra-conservative and brilliant schol-
lowers (in accord with Hasidic perspective: in exile, the tsad-
ar-charismatic, the Satmar rebbe saw his mission as rebuild-
diq replaces the Cohen-priest, whose upkeep is incumbent on
ing Hungarian and Galician Hasidism in the United Sates
the laity), whom they encouraged to oppose other Hasidic
so that it would be as similar as possible to prewar times. A
“dynasties.” However, there is not enough data to ascertain
complex elitist, he discouraged the public teaching of Qab-
the extent of this trend. Indeed, traditional Hasidism allowed
balah and Hasidism, while apparently also training serious
for pluralism of opinion and indeed, by stressing the unique-
cadres of Hasidic-qabbalistic scholars. Following his death
ness of the individual, encouraged it. One of the reasons for
there was a flurry of publications of classic Hasidic works
this deterioration over time is surely the nepotism of Hasidic
with extensive commentaries, originating both from his own
“dynastic succession”—appointing successors regardless of
community and from those aligned to it. Also, since the mid-
merit. This emerged from the process of institutionalization
1990s, several large anthologies of the teachings of the disci-
that took place during the nineteenth century.
ples of the Besht, such as Rabbi Pinchas of Koretz (1726–
During the interwar period (1918–1939), some of the
1791) and Rabbi Michael of Zlotchov (1734–1786) have ap-
conservative Hasidic elite began reluctantly opening up to
peared; these include manuscript material previously with-
the modern world. Overcoming opposition, but not precipi-
held by Hasidic dynastic leaders. In addition, some rare
tating a break, gifted members of various leading Hasidic
works written and published during the first four decades of
families, such as Rabbi Dr. A. J. Heschel (1907–1972) and
the twentieth century which attest to the continuing creativi-
R. Menachem Mendel Schneerson (1902–1994), the sev-
ty of Hasidic Qabbalah have been reissued. After the death
enth Lubavitcher rebbe, were among the significant few who
of the Satmar rebbe in 1987, his surviving wife, Alte Feiga,
studied in some of Western Europe’s major universities. In
held the primary charismatic attention of a significant por-
addition, Rabbi Abraham Isaac Kook (1865–1935), the first
tion of his followers until her own death in 2001. The Lu-
chief rabbi of modern Palestine (but not, strictly speaking,
bavitcher rebbe, another brilliant charismatic tsaddiq, built a
not a Hasidic tsaddiq), emphasized the role of the contempo-
worldwide network of Hasidic institutions and outreach pro-
rary tsaddiq as one who also embraces the openness of mo-
grams. A look at the messianic pretensions of this movement
dernity and forges new paths of creative spiritual speculation
is beyond the scope of this article, but while the deep con-
out of humanistic and scientific developments.
templative traditions of this movement are being cultivated
by small numbers of his followers, the recent voluminous
As for the period of the war itself, two works composed
publications (many for the first time) of the teachings of the
during that period are notable. Esh Qodesh (1960; Sacred
seven rebbes of this dynasty (1777–1992) has led to a renais-
Fire) was written by Rabbi Kalonymus Kalmish of Piasetzna
sance in the learning and teaching of this tradition.
(1889–1943), who was descended from some of the chief
disciples of the Seer, and before the war was a renowned edu-
In Israel Rabbi Shalom Noah Barazofsky (1918?–2000)
cator. This work contains his sermons delivered in the War-
the late rebbe of Slonim, had his discourses published in
saw Ghetto until 1943, and its heartrending theodicy of faith
modern vernacular Hebrew. Like Rabbi Tsaddoq haKohen
is a testament to this tsaddiq and his internalization of some
of Lublin, the Slonimer rebbe’s teachings addressed the tsad-
of the central messages of the Besht. The second book was
diq potential in all who came to hear him or read his ser-
written in occupied Hungary by Rabbi Yissachar Shelomoh
mons. The Amshinover rebbe, Rabbi Yaakov David Milikof-
Teichtal (1885–1945), a leading disciple of the brilliant
sky (b. 1947), is a premier type of charismatic tsaddiq in the
scholar Rabbi Haim Elazar, the rebbe of Munkacs (1868–
Preshischa mode. His manner of prayer exemplifies genuine
1937) and an irascible compassionate and extremely opin-
piety, and he is known as an extremely compassionate and
ionated Hasidic leader of the Hungarian anti-Zionist move-
astute listener in the private audiences that he freely grants.
ment. Rabbi Teichtal’s book, Em haBanim Smeha (A joyful
During the final decades of the twentieth century the charis-
mother of children), was an unpretentious repudiation of his
matic authoritative and intercessory model of the Hasidic
teacher’s theological arguments for opposing Zionism. Rabbi
tsaddiq was widely adopted in the ultra-Orthodox Jewish
Teichtal also left behind a wartime diary that was published
world at large, both by the anti-Hasidic Lithuanian mitnag-
in 1995.
dim and by the renascent Orthodox communities of Jews
POST-HOLOCAUST HASIDISM. Despite their population
originating from Moslem-dominated lands. Due to the un-
being decimated by the Holocaust, in the post-Holocaust
questioned authority obliged by their homogeneous commu-
world Hasidism made a remarkable recovery in the United
nities, which in each group results in stable voting patterns,
States and in Israel, rebuilding their institutions and replen-
these leaders have been increasingly sought after by politi-
ishing their numbers. Many of the eligible “future rebbes”
cians, and at times have been instrumental in shaping the
who resurrected old dynasties were trained in the postwar pe-
balance of power in the larger political arena.
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9383
Finally, the twentieth century has also witnessed a surg-
1991), see pp. 88–140 and 283–293. Scholem’s essay goes
ing of secular interest in the Hasidic ethos, thanks to both
on to discuss the early and classical Qabbalah, but then ig-
the person and the writings of Martin Buber (1878–1965),
nores Lurianic Qabbalah and discusses Hasidism. Additional
whose collections of Hasidic tales introduced the world at
sources come from the excellent collection Otsar haAgadah,
large to the spiritual relevance of this otherwise Jewish sectar-
edited by Moshe David Gross (3 vols., Tel Aviv, 1954; 13th
ian spirituality. In addition, numerous aphorisms as well as
ed., Jerusalem, 1993), see vol. 3, pp. 1032–1057, which ad-
duces over 500 rabbinic quotes regarding the tsaddiq; and
whole tracts of Hasidic teachings have been translated into
from the works of Abraham J. Heschel, including The Proph-
English and other Western languages as of the second half
ets (New York, 1962), see pp. 200–205.Theology of Ancient
of the twentieth century. The universal and ecumenical po-
Judaism (New York, 1965, Hebrew), see pp. 200–205. Also
tential within Hasidic spirituality was further developed by
see Arthur Green’s “The Zaddiq as Axis Mundi in Later Juda-
Rabbi Dr. A. J. Heschel, who produced various academic
ism” in Journal of the American Academy of Religion 45
studies on Hasidic history, the phenomenology of Hasidic
(1977): 327–347. Regarding the colloquial use of the term
piety, and wonder, and who also provided a living example
Hasid meaning “follower of a particular Hasidic rebbe,” the
of the religious activist-humanist tsaddiq. In the next genera-
earliest citation found is in a text of Preshischa provenance,
tion, postmodern New Age spirituality found a Hasidic ex-
Ramatayim Tsofim by Shmuel of Shinyava (Warsaw, 1881),
pression in Rabbi Zalman Schachter Shalomi (b. 1924), a
see pp. 200–205, based on the teachings of Rabbi Menachem
Habad-educated spiritual master whose academic work on
Mendel of Kotzk (1787–1959) recalling events that took
the rebbe-Hasid personal interview gave rise to a form of
place in the 1820s that involved the Kotzker’s teacher, Rabbi
Simha Bunim of Preshischa (1765–1827). The history of
counseling that stresses the inner tsaddiq. He has continued
this usage requires further investigation.
the ecumenical trend by his intensive interactions with tradi-
tional spiritual teachers of non-Western religious traditions,
The qabbalistic aspect of the “hidden light” was briefly discussed
and he champions a cross-cultural creative-Jewish paradigm
in Scholem, pp. 113–115, where he adduces the Zohar II,
in collaboration with traditional Hasidic texts. During the
166b–167a. See Isaiah Tishby’s The Wisdom of the Zohar: An
last decade of the twentieth century, he and Rabbi Arthur
Anthology of Texts (Oxford, 1989, vol. 1),, p. 442. See also
Zohar II 147b and Daniel Abrams’s The Book Bahir: An Edi-
Green (b. 1941) established numerous retreat centers of Jew-
tion Based on the Earliest Manuscripts (Los Angeles, 1994),
ish contemplation that incorporate elements of Eastern (i.e.,
numbers 97–100, 106, and related references in Scholem.
Sufi-Hindu-Buddhist) meditative traditions. Together in the
And see, by Rabbi Azriel of Gerona, Perush haAgadot, edited
late 1960s they began the Hasidic-influenced “conscious
by Isaiah Tishby (Jerusalem, 1945–1983), p. 111, and re-
community” havurah movement in the Unites States. Rabbi
garding the theurgic application, see “Principles Concerning
Shlomo Carlebach (1925–1994), a charismatic Hasidic
the Secrets of Prayer” (Hebrew), included in Scholem’s
teacher and prolific composer and musician educated in the
“Newly Discovered Writings of Rabbi Azriel of Gerona”
great traditional academies of Europe and the United States,
(Hebrew) in Festschrift for A. Gulak and Sh. Klein (Jerusalem,
was Rabbi Schachter-Shalomi’s lifelong partner in ecumeni-
1942), pp. 214–216, and see Moshe Idel’s “Some Remarks
cal activity, often providing its ecstatic element. As a teacher,
on Ritual and Mysticism in Geronese Kabbalah” in Journal
he was largely responsible for the popular renewal of interest
of Jewish Thought and Philosophy 3 (1993): pp. 111–130. See
in Izbica, Bratslav, and Piasetzna thought, and touched
also Sefer haTemunah (vol. 3 of Torat haQaneh, Jerusalem,
1997), pp. 176a–177b. This is to be contrasted with
countless lives with his unconditional personal expressions
Ma Darekhet haElohut (Mantoba, Italy, 1558; reprint, Jerusa-
of universal love.
lem, n.d.), folio 101b–102b; Gates of Light, by Rabbi Joseph
Gikatilla (translated by Avi Weinstein, New York, 1994),
SEE ALSO Hasidism, overview article; Judaism, article on Ju-
pp. 76 and 327, and Sefer haPeliah in volume 1 of Torat ha-
daism in Northern and Eastern Europe since 1500; Luria,
Qaneh, p. 230a–b. Regarding Rabbi Moshe Cordovero, see
Isaac; Qabbalah.
Bracha Sack’s The Kabbalah of R. Moshe Cordovero (Jerusa-
lem, 1995, Hebrew), p. 323 and sources there; and on his
B
influence on Hasidism, see Moshe Idel’s Hasidism: Between
IBLIOGRAPHY
Ecstasy and Magic (Albany, N.Y., 1995). With regard to Luri-
There is as yet no scholarly history of Hasidic usage of the terms
anic Qabbalah, see Menachem Kallus’s The Theurgy of Prayer
tsaddiq, rebbe, and admor. With regard to teaching with open
in Lurianic Kabbalah (Ph.D. dissertation, Hebrew Universi-
or closed eyes, see Rabbi Hayim Elazar Shapira’s Divrei
ty, 2002), chapter 4, sections 12–14, and pp. 281–282; and
Torah (Munkacz, 1930; Israel reprint, n.d.), series 3, num-
for his influence on Hasidism, the same source at
ber 36.
pp. 280–281, and chapter 3. See also Menachen Kallus’s
The biblical and rabbinic theology of the tsaddiq was analyzed in
“The Relation of the Baal Shem Tov to the Practice of Luri-
the classic study by Rudolf Mach, Der Zaddik in Talmud und
anic Kavvanot,” Kabbalah: Journal for the Study of Jewish
Midrasch (Leiden, 1957), which together with Ephraim E.
Mystical Texts, vol. 2 (Los Angeles and Jerusalem, 1997),
Urbach’s The Sages: Their Concepts and Beliefs (Jerusalem,
pp. 151–167. As for the Besht and the “hidden light,” see
1975), pp. 483–511 and elsewhere, formed the basis for the
Sefer Baal Shem Tov al haTorah (ed. Rabbi Nathan Nata of
discussion of the classical period in Gershom Scholem’s
Kalbiel and Shimeon Menachem Mendel of Gowarchov,
“Tsaddik: The Righteous One” in his On the Mystical Shape
Lodz, Poland, 1938; reprint, Jerusalem, 1993), vol. 1,
of the Godhead: Basic Concepts in the Kabbalah (New York,
“Noah,” p. 107, col. 1 of note number 13, and also p. 14,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9384
TSADDIQ
number 27 and notes. This is the most complete anthology
10, 24; Qedoshim numbers 2–18; Qorah numbers 1–5;
of the teachings of the Besht, and will be referenced here sev-
Eqev number 72, and elsewhere. Regarding the attribute of
eral times (cited as Sefer Besht, followed by volume number,
the tsaddiq within the individual, see Sefer Besht, vol. 1,
Torah Portion and the number of teaching). A translation of
Noah, number 2. With regard to the teachings of the Besht
it is due to appear in 2006–2007. Regarding the opinions of
on petitionary prayer, see Sefer Besht, vol. 1, Noah, numbers
medieval philosophers, see Dov Schwartz’s The Philosophy of
128–129 and 153–155, and on not compromising one’s in-
a Fourteenth Century Jewish NeoPlatonic Circle (Jerusalem,
tegrity in this, see especially ibid. numbers 124 and 152. For
1996, Hebrew), pp. 153–208. See also the fascinating mono-
the teachings of the magid see ibid. numbers 80, 84, 87, 89–
graph by A. J. Heschel, Prophetic Inspiration After the Proph-
94, and especially, 130–131. For Rabbi Shneur Zalman’s
ets: Maimonides and Other Medieval Authorities; translated
views on prayer, see Roman A. Foxbrunner’s Habad: The
and edited by Morris M. Faierstein (Hoboken, N.J., 1996).
Hasidism of R. Shneur Zalman of Lyady (Montogmery, Ala.,
Returning to Lurianic Qabbalah, see Sha Dar haYihudim
1992), pp. 19–22, 38, and 186–194. Regarding the two
(Lvov, Ukraine, 1855; reprint, Jerusalem, n.d.), chapters 4
types of tsaddiq in the works of the magid, see Liqutim Ye-
and 5, and see Kallus’s dissertation, chapter 4 towards the
qarim (Jerusalem, 1974), numbers 256 and 273, and for the
end of note 357, and section 6 of note 383.
version quoted here from the teachings of Rabbi Elimelekh,
Regarding the levels of the soul and the implications of their per-
where the dialectic between the two types is more pro-
fections, see Menachem Kallus’s “Pneumatic Mystical Pos-
nounced, see Torat Shimeon by Rabbi Shimeon of Yaroslav,
session and the Eschatology of the Soul in Lurianic Kab-
a disciple of Rabbi Elimelekh (Jerusalem, 1974) (beginning
balah” in Spirit Possession in Judaism: Cases and Contexts from
of Parshat Emor). On Hasidism during the generation of the
the Middle Ages to the Present, edited by Matt Goldish, fore-
Besht, see Immanuel Etkes’s “Hasidism as a Movement: The
word by Joseph Dan (Detroit, Mich., 2003), pp. 159–184.
First Phase” in Hasidism: Continuity or Innovation, edited by
See also, Gershom Scholem’s “Gilgul: The Transmigration
Bezalel Safran (Cambridge, Mass., 1988), pp. 1–26. On the
of Souls” in his On the Mystical Shape of the Godhead: Basic
teachings of the Besht regarding the role of the “men of
Concepts in the Kabbalah (New York, 1991), pp. 140–197,
form,” see Gedalya Nigal’s Manhig vaEdah (Jerusalem,
300–312. And regarding tsaddiqim who have always striven
1962) and Dresner’s The Zaddik: The Doctrine of the Zaddik
to “unite the part with the whole” and are present in spirit
According to the Writings of Rabbi Yaakov Yosef of Polnoy
whenever anyone enacts a yihud, see the Lurianic Sha Dar
(New York, 1960). The Epistle of the Besht was translated
Ruah haQodesh (Jerusalem, 1912; reprinted 1983), folios 13a
into English several times, most recently in the monumental
and 28a; and Sha Dar Maamarei Rashby (Jerusalem, 1898; re-
work of translation and commentary by Norman Lamm, The
print, 1978), folio 12b–c, and compare Sefer Besht vol. 2, Be-
Religious Thought of the Hasidim: Text and Commentary
hukotai number 3. On the alignment of the laity to tsad-
(New York, 1999); see there pp. 541–555, and for our text,
diqim, see Sefer Besht, vol. 2, VaEthanan number 66, and
p. 550. For the textual problems of this epistle, the history
Eqev numbers 12–15, 30, and 66–70. And see Samuel Dres-
of scholarship, and possible resolutions, see I. Etkes’s Ba Dal
ner’s The Zaddik: The Doctrine of the Zaddik According to the
Shem: The Besht—Magic, Mysticism, Leadership (Jerusalem,
Writings of Rabbi Yaakov Yosef of Polnoy (New York, 1960),
2000), pp. 292–310. On the scholarly controversy concern-
pp. 75–142. Regarding the “descent of the tsadyq” and re-
ing early Hasidism and messianism, see Gershom Scholem’s
lease from hell, see Zohar II, 128b–129a and elsewhere, and
“The Neutralization of the Messianic Element in Early Hasi-
Sefer Besht vol. 1, Bereshit numbers 70–75, Lekh Likha num-
dism” in his The Messianic Idea in Judaism and other Essays
ber 19; vol. 2, Eqev number 68 and elsewhere. And see from
on Jewish Spirituality (New York, 1971), pp. 176–203, and
Rabbi Pinhas of Koretz, Imrei Pinchas haShalem, edited by
see Ben Zion Dinur’s “The Beginnings of Hasidism and its
Yehezkiel Shraga Finkel (Bnei Beraq, Israel, 2003), pp. 370,
Social and Messianic Foundations” (translated, originally in
numbers 31–32 and 474, number 72; and see from Rabbi
Hebrew, 1945) in Essential Papers on Hasidism, edited by
Elimelekh of Lizansk, Or Elimelekh, edited by Alter Elisha
Gershon Hundert, pp. 86–209 (New York, 1991), whose in-
haKohen Paksher (Jerusalem, 1984), pp. 65–66, number 84,
sightful readings regarding the early Hasidic social “pro-
p. 89, number 129, p. 91, number 131, and p. 98, number
gram,” although attacked ad homonym have not been effec-
148; and from Rabbi Menachem Mendel of Rymanov, Men-
tively countered. See also Isaiah Tishby’s “The Messianic
achem Tsion, edited by Tsvi Elimelekh Pannet (Jerusalem,
Idea and Messianic Trends in the Growth of Hasidism” (He-
2004), p. 11, col. b. Regarding previous scholarship on the
brew) Zion 32, no. 1 (1967): 1–45. Regarding the messianic
“descent of the tsadyq,” see Dresner’s The Zaddik, chapters
spark-potential and the emphasis on personal redemption,
7 and 8; and regarding earlier sources of this doctrine, in-
see Sefer Besht, vol. 1, Bereshit number 166 and Shemot
cluding Lurianic Qabbalah, and the refutation of Sabbatean
number 5; and vol. 2, Nitzavim number 8. As regards Rabbi
influence, see Mendel Piekarz’s The Beginning of Hasidism:
Menachem Mendel of Vitebsk, see Mordechai Hayim Per-
Ideological Trends in Derush and Mussar Literature (Jerusa-
low’s Liqutei Sipurim (Brooklyn, N.Y., 1992), p. 284, num-
lem, 1978, Hebrew), pp. 280–395. On Mitnagdic opposi-
ber 8. And regarding Rabbi Menachem Mendel of Rymanov,
tion to Hasidic conceptions of the tsaddiq, see Allan Nadler’s
see Torat haMagid meZlotchov, edited by Eliezer Eliyahu Ho-
The Faith of the Mithnagdim: Rabbinic Responses to Hasidic
rowitz (Jerusalem, 1999), p. 176, number 6.
Rapture (Baltimore, Md., 1999), chapter 2.
On Rabbi Elimelekh of Lizansk, see Nigal’s Mehqarim beHasidut
For the sources of the teachings on Moses and the tsaddiq, see Sefer
(Jerusalem, 1999; originally, 1978), pp. 116–233, and the
Besht, vol. 1, Bereshit numbers 121, 127, Noah, numbers 61,
more recent work by Piekatz, “R. Elimelekh miLizensk
62, 80, 81, 156–158; vaYishlakh, numbers 6–7; vol. 2, She-
uMamshichei Darko,” Gil Dad 15–16 (1998): 42–80, where
mot number 19; Ki Tisa number 9; Metzorah numbers 9,
he also discusses Rabbi Ephrayim of Sydlakov, and the later
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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9385
development of the school of the Seer. On the Seer of Lublin
parties, see Alan L. Mittleman’s The Politics of Torah: The
see Rachel Elior’s “Between Yesh and Ayin: The Doctrine of
Jewish Political Tradition and the Founding of Agudat Israel
the Zaddik in the Works of Jacob Isaac, the Seer of Lublin”
(Albany, N.Y., 1996). On decadent forms of Hasidism, see
in Jewish History: Essays in Honour of Chimen Abramsky, ed-
Mendel Piekarz’s “Religious Spiritualism against Zionism
ited by Ada Rapaport-Albert and S. J. Zipperstein (London,
and Determinist Elitism: Lessons from the Discourses of the
1988), 393–455. Regarding the easier availability of access
Admor of Partzava (1866–1930)” in Hasidism in Poland, ed-
to Ruah haQodesh in the exile, see Sefer Besht, vol. 1,
ited by I. Bartal, Rabbi Elior, and C. Shmeruk (Jerusalem,
VaYeshev number 4 and note 5. On Munkasz Hasidism, see
1994), and his earlier book, Ideological Trends of Hasidism in
Efraim Gottleib’s Studies in the Kabbalah Literature, edited
Poland during the Interwar Period and the Holocaust (Jerusa-
by Joseph Hacker (Tel Aviv, 1976), pp. 584–586. For the
lem, 1990). On the early life of Rabbi Dr. A. J. Heschel, see
techniques of and variety of Hasidic opinion on the “raising-
Abraham Joshua Heschel: Prophetic Witness by Edward K. Ka-
up of distracted thought,” see Sefer Besht, vol. 1, Noah num-
plan and Samuel H. Dresner (New Haven, Conn., 1998),
bers 97–124, and especially note 94 (pp. 152–155) for the
and on the seventh Lubavitcher rebbe, see Larger Than Life:
range of third- to fifth-generation Hasidic opinion. This
The Life and Times of the Lubavitcher Rebbe, Rabbi Men-
matter seems to be a litmus test with regard to the contrast
achem Mendel Schneerson by Shaul Shimeon Deutsch (New
between social realism and antielitist idealism in the develop-
York, vol. 1 1995, vol. 2 1997). Although written by a fol-
ment of Hasidic thought and its relation to the original de-
lower of the late Lubavitcher rebbe, this work is an honest at-
mocratizing impulse (see Scholem’s “Devekut, or Commu-
tempt at critical biography. For other examples of this trend,
nion with God” in his The Messianic Idea in Judaism and
see Hillel Goldberg’s Between Berlin and Slobodka: Jewish
other Essays on Jewish Spirituality, pp. 208–226). Regarding
Transition Figures from Eastern Europe (Hoboken, N.J.,
the Habad- Besht tradition concerning the nature of the soul
1989). Much has been written on Rabbi A. I. Kook. For
in later generations, see Rabbi Aaron of Staroselye’s Shaarei
some translations of his writings, see The Essential Writings
haYichud vihaEmunah (Jerusalem, 1966), folio 3b, marginal
of Rabbi Abraham Isaac Kook, translated with introduction
note. On this important mystical thinker see Louis Jacobs,
by Ben Zion Bokser (Amity, N.Y., 1988), and When God Be-
translator, Tract on Ecstasy (London, 1963) and Rachel
comes History: Historical Essays by Rabbi Abraham Isaac Hako-
Elior’s Paradoxical Ascent to God (Albany, N.Y., 1993).
hen Kook, edited and translated with introduction and notes
by Bezalel Naor (New York, 2003); and see Rabbi Abraham
Regarding the Hasidic “revolt” of Preshischa, see A. J. Heschel’s
Isaac Kook and Jewish Spirituality by Lawrence Kaplan and
Kotzk: The Struggle for Integrity, 2 volumes (Tel Aviv, 1963),
David Shatz (New York, 1995). On Hasidic thought during
see vol. 1, pp. 285–320 and 388–370; Morris Faierstein’s All
the Holocaust, and on Rabbi Kalonymus of Piasetzna, see
Is in the Hands of Heaven: The Teachings of R. Mordechai Jo-
Nehemia Polen’s, The Holy Fire: The Teachings of Rabbi
seph of Izbica (Hoboken, N.J., 1989); Shaul Magid’s Hasi-
Kalonymus Kalman Shapira, the Rebbe of the Warsaw Ghetto
dism on the Margin: Reconciliation, Antinomianism, and Mys-
(Northvale, N.J., 1994). Three of his works on educational
ticism in Izbica/Radzin Hasidism (Madison, Wis., 2003); and
philosophy were translated: A Student’s Obligation: Advice
for later developments, see Arthur Green’s The Language of
from the rebbe of the Warsaw Ghetto (tr. Micha Odenheimer;
Truth: The Torah Commentary of the Sefat Emet (Philadel-
Northvale, N.J., 1991); To Heal the Soul: The Spiritual Jour-
phia, 1998), especially his introduction, and Alan Brill’s
nal of a Chassidic rebbe (tr. Yehoshua Starrett; Northvale,
Thinking God: The Mysticism of Rabbi Zaddok of Lublin
N.J., 1995) and Conscious Community: A Guide to Inner
(New York, 2002). On women and Hasidism, see Harry M.
Work (tr. Andrea Cohen-Keiner; J. Aronson, N.J., 1996).
Rabinowicz’s Hasidism: The Movement and its Masters
See also regarding him, and on Rabbi E. Teichtal: Mendel
(Northvale, N.J., and London, 1988), 341–351; Nehemia
Piekarz op. cit. (Jerusalem, 1990), and Eliezer Schweid:
Polen’s The Rebbe’s Daughter: Memoir of a Hasidic Child-
Wrestling Until Day-Break: Searching for Meaning in the
hood/Malka Shapiro (Philadelphia, 2002) and Nathaniel
Thinking on the Holocaust (Lanham, Md., 1994); idem. From
Deutsch’s The Maiden of Ludmir: A Holy Jewish Woman and
Ruin to Salvation (Hebrew) (Hakibbutz Hameuchad, Israel,
Her World (Berkeley, Calif., 2003); and for a contrary view,
1994).
see Ada Rapoport-Albert’s “On Women and Hasidism: S.A.
Horodecky and the Maid of Ludmir” in Jewish History: Essays
Regarding Satmar, see Israel J. Rubin: Satmar: Two Generations
in Honour of Chimen Abramsky, edited by Ada Rapaport-
of an Urban Island (New York, 1997) The Hasidic classic,
Albert and S. J. Zipperstein (London, 1988), pp. 45–525.
Toldot Yaakov Yosef by Rabbi Y.Y. of Polnoye (originally
On the early anti-Hasidic slander (Vienna, 1819) by the
published in Koretz, 1780) was published by Rabbi Shimeon
Maskilim, see Dov Taylor (ed. and tr.), Joseph Perl’s “Revealer
Weiss, a Hasid of Satmar in a five volume edition with exten-
of Secrets”: The First Hebrew Novel (Boulder, Colo., 1997),
sive commentary (Monroe, N.Y., 1998). The anthologized
and see Heinrich Graetz’s A History of the Jews (Philadelphia,
teachings of Rabbi Pinchas of Koretz and Rabbi Michael of
1967), volumes 4 and 5 regarding his bias against Qabbalah
Zlochov are referenced above, in sections 3 and 4. And see
and Hasidism. For a more recent treatment, see Raphael
A.J. Heschel: The Circle of the Baal Shem Tov (ed. S. Dresner;
Mahler’s Hasidism and the Jewish Enlightenment: Their Con-
University of Chicago Press, 1985) for monographs on these
frontation in Galicia and Poland in the First Half of the Nine-
and other members of this circle. There have not yet been
teenth Century, translated from the Yiddish by Eugene Oren-
any studies on the rebbes of Slonim and Amshinov. For a per-
stein (Philadelphia, 1985), and see Israel Bartal’s “The
spective on the political life of Post-Holocaust ultra-
Imprint of Haskalah Literature on the Historiography” in
Orthodox society, see: “Religious Fundamentalism and Reli-
Hasidism Reappraised, edited by Ada Rapoport-Albert (Lon-
gious Jews: The Case of the Haredim” by Samuel C. Heil-
don, 1996). On the development of Polish-Hasidic political
man and Menachem Friedman, in Fundamentalisms
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9386
TS’AO TAI
Observed (ed. Martin E. Marty and Rabbi Scott Appleby;
Don drup rin chen at the age of seven. He spent the next
Chicago, 1991; pp. 197–264). Some of Martin Buber’s volu-
decade or so receiving tantric initiations and teachings, and
minous writings bear directly on Hasidism, such as his clas-
learning Buddhist doctrine. When he was sixteen or seven-
sic: Tales of the Hasidim (translated by Olga Marx; Schocken,
teen, following the advice of his teacher, he traveled to Cen-
N.Y., 1947 and 1991) and his novel based on the dramas of
tral Tibet.
the circle of the Seer of Lublin: For the Sake of Heaven
(Schocken, N.Y., 1945). Regarding Heschel, see also The
Central/Western (Dbus Gtsang) Tibet was the intellec-
Earth is the Lord’s (London, 1945; reprint, Jewish Lights,
tual center of the country at this time. Tsong kha pa studied
Woodstock, N.Y., 1995); God in Search of Man (New York,
at many of the great monastic academies of the day, gaining
1955); and a posthumous collection of his essays: Moral
expertise in all of the major texts and subjects of the Indian
Grandeur and Spiritual Audacity (edited by Susannah Hes-
Buddhist scholastic tradition. In 1381 Tsong kha pa took
chel, New York, 1996). Some of Rabbi Zalman Meshulam
full monastic (dge slong) ordination. He then began to focus
Schachter-Shalomi’s books include: Spiritual Intimacy: A
Study of Counseling in Hasidism (Northvale, N.J., 1991); Par-
more intentionally on the esoteric teachings of Tantra. It was
adigm Shift: From the Jewish Renewal Teachings of Reb Zal-
during this period that he also met one of his major teachers,
man Schachter-Shalomi (Northvale, N.J., 1993) and Wrapped
Bla ma Dbu ma pa (fourteenth century), a mystic and vision-
in a Holy Flame: Teachings and Tales of the Hasidic Masters,
ary, and a specialist on the practices of the deity Mañju´sr¯ı,
edited by Nataniel M. Miles-Yepes (San Francisco, 2003).
who, it was said, spoke to Tsong kha pa through Bla ma
Also see Jacob Yuroh Teshima’s Zen Buddhism and Hasidism:
Dbu ma pa, answering his questions about the doctrine of
A Comparative Study (Lanham, Md., 1995). On Rabbi Shlo-
emptiness.
mo Carlebach, see, by Meshulam Brandwein, Reb Shlomele:
The Life and Work of Shlomo Carlebach, translated by Gavriel
Although Tsong kha pa studied with many teachers
A. Sivan (Jerusalem, 1997), and Yitta Halberstam-
from all of the major schools of Tibetan Buddhism, it was
Mandelbaum’s Holy Brother: Inspiring Stories and Enchanted
the great Sa skya pa scholar Red mda’ ba Zhon nu blo gros
Tales about R. Shlomo Carlebach (Northvale, N.J., 1997).
(1349–1412) whom Tsong kha pa would come to regard as
MENACHEM KALLUS (2005)
his chief spiritual master. He studied with Red mda’ ba ex-
tensively during this period, but eventually Red mda’ ba and
Tsong kha pa would become each other’s teacher, spending
TS’AO TAI
a great deal of time together both teaching and in retreat.
SEE CAO DAI
By the early 1390s Tsong kha pa had completed his
philosophical studies, and he had established his abilities and
TSEVI, SHABBETAI S
reputation as a scholar by engaging in the so-called monastic
EE SHABBETAI TSEVI
rounds (grwa skor), the practice of submitting to public ex-
aminations at various institutions. He continued to take
teachings and initiations from various masters during this
TSONG KHA PA (1357–1419) is the founder of the
next phase of his life, receiving many lineages that would be
Dga’ ldan pa (Gandenba) or Dge lugs pa (Gelukba) school
important to the later Dge lugs order. But what really charac-
of Tibetan Buddhism. His official, monastic name was Blo
terized this phase of Tsong kha pa’s life was an emphasis on
bzang grags pa, but he is more typically known in the Dge
practice, teaching, and writing. For the next decade, he
lugs pa tradition under the honorific titles of Rje rin po che
would alternate periods of teaching and learning with peri-
(Precious Lord) and Jam dgon bla ma (Lama who is the Pro-
ods of retreat, all the while dedicating himself to “com-
tector Mañju´sr¯ı). Tsong kha pa lived during a period of Ti-
position.”
betan history in which large portions of the country had been
unified under a central authority. It was a time of great reli-
Tsong kha pa was also gathering disciples. One close
gious efflorescence, brought about in large part by the high
group of students, the so-called eightfold pure retinue, ac-
level of political stability that the country enjoyed.
companied him into a four-year intensive retreat at EOl kha,
during which Tsong kha pa and his students had many vi-
TSONG KHA PA’S LIFE. Tsong kha pa was born in the Tsong
sions of various deities. Visionary experiences, both in wak-
kha region of A mdo in Eastern Tibet. Hagiographical ac-
ing life and in dreams, had been a part of Tsong kha pa’s life
counts tell us that Tsong kha pa’s birth was prophesied by
from his youth, but they became more frequent during this
the twelfth abbot of Snar thang monastery, Blo bzang grags
time, and would continue for the rest of his life. Especially
pa (1299–1375), who told his student Chos rje don grub rin
important are a series of visions he had of Indian and Tibetan
chen (1309–1375) to find the boy and give him his own
saints that were seen by Tsong kha pa (and by the later Dge
name. His birth was augured by all of the traditional auspi-
lugs tradition) as legitimating his unique interpretation of
cious signs. Chos rje Don grub rin chen traveled back from
the doctrine of emptiness.
Central Tibet to his home region of A mdo, recognized the
young boy, and took him under his tutelage. Tsong kha pa
Tsong kha pa had already begun to write before this pe-
took lay vows at the age of three from the Karma pa Rol pa’i
riod, but it was really during and after his time in intensive
rdo rje (1340–1383), and novice (dge tshul) ordination from
retreat that he wrote some of his most important philosophi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TSONG KHA PA
9387
cal and tantric works. In 1408 the Ming emperor invited
a consistent whole. He especially sought to do this in his
Tsong kha pa to the Chinese court, but he declined, sending
summa. His Great Exposition of the Stages of the Path (Lam
a close disciple in his stead. Clearly, Tsong kha pa thought
rim chen mo) and his Great Exposition of the Stages of Tantra
that he still had much to accomplish in his native land.
(Sngags rim chen mo) are erudite, grand syntheses of exoteric
and esoteric Buddhism that offer the reader complete maps
In 1408, with the help of two patrons, Tsong kha pa
of these traditions. His Essence of Eloquence (Legs bshad snying
founded the tradition of the Great Prayer Festival (Smon lam
po) attempts to reconcile the apparent contradictions in the
chen mo) in Lhasa, a New Year festival where the focus was
Maha¯ya¯na philosophical corpus through the hermeneutical
on making offerings, both to the assembled clergy and to the
distinction between the provisional (drang ba’i) and defini-
image of the Jo bo rin po che (Tibet’s most famous Buddha
tive (nges pa’i) meaning of texts. Tsong kha pa devoted many
statue). This tradition would become one of Tibet’s most im-
of his works to the interpretation of emptiness. Candrak¯ırti’s
portant festivals, observed until the final Chinese takeover of
(seventh century) interpretation of emptiness—called the
Tibet in 1959. It also marks a turning point in Tsong kha
Consequentialist, or Pra¯san˙gika (thal Egyur pa), interpreta-
pa’s life, initiating a period of more public engagement, and
tion—was for Tsong kha pa the highest expression of the
one of greater concern with the institutionalization of his tra-
Buddha’s philosophical view (lta ba). Tsong kha pa saw emp-
dition.
tiness as a corollary of the Buddhist doctrine of dependent
The spectacle of the Great Prayer Festival brought even
arising (rten Ebrel), and this became a hallmark of his analysis
greater prominence to Tsong kha pa. With the help of pa-
of “Middle Way” (Madhyamaka) philosophy. All told,
trons, he founded in 1409 the monastery of Dga’ ldan, an
Tsong kha pa’s collected works comprise about seventeen
institution that would become his principal seat (and that of
volumes.
his successors). He remained chiefly at Dga’ ldan, giving ex-
As is obvious from Tsong kha pa’s own life, study, learn-
tensive teachings and composing principally tantric works
ing, and theory was only part of the equation. Equally impor-
from 1410 until 1416. The monasteries of EBras spungs and
tant was practice. As he states in a letter:
Sera, the other two “seats” (gdan sa) of the Dge lugs pa
school, were founded by two of Tsong kha pa’s disciples in
Over many years I strove to understand the meaning of
1416 and 1419, respectively. In 1419 Tsong kha pa took ill.
the [texts]. Based on that [understanding], and taking
He passed away at Dga’ ldan on the twenty-fifth day of the
as the basis [for practice] the safeguarding of the moral
discipline to which I had committed myself, I practiced
tenth Tibetan month. His body was preserved there in a gol-
many forms of accumulating [merit] and purifying [sin]
den reliquary, where it remained for over five hundred years
[bsag sbyang], and devoted myself to the cultivation of
until the monastery was bombed (and his tomb sacked) by
the various meditational objects that constitute the path
Chinese troops.
in its entirety. With this as the cause, I was able to
achieve insight into at least the rough features of the
TSONG KHA PA’S THOUGHT. Tsong kha pa believed himself
path of Su¯tra and Tantra.
to be following an intellectual and spiritual trajectory that ex-
tended from the Buddha, through the great scholar-adepts
Following in the footsteps of the Bka’ gdams pa masters,
of India and Tibet, up to his own time. Whether or not he
Tsong kha pa believed that moral discipline (tshul khrims),
saw himself as actually reviving the Bka’ gdams pa tradition,
epitomized by the monk’s life, was the basis for the practice
founded almost half a millennium earlier by the Indian
of both the su¯tra and the tantric paths. The later tradition
scholar-saint Ati´sa, Tsong kha pa’s early followers came to
maintains that so crucial was the practice of monasticism to
refer to themselves as the “New Bka’ gdams pa.”
him that he eschewed taking a consort—and thereby post-
poned his own enlightenment until the after-death, interme-
Conservative in his approach, Tsong kha pa believed
diate stage—so as to teach to his followers the importance
that the great texts of Indian Buddhism were the standard
of celibacy.
by comparison to which the authenticity of doctrines and
T
practices was to be judged. Bemoaning the fact that in his
HE CULT OF TSONG KHA PA. Like many Tibetan masters
of his day, Tsong kha pa came to be considered an emanation
day “those who strive at yogic practice have studied little,
(sprul pa) of a specific deity: in his case, Mañju´sr¯ı, the deity
while the learned are uninformed about the details of prac-
of wisdom. Iconographically, Tsong kha pa is most often
tice,” Tsong kha pa sought to steer the tradition back to its
represented as a monk wearing a pandit’s hat, with a text em-
Indian roots, grounding yogic practice in textual learning
anating from his left shoulder and a blazing sword (the sym-
and philosophical analysis. He believed that the essence of
bol of Mañju´sr¯ı) from his right shoulder. Tsong kha pa’s
Buddhism was not preserved in secret, oral lineages (man
apotheosis is celebrated in a variety of rites, arguably the most
ngag), but that it was instead publicly accessible in the writ-
famous of which is a visualization/recitation practice called
ings of the Indian Buddhist masters. His written work, there-
“The Hundred Deities of Dga’ ldan” (Dga ldan lha rgya ma),
fore, can be seen as an attempt to critically reappropriate the
that concludes with the recitation of a verse of homage to
Indian classics, and to show their relevance to practice.
Tsong kha pa called “The Object[less] Compassion [Verse]”
His writings are holistic and synthetic, characterized by
(dmigs rtse ma). The mantra-like “accumulation” (or repeti-
the impulse to harmonize all of the Buddha’s teachings into
tion) of the verse is a common practice, and is touted as effi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9388
TSUNG-MI
cacious in everything from curing illness to achieving en-
TSWANA RELIGION. Traditional religion among
lightenment.
the Tswana of the high veld of southern Africa centered upon
The cult of Tsong kha pa has taken more popular forms
the supreme being, Modimo, and ancestor spirits known as
as well. Pilgrimage to Dga’ ldan monastery (and to his tomb)
badimo. The fact that badimo is the plural form of modimo,
has always been a favorite practice among the laity and clergy
an honorific term used to express awe and reverence toward
alike. Devotees circumambulate the monastery, prostrate be-
elders as well as toward the supreme being, indicates that the
fore his tomb, and collect small pieces of dough that have
difference between Modimo, the ancestors, and human be-
been molded (and thereby blessed) by coming into contact
ings is one of degree rather than kind. While they occupy
with a relic of Tsong kha pa’s tooth. Finally, Tsong kha pa’s
different positions in a complex hierarchy of spiritual power,
death date is celebrated throughout Tibet in the religious fes-
all beings—whether spiritual or human—are intimately con-
tival called the “Dga’ ldan Offering of the [Twenty] Fifth”
nected with each other. As the Tswana Christian theologian
(Dga’ ldan lnga mchod), which culminates in offerings of but-
Gabriel Setiloane indicates, it is a basic premise of Tswana
ter lamps after nightfall. On this occasion, during a midwin-
thought that a representative is identical with the person
ter’s night, entire monasteries become filled with the flicker-
being represented or that a symbol is that which it symbol-
ing of butter lamps, making it one of the most beautiful
izes. Hence, the Tswana say, “Motho ke modimo” (“Man is
events in the Tibetan liturgical calendar.
modimo”), something that implies a far greater degree of in-
teraction than the English “There is something of the divine
SEE ALSO Buddhism, Schools of, article on Tibetan and
in every man” (Setiloane, 1976, p. 21).
Mongolian Buddhism; Mañju´sr¯ı; Worship and Devotional
Life, article on Buddhist Devotional Life in Tibet.
Modimo is believed to be the source and root of all exis-
tence. Intangible and all-pervasive, irreparably part of human
experience but not directly sensed, he is a source of appeal
BIBLIOGRAPHY
in times of affliction and the guardian of the moral order.
Various Tibetan-language editions of Tsong kha pa’s collected
The complexity of the Tswana concept of the supreme being
works (gSungs Ebum) have been preserved and published in
is best indicated by the wide range of praise names that are
India, China, and Japan. These remain the standard refer-
ences for his life and thought. In European languages, on
used to characterize him. Modimo is mme (“mother”) and
Tsong kha pa’s life, see Rudolf Kaschewsky, Das Leben des
lesedi (“light”), but he is also known as selo (“monster”) inso-
lamaistischen heilegen Tsongkhapa bLo-bzan˙-grags-pa (1357–
far as he possesses dangerous powers that go far beyond those
1419), Dargestellt und erläuert anhand seiner Vita: “Quellort
of normal humanity.
allen Glückes” (Wiesbaden, 1971), 2 vols; and Robert A. F.
Thurman, ed., The Life and Teachings of Tsong khapa
Because a person cannot come into direct contact with
(Dharamasala, India, 1982). The latter work also contains
Modimo and remain unchanged, the Tswana have recourse
translations of some of Tsong kha pa’s minor works. The last
to the badimo, ancestors who act as intermediaries between
two decades have seen the translation of some of Tsong kha
humanity and the supreme being. Closely involved in every-
pa’s major works. The Lam rim chen mo, arguably his most
day life, the badimo function to preserve harmony in social
important work, has now been translated as The Great Trea-
relations and to ensure the fertility of humans, animals, and
tise on the Stages of the Path to Enlightenment: Lam rim chen
crops. Their attitude toward humans is basically parental—
mo by Joshua Cutler, Guy Newland, et al. (Ithaca, N.Y.,
looking to the welfare of the community as a whole, they
2000–2003), 3 vols. Tsong Khapa’s Speech of Gold in the Es-
seek to correct faults and protect their descendants from
sence of True Eloquence, translated by Robert A. F. Thurman
harm. In return, they expect tirelo (“service”). The essence
(Princeton, 1984), is a translation of Tsong kha pa’s Legs
of tirelo is the sharing of benefits with others. The badimo
bshad snying po; this work has also partially been translated
in Jeffrey Hopkins’s Emptiness in the Mind-Only School of
are said to love company and are especially gladdened by
Buddhism (Berkeley, 1999). Tantra in Tibet and Deity Yoga
feasts. Whenever food or beer is prepared, a portion is set
(both Ithaca, N.Y., 1987) are translations by Jeffrey Hopkins
aside or poured on the ground for the badimo. This is done
of portions of the Sngags rim chen mo, with the commentary
to maintain their good favor, for without it, life cannot be
of the Dalai Lama. Tsong kha pa’s Six Yogas of Naropa (Ithaca,
kept in proper balance and lived to the full. When an indi-
N.Y., 1997) is Glenn Mullins’s translation of the Yid byes
vidual has neglected to honor the badimo, the Tswana say
gsum ldan, Tsong kha pa’s main work on this subject. Tsong
that he suffers from bolwetse, a term that covers both physical
kha pa’s Dbu ma dgongs pa rab gsal, his commentary to
illness and a range of other maladies. Principally, it indicates
Candrak¯ırti’s Madhyamaka¯vata¯ra, has been partially trans-
that an individual is in disharmony with the spiritual forces
lated by Jeffrey Hopkins in Compassion in Tibetan Buddhism
(including Modimo) that engender and sustain his existence.
(Ithaca, N.Y., 1980), and by Jeffrey Hopkins and Anne Klein
in Path to the Middle (Albany, N.Y., 1994).
The concern for the community as a whole that is a cen-
JOSÉ IGNACIO CABEZÓN (2005)
tral part of Tswana religion is expressed in the Tswana theory
of human personality, or seriti (pl., diriti). Each person is
born with a “heavy” or “light” seriti that can act for evil or
for good. If a child is born with a light seriti, it must be
TSUNG-MI SEE ZONGMI
strengthened and imbued with good intentions. Healthy seri-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TSWANA RELIGION
9389
ti brings dignity, respect, and properity; bad seriti causes ill
as husband and wife, parent and child, or brother and broth-
will and discord in the social realm. A father of a household
er, who are overcome by feelings of greed, envy, or ven-
or a chief with good seriti strengthens the diriti of those who
geance. Bongaka, therapy performed by the various dingaka,
live in the house or chiefdom and vice versa. Because a man’s
is essential to the prevention of sorcery.
seriti pervades much of his world, if he does wrong, his chil-
dren, crops, or animals may suffer. Also, insofar as seriti origi-
Contemporary Tswana religion can only be explained
nates from the badimo and is upheld by them, it functions
in light of the tragic history of the people since the beginning
as a spiritual force that knits together social and spiritual rela-
of the nineteenth century. The impact of Western civiliza-
tions.
tion coincided with the beginning of the nineteenth century,
and chaos reigned in Tswanaland from 1810 until 1840. The
In times of suffering, people have access to religious spe-
first Christian mission was established in 1816 and four oth-
cialists, or “doctors,” known as dingaka (sg., ngaka). Both
ers were set up in the next thirty years; by 1870, missions
men and women can become doctors. There are six kinds of
had spread throughout Tswanaland. The dispersal of Tswana
doctors in Tswana society, each classified according to the
groups—both by the onslaught of marauding refugees result-
various divinatory and medicinal skills that he or she possess-
ing from the Zulu expansion known as the Mfecane and by
es. The best known, however, are the “horned” and the
the Boers, who took Tswana lands and subjected the people
“hornless” doctors. The horned doctors divine by interpret-
to forced labor—greatly weakened orthodox religious prac-
ing the pattern created by the throwing of four tablets, which
tices. The Boers drove the Tswana into reserve pockets of
represent an older and younger male and an older and youn-
land in the Transvaal, the northern Cape of Good Hope, the
ger female, or of pairs of astragalus bones, which represent
Orange Free State, and the territory that became the Bot-
the male and female of every common animal species. The
swana state. Here, the remnants of once cohesive groups re-
hornless doctors divine by examining the patient. There are
combined into artificial units.
few doctors today and their practices, though still common,
are officially illegal.
The Tswana have therefore been subjected to a great
deal of pressure and turmoil inimical and destructive to their
Human suffering is largely caused by incurring the dis-
own religion. The official religion of most Tswana groups is
pleasure of the badimo or by the actions of sorcerers. The
now Christianity. Although the public rituals of the indige-
complex Tswana term boloi, often translated as “sorcery” or
nous religion are seldom encountered, the more private and
as “magic,” refers to both of these occurrences. There are two
individualized practices of witchcraft, sorcery, and tradition-
kinds of boloi that are socially constructive: boloi of the heart
al healing persist strongly, even among Christians. The rela-
and of the mouth. Both involve offenses against a senior
tionship between old and new beliefs is complex; much more
member of the kin group. If the senior member is slighted
of the former may remain than meets the eye. As Setiloane
in some way, it is believed that he “puts the badimo” on the
points out, many zealous and longstanding Christians have
offender. The senior member need not be conscious of ill will
never given up the old worldview but have instead fitted
toward the offender. In response to the offense, the badimo
Christianity into it. A number of traditional religious skills
withdraw their support from the offender’s seriti in order to
and rituals, including pha badimo, a thanksgiving ritual that
call attention to his fault, and he is then susceptible to disease
is performed to show gratitude to the badimo, continue to
and other malign influences. Because of the encompassing
play an important role in Tswana Christianity. The new so-
nature of his seriti, much of his world is similarly threatened.
cial, political, and economic order brought about by the co-
In order to restore proper relations within the community
lonial system had more impact in christianizing the Tswana
(which includes the badimo), the offender provides an animal
than the missionaries’ religious teaching, which was too bla-
for slaughter; after it has been killed, the senior member uses
tantly contradicted by the harsh oppression and racism of
a mixture of chyme and aloe to “wash” the offender and
southern Africa to carry conviction.
strengthen his seriti.
The fundamental belief in the supreme being and the
Two other types of boloi exist that are unquestionably
badimo continues to inform convictions about the earth and
evil. Boloi ba bosigo (“night sorcery”), which seems to be a
home as sacred and holy as well as attitudes toward cattle,
form of witchcraft rather than sorcery, refers to the belief that
which still have strong emotional, religious, and practical
certain witches (usually elderly women working in covens)
value, for they form the basis of important transactions be-
cavort at night and cause mischief. Essentially tricksters, such
tween Tswana. Such exchanges continue to provide a bind-
witches gather naked, enter houses through closed doors and
ing conception of marriage, paternity, kinship, and family
windows, upset pots, suck milk from nursing mothers or
bonds that Christianity cannot replace. Initiation ceremo-
cows so that their yield is insufficient, exhume new corpses,
nies, with their acutely emotional and religious accompani-
and use owls as sentinels and hyenas as steeds. Day sorcery
ments, also retain central and unassailable roles, as they in-
(boloi ba motshegare) is much more serious. It involves the
duct the young into the profound continuities and
purposeful manipulation of material substances for evil
solidarities of community life, earth, kin, and cattle. These
ends—usually to inflict disease or death upon a particular in-
values can still give a fundamental sense of psychological se-
dividual. Sorcerer and victim are often close relatives, such
curity, personal adequacy, and proper place in the cosmic
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9390
TUATHA DÉ DANANN
scheme of things, and they function as an anchor in the
THE BATTLES OF MAGH TUIREDH. In the pseudo-historical
stormy upheavals that afflict the Tswana in southern Africa
framework of Leabhar Gabhála Éireann the Tuatha Dé are
in the early twenty-first century.
the fifth group to invade Ireland, conquering the previous
settlers in the First Battle of Magh Tuiredh. After losing an
BIBLIOGRAPHY
arm in that combat, the Tuatha Dé king Nuadhu (subse-
Brown, J. T. Among the Bantu Nomads: A Record of Forty Years
quently called “Silverhand” for his artificial silver arm) re-
Spent among the Bechuana. London, 1926.
signs the kingship. The Tuatha Dé form an alliance with the
Mackenzie, John. Ten Years North of the Orange River: A Story of
Fomhoire, and Nuadhu’s successor is the half-Fomorian,
Everyday Life and Work among the South African Tribes from
Bres, whose rule proves oppressive. After Bres flees to his
1859–1869. Edinburgh, 1871.
Fomhorian kinsmen for reinforcements, Nuadhu (his natu-
Pauw, B. A. Religion in a Tswana Chiefdom. London, 1980.
ral arm miraculously reattached) is reinstated and invites
Schapera, Isaac. The Tswana. London, 1953.
Lugh, who is skilled in every art, to prepare the Tuatha Dé
for war. Lugh’s strategies are successful, and against great
Setiloane, Gabriel M. “How the Traditional World View Persists
odds the Fomhoire are defeated in the Second Battle of
in the Christianity of the Sotho-Tswana.” In Christianity in
Magh Tuiredh.
Independent Africa, edited by Edward Fashole-Luke et al.,
pp. 402–413. Bloomington, Ind., 1978.
The subsequent treaty brings the Tuatha Dé specialized
Willoughby, W. C. The Soul of the Bantu. London, 1928.
knowledge about agriculture, offered by Bres in exchange for
New Sources
his life and the end of Fomhorian aggression. After a long
Setiloane, Gabriel M. The Image of God among the Sotho-Tswana.
and peaceful rule, the Tuatha Dé are defeated by the Sons
Rotterdam, 1976.
of Míl, legendary ancestors of Ireland’s present inhabitants.
The Tuatha Dé Danann retreat into Ireland’s lakes and hills
AIDAN SOUTHALL (1987)
Revised Bibliography
and into pre-Celtic sacred mounds, such as Newgrange, and
their association with magical underground dwellings (sídhe)
survives in beliefs about the fairies of later folk tradition. The
Sons of Míl receive sovereignty over the surface of the land
TUATHA DÉ DANANN. The Tuatha Dé Danann
after promising that Ireland will continue to bear the names
are the gods of pagan Ireland whose social order reflects the
of three territorial goddesses, including Ériu (hence the name
structure and values of early Irish society and includes poets
Erin).
and storytellers, kings and warriors, and practitioners of
other professions and crafts. The name Tuatha Dé Danann
FUNDAMENTAL CHARACTERISTICS. The Second Battle of
(The Tribes or Peoples of the Goddess Danu) may originally
Magh Tuiredh reveals fundamental characteristics of leading
have been simply Tuatha Dé—meaning simply the Tribes
members of the Tuatha Dé when Lugh, practitioner of all
or Peoples of the Gods or of the Goddess—with Danann a
the arts, asks how each will help defeat the Fomhoire. As a
later addition. Both Danu (genitive, Danann) and Anu are
royal surrogate, whose many arts give him a rank equal to
identified as personal names of the goddess of warfare and
that of a king, Lugh both coordinates the preparation for bat-
destruction known as the Morríghan (Great Queen or Phan-
tle and leads the Tuatha Dé to victory after Nuadhu is slain.
tom Queen), wife to Eochaidh Ollathair (Great Father), also
Oghma, the strongman and champion, brings prowess as a
called the Daghdha (Good God). Danu may, however, once
warrior. Dian Cécht, grandfather of Lugh, serves as physician
have been a separate figure, parallel to the Welsh Dôn and
to the wounded. Goibhniu (“Smith”) manufactures swords
Indic Danu, mother of the gods. The Tuatha Dé Danann
and spears. Eochaidh Ollathair, the “god of druidry,” is a fig-
war against and intermarry with the Fomhoire, a supernatu-
ure of extreme sexual potency (symbolized by his three testi-
ral people associated with the sea, much as the Indic Devas
cles) and is known for his great strength, skill with a club as
and Asuras are both foes and kin.
well as a sword, and mastery of magical arts. Morríghan, the
goddess of battle who can take the form of a crow, deter-
Sources for information about the Tuatha Dé Danann
mines the outcome of battles and can ensure victory through
include Leabhar Gabhála Éireann (The book of the taking
verbal magic. Other Tuatha Dé women appear as experts in
of Ireland), a compendium of medieval prose and poetry as-
magical practice, in the arts of warfare, in healing, and as arti-
sociating legendary settlements of pre-Christian Ireland with
sans. Lugh’s muster includes many other major and minor
classical and biblical chronology and presenting the gods as
deities, some with highly specialized skills, facilitating com-
mortals descended from Noah. Additional sources, in which
parisons with other Indo-European divine societies.
the Tuatha Dé are often explicitly called gods and goddesses,
include texts whose language often reflects many chronologi-
Tales about the gods illustrate early Irish social institu-
cal layers, some as early as the eighth century. These sources,
tions and beliefs and were sometimes used as leading cases
including mythic and epic narratives, glossaries, and place-
in native Irish law. Members of the Tuatha Dé Danann are
name lore, show elaboration and reshaping in response to
cited as sources of specialized professional knowledge and are
cultural and political changes including those arising
recognized as initiators of cultural practices. The Daghdha’s
through Viking and Norman influences.
daughter Brígh (Brighid), for example, is identified as the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TUCCI, GIUSEPPE
9391
first to keen (lament the dead) in Ireland when she mourns
TUCCI, GIUSEPPE (1894–1984), Italian scholar of
her son who was slain in battle. This goddess, whose name
Asian religions. Giuseppe Tucci was born in Macerata in the
is linked to healing and smith craft as well as to poetry, is
Marche region of Italy on June 5, 1894, and died on April
also associated with domestic animals, and the folk practices
5, 1984, in his house in San Polo dei Cavalieri, near Tivoli,
connected to the cult of Saint Brighid may reflect early be-
in the province of Rome. Tucci fought during World War
liefs about Brígh’s influence over crops and herds. Her hus-
I, and after the war he graduated from the University of
band, Bres, is associated with agricultural and pastoral pros-
Rome (1919). From 1925 to 1930 he resided in India, teach-
perity. Laws addressing legal liabilities for illness and injury
ing Chinese and Italian at the universities of Santiniketan
are attributed to Dian Cécht, who is invoked in early healing
and Calcutta. In 1929 Tucci was elected to the Accademia
charms; his daughter, Airmedh, was reportedly the first to
d’Italia, and in 1930 he accepted the chair of the department
recognize all healing properties of herbs. Lost laws associated
of Chinese language and literature at the Istituto Universi-
with smith work and other crafts are attributed to Goibhniu
tario Orientale of Naples. He then accepted the chair of the
and other craftsperson deities.
department of religion and philosophy of India and the Far
K
East at the University of Rome (1932), where he remained
INGS AND GODDESSES. Sovereignty, a key theme in mythic
and epic tales involving the Tuatha Dé, is often represented
until his retirement in 1969.
by the relationship between the king (divine or human) and
In 1933 he was instrumental in the founding of the Isti-
the goddess of the land he rules. Many women of the Tuatha
tuto Italiano per il Medio ed Estremo Oriente (IsMEO), the
Dé serve as goddesses of territorial sovereignty and are associ-
first president of which was Tucci’s colleague and friend Gio-
ated with sacred wells and rivers and with the land of Ireland
vanni Gentile. Tucci himself was president of the institute
itself. Tales surrounding Édaín, who becomes the wife of
from 1947 to 1978; from 1979 he was its honorary pres-
Midhir of Brí Léith, explore aspects of kingship and the nec-
ident.
essary presence of the queen—whether she is seen as divine
He was the editor of several periodicals, including Alle
or as a symbol of the sovereignty of the land. Midhir woos
fonti delle religioni from 1921 to 1924, Bollettino del’IsMEO
Édaín through several reincarnations and finally reclaims her
(which became Asiatica in 1935) from 1933 to 1943, Le
from her mortal spouse Eochaidh Airemh, king of Ireland.
scienze del mistero e il mistero delle scienze in 1946, and East
Interaction between the gods and human society often oc-
and West from 1950 to 1984. He founded many series of
curs when sovereignty is in jeopardy. For example, in the
scholarly publications of the IsMEO, such as the “Serie
tragic destruction of Conaire Mór, a king descended from
Orientale Roma” (the first fifty-two volumes of which he ed-
Édaín, the people of the sídhe surround him at the time of
ited) in 1950, “Reports and Memoirs” (documenting re-
his death.
search) in 1962, and “Restoration” in 1969. From 1950 to
1973 he directed the series “Il nuovo Ramusio,” published
SEE ALSO Celtic Religion, overview article; Fomhoire; Lugh.
by the Libreria dello Stato. He edited many other works
meant to diffuse and popularize knowledge about Asian civi-
BIBLIOGRAPHY
lizations.
Gray, Elizabeth A. Cath Maige Tuired: The Second Battle of Mag
Tuired. Irish Texts Society, vol. 52. Leinster, Ireland, 1982.
Tucci’s scholarly research was complemented by his
Provides text and translation, contains extensive indices of
field explorations—he was, perhaps, the last of the great ex-
references to the Tuatha Dé Danann and Fomhoire in early
plorers—as well as by his impassioned interest in the con-
and later medieval Irish literature.
temporary Asian world. The six years he spent in India were
Mac Cana, Proinsias. Celtic Mythology. New York, 1970; reprint,
fundamental in his life, as were his eight expeditions to Tibet
1973. Succinct, authoritative and comprehensive survey, ex-
(1929–1948), his six expeditions to Nepal (1950–1954), and
tensively illustrated with photographs of significant items of
his missions of exploration to Pakistan (starting in 1955), Af-
Celtic material culture, includes chapters on the Tuatha Dé
ghanistan (1957), and Iran (from 1959); Tucci continued to
Danann and on the Irish heroic tradition.
conduct archaeological research on field explorations such as
Mac Neill, Máire. The Festival of Lughnasa. 2 vols., 2d. ed. Dub-
these until 1976.
lin, 1982. Provides an extensive discussion of both learned
The highest honors of the countries of Afghanistan,
and popular literary sources related to Lugh and details folk
Japan, India, Indonesia, Iran, Nepal, Pakistan, and Thailand
customs associated with the celebration of Lughnasa.
were conferred upon Tucci. He received honorary doctorates
Rees, Alwyn, and Brinley Rees. Celtic Heritage: Ancient Tradition
from many European and Asian universities, including those
in Ireland and Wales. London, 1961. Far-reaching and ahead
of Delhi, Kathmandu, and Tehran; he was given various aca-
of its time, this work explores the range of Celtic mythic tra-
demic and scientific titles in Italy (from the Accademia
dition in the Indo-European context, including references to
d’Italia, the Accademia delle Scienze of Turin, the Ac-
the work of Georges Dumézil, with exhaustive notes that
cademia of San Luca, and the Società Geografica Italiana),
provide access to both specialist studies and more general
in Austria (from the Österreichische Akademie der Wissen-
works.
schaften), in France (from the Société Asiatique), in Germa-
ELIZABETH A. GRAY (2005)
ny (from the Deutsches Archäologisches Institut), in Japan
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9392
TUCCI, GIUSEPPE
(from the Imperial Academy and the To¯yo¯ Bunko), in India
works, among which are Santi e briganti nel Tibet ignoto
(from the Asiatic Society of Calcutta and Vishvabharati Uni-
(1937), Forme dello spirito asiatico (1940), Asia religiosa
versity of Santiniketan), and in England (from the British
(1946), Tra giungle e pagode (1953), To Lhasa and Beyond
Academy and the Royal Asiatic Society).
(1956), The Discovery of the Mallas (1962), La via dello Swat
(1963), Il trono di diamante (1967), Tibet, Land of Snows
Tucci received many international prizes, including the
(1967), and Rati-L¯ıla¯ (1969).
gold medal of the Calcutta Art Society (1965), the Sir Percy
Sykes Memorial Medal (1971), the medal for archaeology of
Many of Tucci’s minor writings are collected (partially
the Academy of Architecture of Paris (1972), the Jawaharlal
revised by him) in his Opera Minora (1971) published by the
Nehru Award for International Understanding (1976), and
Oriental School of the University of Rome. The Istituto Un-
the Balzan Prize for History (1979). The Jawaharlal Nehru
iversitario Orientale of Naples dedicated two volumes of
Award was always especially dear to Tucci because of his
Asian studies to him titled Gurura¯jamañjarika¯: Studi in onore
friendship with Nehru and his ties with great figures of mod-
di Giuseppe Tucci (1974), and the IsMEO published an in-
ern India such as Rabindranath Tagore, Sarvepalli Radhakr-
ternational collection of Asian studies in three volumes dedi-
ishnan, and Mohandas K. Gandhi.
cated to Tucci’s memory, titled Orientalia Iosephi Tucci
Memoriae Dicata (1985–1988).
The entire Indian subcontinent and Tibet were the
main areas of Tucci’s interest as a scholar and explorer. A
complete bibliography of his works contains 360 titles, in-
BIBLIOGRAPHY
cluding many dozens of books, about two hundred articles,
On May 7, 1984, the Istituto Italiano per il Medio ed Estremo
numerous encyclopedia entries, reviews, and so on. His re-
Oriente solemnly commemorated its founder with the publi-
search actively touched on many fields other than Indian and
cation of my Giuseppe Tucci (Rome, 1984); an English ver-
Tibetan studies, however, and he focused especially on the
sion of this work, accompanied by an updated bibliography
study of religious and philosophical thought and on histori-
of Tucci’s writings, appeared under the title “Giuseppe
Tucci” in East and West, n.s. 3 (1984): 11–12 and 23–42.
cal investigation. His interest in the latter field led him to
A year after Tucci’s death, the institute published Ricordo di
study the archaeology of Hindukush and Iran; this study was
Giuseppe Tucci (Rome, 1985) by Raniero Gnoli with contri-
also inspired by his perennial interest in the various points
butions from Luciano Petech, F. Scialpi, and G. Galluppi
of encounter of the great Asian civilizations of the Himalayan
Vallauri; this work includes a biographical note, a discussion
regions, Northwest India, Pakistan, and Afghanistan.
of Tucci’s cursus honorum and his scholarly concerns, and a
bibliography.
He undertook his studies of China primarily during the
first stage of his scholary activity in works such as Scritti di
Short commemorative notices have been published in various sci-
Mencio (1921), Storia della filosofia cinese antica (1922), and
entific reviews, including S. Cleuziou’s in Universalia 1984
Saggezza cinese (1926). At any rate, the most important ob-
(the annual supplement of the Encyclopaedia Universalis),
ject of his studies was Buddhism in the various forms it had
pp. 614–615; P. Corradini’s in Mondo cinese 45 (1984):
101–105; Mircea Eliade’s in History of Religions 24 (1984):
taken as it expanded from India toward Tibet, Central Asia,
157–159; K. Enoki’s in Tohogaku 68 (1984): 127–154; Lu-
China, and the Far East. Tucci interpreted Buddhism as the
ciano Petech’s in the Journal of the International Association
highest form of Asian humanism. Always in search of univer-
of Buddhist Studies 7 (1984): 137–142; B. J. Staviskij’s in
sal values in a humanistic perspective, Tucci felt that the his-
Narody Azii i Afriki 1 (1985): 213–214; M. Taddei’s in
tory of Asia was closely interconnected with that of Europe,
AIUON 44 (1984): 699–704; and R. Tamburello’s in Il
and he thus always considered Eurasia to be a single conti-
Giappone 24 (1984): 211–213.
nent in cultural as well as geographical terms.
A special commemorative issue (no. 2) of India Past and Present:
His most important scholarly works are Linee di una
A Biannual Journal of Historical Research (Bombay, 1985), is
storia del materialismo indiano, 2 vols. (1923–1929); Indo-
dedicated to Tucci and contains (pp. 3–11) an editorial on
Tibetica, 6 vols. (1932–1941); Tibetan Painted Scrolls, 2 vols.
his life and work. Corrado Pensa’s study “L’occidente e le re-
(1949); Teoria e pratica del Mandala (1949); The Tombs of
ligioni orientali nella prospettiva di Giuseppe Tucci,” in
Paramita: Quaderni di Buddhismo 16 (1985): 19–25, deals
the Tibetan Kings (1950); Minor Buddhist Texts, 2 vols.
with the West in relation to Eastern religions following the
(1956–1958); The Religions of Tibet (1970); The Ancient Civ-
perspective of Giuseppe Tucci.
ilization of Transhimalaya (1973); and On Swa¯t: The Dards
and Connected Problems (1977).
New Sources
Melasecchi, Beniamino, ed. Giuseppe Tucci nel centenario della
Endowed with vast humanistic knowledge and intensely
nascita. Rome, 1995.
interested in religious and philosophical thought, Tucci pos-
sessed great erudition, extraordinary knowledge of languages,
Tucci, Giuseppe. On Swat: Historical and Archaeological Notes.
and philological skill. He knew Sanskrit and Tibetan in
Rome, 1997.
depth, and also had significant knowledge of Chinese and
GHERARDO GNOLI (1987)
Pali (and other Indian languages). Nevertheless, he did not
Translated from Italian by Rodica Blumenfeld-Diaconescu
disdain the public at large, to whom he addressed many
Revised Bibliography
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TUNGUZ RELIGION
9393
TU KUANG-T’ING SEE DU GUANGTING
SEE ALSO Bhakti; Hindi Religious Traditions; Poetry, article
on Indian Religious Poetry; Ra¯ma¯yan:a.
TULS¯IDA¯S, late medieval Indian poet whose plays and
BIBLIOGRAPHY
Hill, W. Douglas P., trans. The Holy Lake of the Acts of Ra¯ma
other works have had great influence on Hindu devotional-
(1952). Reprint, Oxford, 1971.
ism, especially in communities that make Ra¯ma the focus of
worship. Despite his great popularity, or perhaps because of
McGregor, Ronald S. Hindi Literature from Its Beginnings to the
it, very little accurate information is available about the life
Nineteenth Century. Wiesbaden, 1984.
of Tuls¯ıda¯s. There is abundant material about him in the
Tuls¯ı Das. Kavita¯vali. Translated and with a critical introduction
form of hagiographies and oral legends, but these legitimize
by Raymond Allchin. London, 1964.
his saintly life and the holy nature of his literary works rather
New Sources
than record the actual events of the biography.
Lutgendorf, Philip. The Life of a Text: Performing the Ramcarit-
While there is disagreement as to the date of Tuls¯ı’s
manas of Tulsidas. Berkeley, 1991.
birth, his death is generally agreed to have occurred in 1623.
VELCHERU NARAYANA RAO (1987)
The traditionally accepted date of his birth is 1503, which
Revised Bibliography
would mean that he lived for 120 years. This is logical from
the point of view of his hagiographers, because the full life
span of a sinless human being is believed to be 120 years.
TUNG CHUNG-SHU SEE DONG ZHONGSHU
Modern scholars consider that he was born probably in 1532
to a brahman family in an eastern Hindi-speaking area. In
his Kavita¯vali, Tuls¯ı writes that he was born to a very poor
family and that his father and mother did not welcome his
TUNGUZ RELIGION. The peoples of Siberia speak-
birth. It is believed that he was born under an unfortunate
ing Tunguz languages numbered 65,900 persons, according
conjunction of planets, which meant that for astrological rea-
to the 1989 census of the U.S.S.R. The most numerous of
sons his parents had to abandon him.
them are the Evenki (30,000) and Eveny (17,000), who are
collectively called Tunguz in the older literature. Sometimes
Tuls¯ı says that in his childhood his mind was always on
the ethnonym Lamut (“sea person”) is employed, applying
Ra¯ma, but that he later fell into the ways of the world. Some-
only to certain groups of Eveny. The close racial and cultural
time during his life Tuls¯ı went to Banaras, where he lived
relationship of these two peoples makes it possible to exam-
until his death.
ine their beliefs in the framework of a single system, which
In 1574 Tuls¯ı began the composition of his most re-
may be designated “Tunguz religion.” Other peoples speak-
nowned work, the Ra¯mcaritma¯nas, or The Holy Lake of the
ing Tunguz languages are the Nanay (Goldi; 12,000), Ulchi
Deeds of Ra¯ma. Tuls¯ı became famous through this work, and
(3,200), Udege (1,900), Oroki and Orochi (1,200), and
he himself remarks in his Kavita¯vali that “the world even lik-
NegidalDtsy (600). They represent a special cultural area, ex-
ens me to the great sage Va¯lm¯ıki.” In addition to the
tending as far as the basin of the lower Amur River and Sa-
Ra¯mcaritma¯nas and the Kavita¯vali, at least ten other works
khalin Island, that includes the ancient cultural legacies of
can be ascribed to Tuls¯ı with certainty. Chief among them
the Ainu and Nivkhi (Giliaks) and the inhabitants of north-
are Vinay-patrika, Doha¯vali, and G¯ıta¯vali.
eastern China. A common religion has long been the primary
As a poet, Tuls¯ıdas combines the grandeur and the maj-
factor uniting the atomized society of Tunguz hunters who,
esty of Sanskrit with the lyrical grace and power of Vraj (or
in small groups, mastered the vast space of taiga and tundra
Braj) Bha¯s:a¯, a dialect of Hindi. A master of alliteration and
between the Yenisei River on the west and the Sea of Ok-
rhythm, Tuls¯ı also shows great restraint in his use of words,
hotsk on the east and between the Arctic Ocean on the north
blending the epic and the lyric styles. His choice of dialect
and Lake Baikal on the south.
and style was not in conformity with the scholarly standards
The periodic religious ceremonies of the Tunguz are
of his time. Tuls¯ı describes himself as pra¯krit kavi
closely tied to their mythology, and in several instances they
(“uncultivated poet”), and from a scholarly viewpoint his
directly reproduce myths of creation and of the heroic deeds
language was gra¯mya—of the village, uncultured. Yet because
of their first ancestors, beginning with the words
of its poetic excellence, Ra¯mcaritma¯nas was the most revered
tarnïmnga¯ka¯ndu biˇcen (“this was in nimnga¯ka¯n”). The term
of all Hindi texts both by scholars and by ordinary people.
nimnga¯ka¯n means “myth, tale, legend; warm fairyland; bear
The greatest achievement of Tuls¯ı lies in making the
ritual; shamanic séance.” Each group of Tunguz has a myth
popular devotional style acceptable to the orthodox Hindu
on the creation of bugha—its own inhabited territory. Bugha
community and the philosophical interpretations of the high
has a variety of meanings: “locality, world, native land; cos-
culture accessible to ordinary people. His reinterpretation of
mos, sky, earth; spirit master of the upper world/lower
the Ra¯ma¯yan:a, based on the Sanskrit Adhya¯tma-Ra¯ma¯yan:a
world/hunt, God, devil; paradise, hell; icon.” The Tunguz
and Bhusundi-Ra¯ma¯yan:a, revolutionized the nature of the
also use this term to designate the entrance into a bear den
epic and transformed it into a popular devotional poem.
or a small hut made of young larches with small figures of
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9394
TUNGUZ RELIGION
beasts and birds placed therein in preparation for shamanic
sun. Having caught up with his prey, the bear returns the
performances. The basic meanings of the term bugha em-
sun to its place. Both protagonists in this myth form the con-
brace, in this way, notions of the creator, creation of the
stellation of Ursa Major, the Big Dipper, in Tunguz cosmol-
world, and of a model of the world. For designating the deity
ogy (Chichlo, 1981, pp. 39–44).
of the upper world the Tunguz also use the names Mayin,
This myth of the heavenly (or cosmic) hunt was reenact-
Ekseri, Seweki, and Amaka. The first of these names is tied
ed by the Tunguz during the greatest festival of the year,
to the concept of “success” or “hunting luck,” whereas the
Ikenipke (a name derived from the word ike, “to sing”),
last is a kinship term referring to representatives of the older
which took place in a specially constructed cone-shaped
age groups: “grandfather, father, uncle,” and, in general, “an-
dwelling (zˇumi), whose name designates not only “house,
cestor.” The word amaka also has other meanings: “bear;
household, or family” but also “bear den” and uterus ani-
God; sky.”
malis. In the center of this dwelling is placed a pole called
According to the perceptions of the Tunguz, the upper
Tuuruu, along which Ekseri, the spirit of the upper world,
world (ughu bugha) is connected to the middle world (dulu
and Hargi, the spirit of the lower world, travel in order to
bugha) through the North Star, termed bugha sangarin, “sky
hold conversations with the shaman. The festival, which may
hole.” In turn the middle world is also connected to the
be called the Tunguz New Year, consists of eight days of
lower world (hergu bugha) through an opening within it. In
dancing, singing, and pantomine. The people, led by the sha-
the nimnga¯ka¯n the first ancestors were able to move between
man, would move inside the zˇumi in a circle in the direction
all three levels of the world. Thereafter this became the privi-
of the sun’s movement as they traveled up the river Engzˇekit
lege of the shamans, who use for this purpose Tuuruu, the
behind an imaginary reindeer. In his song, the shaman would
Tunguz variant of the World Tree, or its equivalent.
describe all the details of the travel, which lasted a year—all
Engzˇekit, the mythical river called “the place that no one
the animals, spirits, and obstacles encountered. At the end
sees.” It flows from the place termed Timanitki (“toward
of the festival the men would shoot from a shamanic bow
morning; east”), transects the middle world, and enters into
at wooden reindeer figures, shattering them into pieces that
the place called Dolbonitki (“toward night; north”), beyond
each man kept until the next festival.
which stretches the realm of the dead, Bunikit or Buni. Into
Other important shamanistic rituals of the Tunguz took
Engzˇekit flow the many branch rivers of individual shamans.
place in specially constructed dwellings in the taiga. With
Somewhere at the confluence of these tributaries with the
complex auxiliary structures, these represented a model of
mythical river are the Omiruk, territories inhabited by souls
the supernatural world. The first, nimnga¯ndek, signifies “the
(o¯m¯ı); these lands comprise the sacred wealth of each clan.
place where nimnga¯ka¯n is fulfilled.” The second, sevenˇcedek,
One of the myths associated with Engzˇekit tells of the
is “the place where a ceremony with seven is performed.”
origin of the first people, of reindeer, and of cultural objects
Among all Tunguz peoples, seven means “shaman’s spirit
from the various parts of the mythic bear’s body. He volun-
helper,” but this word is connected to one of the names of
tarily sacrificed himself to the heavenly maiden, who was car-
the high God, Sevek or Seveki, and to the taboo reindeer of
ried off on an ice floe in the current between the upper and
light coloring, sevek, which is also called bughadi oron, “heav-
middle worlds. In other myths the bear, representing the an-
enly reindeer.” The ritual of dedicating the chosen reindeer
cestor of one or another Tunguz tribe, is similarly depicted
as sevek is either independent or part of the ritual cycle in the
Ikenipke festival. From the moment of this dedication, the
as a culture hero, the creator of reindeer breeding, bequeath-
sevek serves only for the transport of sacred objects. After its
ing after his inevitable death the ritual of the Bear Festival.
death, this reindeer is laid out on a platform set up in a tree.
This festival, which is essentially the same among all the
Tunguz, is associated with the seasonal hunt of the animal
The word seven also signifies the ritual dish at the Bear
in its den, which takes place in early spring or late autumn.
Festival, which is prepared from rendered bear fat mixed
The most important detail of the Tunguz bear ceremony,
with finely chopped bear meat. Scooping the seven with a
which has an explanation in their religio-mythological per-
spoon, the hunter must swallow it without its touching his
ception of the world, is the way in which they handle the
teeth. This method of partaking of the body of the beast
bear’s eyes. Hunters, having cut off the head of the slain
deity is identical to the rules of handling bear eyes. The bold-
beast, take out its eyes with great care, seeking to touch them
est hunters may swallow them but only without touching
neither with a knife nor with their fingernails. Then they
them with their teeth; otherwise the hunter will become
wrap the eyes in grass or birch bark and carry them away into
blind. The meaning of these rules becomes more understand-
the forest, where they place them high in a tree. The Udege
able in light of the strong prohibitions associated with the
did this in the hope that the bear’s eyes might be illuminated
domestic hearth. The firewood and coals must not be stirred
by the first rays of the rising sun. In the tabooed language
with a sharp object, nor may broken needles be thrown into
of Tunguz hunters the bear’s eyes are called o¯s¯ıkta (“stars”).
the fire. Even to place a knife with its point toward the fire
The connection of the bear with heavenly luminaries is well
may put out the eyes of the spirit of the fire. This spirit, ac-
illustrated in a Tunguz myth in which the bear, named
cording to an Orochi myth, is a pair of bear cubs born from
Mangi, follows the reindeer or moose who had stolen the
the mating of a bear and a woman. According to the Evenki,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TUNGUZ RELIGION
9395
the bear is a culture hero who gave people fire. Reconstruct-
If the image is hit immediately, it becomes a singken. The
ing the Tunguz spirit of the domestic fire discloses his bisex-
dried parts of previously killed animals (hearts, jaws, noses),
ual nature, corresponding to an androgynous deity like the
which the hunter saves, are also guarantors of success. Cer-
bear. It is therefore understandable why hunters do not risk
tain groups of Tunguz began to call the spirit master of the
swallowing o¯s¯ıkta (“bear’s eyes”), preferring to return them
taiga Singken. The Evenki and Orochi conducted a Sing-
to the taiga. The luster of these “stars” on top of the World
kelevun ceremony in October, before the beginning of the
Tree assured hunting success, and the projections of the lus-
winter hunting season. It was performed among them as a
ter are the light and warmth of domestic hearths.
complex shamanistic ceremony consisting of several cycles.
When considered as a system, the myths, concepts, ritu-
For the preservation of human life, the Tunguz pre-
als, and customs of the Tunguz show what a large, if not cen-
pared special repositories of souls, which were “earthly” min-
tral, role the bear occupies. The most powerful shamans have
iature copies of o¯m¯ıruk found in the basin of the Engzekit
him as a guardian spirit. At the time of the séance they don
River in the upper world. The domestic o¯m¯ıruk are small
his skin, thus receiving power over all zoomorphic spirits,
boxes with little figurines placed in them. Each figurine holds
which they gather in the darkness of the sacred dwelling that
the soul of a person placed there by a shaman. Certain sha-
represents, in essence, the cosmic bear den. The moose as
mans placed tufts of hair from persons needing protection
well plays a significant role in the religious life of hunters and
in the o¯m¯ıruk. Such little boxes were strapped to the saddle
shamans, but its significance cannot be explained, as it is by
of the heavenly reindeer. The o¯m¯ı was evidently a reincarnat-
most scholars, by economic functions alone. It must be
ed substance circulating within the limits of a determined so-
noted that, according to myth, the moose emerges from the
cial group. Among the Nanay, for example, the o¯m¯ı lived in
bear’s fur and is, in consequence, part of him. And if Ursa
the form of small birds on the clan tree, from which they de-
Major is termed Heglen (“moose”) by the Tunguz, this de-
scended into women’s bodies. Depictions of these trees are
notes a shift of stress in the direction of one member of a bi-
still found on the robes of Nanay women today.
nary opposition composing the structure of the myth (and
In the case of frequent deaths of children, the shaman
constellation), in which prey and hunter can change places.
had to set out for the upper world, where he snared one of
In their ritual practice Tunguz shamans preferred to place
the soul birds and swiftly descended to earth. Evidence of his
this stress on the figure of the hunter, inasmuch as they con-
successful trip was a fistful of wool strands pressed together,
sidered Mangi, who tracked the cosmic moose, to be their
which he threw into a white handkerchief held up for him
forefather.
by an assistant during the séance.
Traces of the myth of the cosmic hunt in the religious
The traditional method of disposing of the dead among
life of Tunguz peoples still remain, as attested by ancient
the Tunguz was aerial: the body, washed in the blood of a
wooden disks of the Nanay that represent the sun (siu¯). On
sacrificial reindeer and clothed and wrapped in a hide, tent
the upper part of one of them is a drawing of a bear, and on
cover, or birch bark, was laid on a scaffold set up in the
the lower is the representation of a moose turned upside
branches of a tree. Coffins, when used, were made of hol-
down. The Nanay hung such disks on the door of a dwelling
lowed-out tree trunks and set upon tree trunks or on posts
or on a child’s cradle; to the shamans they were an indispens-
dug into the ground. The belongings of the deceased were
able accessory of their costume. Possessing healing and pro-
left with him, and his reindeer was strangled and left at the
tective functions, these disks are concise and expressive signs
place of burial. After christianization in the eighteenth centu-
of the fundamental myth of the beginnings of human histo-
ry, the Tunguz began to practice underground burial. How-
ry. In the Nanay culture area, the myth of the bear Mangi,
ever, the traditional ritual persists in the Siberian taiga even
who freed the sun from captivity, and the myth of the hunter
today.
Khado, who killed the excess suns, which were burning all
living things, came into contact with each other. Both myths
The Tunguz considered the cause of death to be the de-
are similar insofar as the Orochi, neighbors of the Nanay,
parture or theft by evil spirits of the beye soul, the name of
consider Khado the father of the shamanistic spirit Mangi,
which translates as “body.” In conducting the mourning cer-
the representation of which is on the shamans’ staffs.
emony for the dead a year later, the Tunguz sometimes pre-
pared a temporary “body” from a section of a tree trunk,
The Tunguz, whose livelihood depends upon success in
which they clothed in part with the deceased person’s cloth-
hunting, conducted simple ceremonies that gave the hunter
ing, provided with food, and bade farewell to forever. The
confidence in his own powers and in the benevolence of fate.
shaman, completing the conveyance of the deceased into
He could do without a shaman, having enlisted the support
Buni, asked him not to return again nor to disturb the living.
of the master spirit of a locality and having gained a personal
Among the Nanay, the initial conveyance of the deceased,
spirit helper. One of these rites is Singkelevun, “obtaining
termed Nimngan, took place on the seventh day. Here, the
singken (success).” This ritual appears to be the simplest imi-
deceased was represented by a bundle of his clothing, in
tation of the concluding ceremony of the Ikenipke rite: the
which the shaman placed the han Dan, the “shadow” soul of
hunter makes an image of a reindeer or a moose, takes it with
the deceased, which he had caught. This bundle of clothes
him into the taiga, and then shoots at it with a small bow.
was treated like the living for a period of three years, until
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9396
TUONELA
the final farewell with him at the large kasa memorial festival,
Paproth, Hans-Joachim. Studien über das Bärenzeremoniell: I.
lasting several days. But even here, under the unquestionable
Bärenjagdriten und Bärenfeste bei den tungusichen Völkern.
influence of Manchurian Chinese customs, the Nanay and
Uppsala, 1976.
other Tunguz peoples of the lower Amur region observed
Priroda i chelovek v religioznykh predstavleniiakh narodov Sibiri i
traditional division between the living and the dead. An an-
Severa. Leningrad, 1976. See especially the essays by S. V.
cestor cult did not unfold here nor, more forcibly, was it
Ivanov (pp. 161–188), N. B. Kile (pp. 189–202), and A. V.
characteristic of the Evenki and Eveny, the nomads of the
Smoliak (pp. 129–160).
Siberian taiga.
Shirokogoroff, S. M. Psychomental Complex of the Tungus. Beijing
and London, 1935.
Shamanism and the traditional religion of the Tunguz
have not totally disappeared, as is commonly believed, not-
Smoliak, A. V. Shaman: lichnostD, funktsii, mirovozzrenie. Mos-
withstanding atheist propaganda and prohibitions. As re-
cow, 1991.
cently as 1958, four nomadic Even communities, living in
Vasilevich, G. M. “Preshamanistic and Shamanistic Beliefs of the
isolation for more than thirty years in the mountainous for-
Evenki.” Soviet Anthropology and Archeology 11 (1972).
est-tundra of Magadan oblast, were headed by eight authori-
BORIS CHICHLO (1987 AND 2005)
tative shamans, one of whom was called by the honorific
Translated from Russian by Demitri B. Shimkim
Amanzˇa (Amaka). But, in spite of their forced settlement,
these Evens (Berezovka village, north-east of Yakutia) pre-
served their religious beliefs and behavior. Thus at the begin-
ning of October 2000, to cause a fall of snow waited so much
TUONELA, which means “the abode,” is the mythical
by the reindeers herders and the hunters of the village, a
place of sojourn for the deceased in the religious traditions
woman left her house with a bear skin, shook it vigorously,
among Finns, Karelians, Ingrians and speakers of many other
then suspended it outside. People of the village while arriving
Finnish-related languages. The word concerns a sacred place
in the taiga after the snowfall, achieved the following ritual:
in the otherworld, and is often used as a synonym of the
Men sacrificed a reindeer and a woman copiously coated
words for the netherworld (Manala, maanalainen: “under-
three selected larches with the blood of the animal. Then
world”) or for the mythical kingdom of the extreme north
they threw in fire some drops of vodka and pieces of meat.
(Pohjola: “Northern Land”). In oral epics, laments, and lull-
Thus they wanted to thank the spirits of the forest and to
abies it refers to “the home of the Tuoni,” where Tuoni refers
be ensured of their benevolence.
to the ruler of the world of the dead. The term tuonilmainen
refers to “the other air,” which is another term for the other-
SEE ALSO Bears; Shamanism.
world. A parallel Mansi word, tammaa (the otherworld) re-
fers to the final destination of the journey of the breathing
BIBLIOGRAPHY
spirit (lil) of the deceased one in the northernmost edge of
Anisimov, A. F. Religiia evenkov. Moscow and Leningrad, 1958.
the universe. The spirit flies to tammaa across the Arctic
Chichlo, Boris, “Ours—chamane.” Études mongoles et sibé-riennes,
Ocean in the shape of a migrating goose. In addition to its
12 (1981): 35–112.
meaning as the mythical geographical destination of the spir-
Delaby, Laurence. “Chamanes toungouses.” Études mongoles et si-
itual voyage of a soul, tuonela also refers to the filled grave
bériennes, 7 (1976).
of an individual dead person, as well as the entire village
Diószegi, Vilmos. “The Origin of the Evenki ‘Shaman Mask’ of
graveyard.
Transbaikalia.” Acta orientalia Academiae Scientiarum Hun-
Karelian, Ingrian, and Veps cemeteries at the Finnish-
garicae 20 (1967): 171–200.
Russian border provide a good example of the long-lasting
Diószegi, Vilmos. “The Origin of the Evenki Shamanistic Instru-
encounter between traditional folk belief and the deep influ-
ments (Stick, Knout) of Transbaikalia.” Acta Ethnographica
ence of Russian Orthodox Christianity. Small log huts were
Academiae Scientiarum Hungaricae 17 (1968): 265–311.
erected above the graves, with a window set at one end, to-
Diószegi, Vilmos, ed. Popular Beliefs and Folklore Tradition in Si-
wards the direction of home, to let in light, and also to enable
beria. Translated and revised by Stephen P. Dunn. Budapest,
the dead to look out and guard the life and behavior of rela-
1968. See especially the essays by V. A. Avrorin
(pp. 373–386) and G. M. Vasilevich (pp. 339–372).
tives at home for the benefit of family fortune and social con-
trol. A hole is made at another end through which the löyly
Diószegi, Vilmos, and Mihály Hoppál, eds. Shamanism in Siberia.
(breathing soul) can leave the grave to visit its former home
Budapest, 1978. See especially the essays by A. V. Smoliak
(pp. 439–448) and V. A. Tugolukov (pp. 419–428).
or to make its final journey to the home of the Tuoni in the
shape of a bird.
Lopatin, I. A. The Cult of the Dead among the Natives of the Amur
Basin. The Hague, 1960.
Similar huts have been found in the cemeteries of other
Mazin, A. I. Traditsionnye verovaniia i obriady evenkov-orochonov.
Finno-Ugric peoples (e.g., the Mordvins, Komi, and Mansi)
Novosibirsk, 1984.
in Russia. The custom of erecting huts in cemeteries was bor-
Michael, H. N., ed. Studies in Siberian Shamanism. Toronto,
rowed from the Russians, who erected similar house-shaped,
1963. See the essays by A. F. Anisimov (pp. 84–124) and G.
pitched-roof structures over their graves. (These structures
M. Vasilevich (pp. 46–84).
were forbidden by the tsarist government in the nineteenth
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TURKIC RELIGIONS
9397
century.) The cutting of trees and the breaking of twigs was
manic visions and journeys to the Land of the Dead. Lem-
forbidden in such places.
minkäinen, who appears in folklore as both a god and a sha-
man is an example of how traditional shamanic epics have
Scholars of Finnish folk beliefs, epics, and rituals (Mart-
been combined to include elements of Egyptian Osiris my-
ti Haavio, Uno [Holmberg-]Harva, Lauri Honko, Aili
thology.
Nenola-Kallio, Juha Pentikäinen, and Anna-Leena Siikala)
have emphasized the importance of death as the essential ele-
SEE ALSO Finnish Religions; Finno-Ugric Religions.
ment of Finnish culture. Within that culture the extended
family unit extended beyond those members still living on
BIBLIOGRAPHY
this earth and those who have died and passed on to the
Haavio, Martti. “Suomalaisten tuonela-kuvitelmia.” Kotiseutu,
“other air”: the realm of Tuoni. The deceased ones had
1939, pp. 65–67. A discussion of Finnish images of Tuonela,
strong power to enforce the values and norms of the society,
based on folk songs.
and could punish the living for violating taboos. The dead
Haavio, Martti. “Väinämöinen’s Journey to Tuonela.” In his Väi-
were believed to have the same needs as the living—clothing,
nämöinen, Eternal Sage, translated by Helen Goldthwait-
food, and work tools, so it was the duty of the living to pro-
Väänänen, pp. 83–105. Helsinki, 1952. The journey of Väi-
vide these necessities. Of special importance was the provi-
nämöinen, the chief protagonist of the Kalefala, to Tuonela.
sion of Tuoni footwear, in which the dead were dressed with
Holmberg, Uno. The Mythology of All Races, vol. 4: Finno-Ugric,
woolen socks. Women who died unmarried were given the
Siberian. Boston, 1927.
kerchiefs that married women wore, so that they could marry
Honko, Lauri. “Jenseitsvorstellungen.” In Wörterbuch der
in the otherworld. Care for the dead continued beyond the
Mythologie, vol. 2, edited by H. W. Haussig. Stuttgart, West
funeral, for they continued to share in the family’s proceeds.
Germany, 1973. A section from Honko’s longer article “Fin-
On personal and annual commemoration days, plenty of
nische Mythologie”, this offers a fine general account of
food was taken to the graves. It was believed that the dead
Tuonela.
ones came to the graves in the form of birds, and ate the food
Järvinen, Irma-Tiitta. “Communication between the Living and
that was left there as a sacrifice.
the Dead through Rituals and Dreams in Aunus Karelia.” In
The topography of Tuonela varies in Finnish folklore
Folklore and the Encounters of Traditions: Finnish-Hungarian
Symposium on Folklore and the Encounters of Tradition, 18–20
and mythology. Beliefs and practices which are clearly based
March 1996, Jyväskylä. Jyväskylä, Finland, 1996.
on neighboring cultures and missionary religions have also
been adapted to Finnish-Karelian cosmography, and are
Mansikka, V. J. “Itkujen Tuonela.” In Kieli-ja Kansatieteellisiä,
elaborated in funeral laments, for example. According to
edited by E. N. Setälä, pp. 160–180. Helsinki, 1924. On
Finnish ideas about the journey to Tuonela, as reflected in
these beliefs, the realm of the dead may be situated in heaven
funeral laments.
or at the northern end of the world, separated from the world
of the living by a deep precipice. At the base of the precipice
Nenola-Kallio, Aili. Studies in Ingrian Laments (Folklore Fellows
Communications 234). Helsinki, 1982.
flows the black river of Tuonela, unilluminated by the sun
or moon. The river contains a whirling, wild cataract and a
Pentikäinen, Juha. The Nordic Dead-Child Tradition. Helsinki,
stream of fire in which spears, swords, and needles stand up-
1968.
right and the dead can be seen swimming in bloody clothes.
Pentikäinen, Juha. Kalevala Mythology. Translated and edited by
The crossing of the river was associated with great danger.
Ritva Poom. Bloomington and Indianapolis, Ind., 1989.
The dead could wade through it, or they could cross a bridge
Originally published in Finnish as Kalavalan mytologia. Hel-
made of thin thread. More frequently, the dead were trans-
sinki, 1987.
ported across the river in a boat steered by the daughter of
Siikala, Anna-Leena. Suomalainen ˇsamanismi. Mielikuvien hi-
Tuoni. If a person heard a ringing in his or her ears, it meant
storiaa. (Suomalaisen Kirjallisuuden Seuran Toimituksia
that relatives in Tuonela were calling for the boat.
565). Helsinki, 1992. Discusses shamanistic survivals in
Finnish Charms and in the practices of Finnish wise men,
Fingernails and locks of hair were especially significant
including ideas about the abode.
in the Karelian and Ingrian beliefs about Tuonela. The nails
FELIX J. OINAS (1987)
of the deceased were clipped on Saturday night, cut in two,
JUHA PENTIKÄINEN (2005)
and slipped into the neck-hole of the deceased person’s shirt.
The clippings were thought to help the dead ascend Tuonela
mountain, which was smooth as an eggshell. However, the
nails had to be cut in pieces; otherwise, the Evil One would
TURKIC RELIGIONS. Throughout the course of
make a boat from the whole nails and use it to ferry the de-
their long history, the Turkic peoples have simultaneously
ceased to Hell. The picturesque nature of these beliefs about
or successively practiced all the universal religions (Christian-
Tuonela stems partly from Baltic-Slavic, Byzantine, and Old
ity, especially Nestorian Christianity; Judaism; Manichae-
Egyptian traditions, and partly from medieval Christian vi-
ism; Buddhism; and Mazdaism) before the majority of them
sionary literature and hagiography. In Finnish epics, these
were won over to Islam. However, before yielding to these
traditions have been merged with the older tradition of sha-
religions, they held their own system of beliefs, their own
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9398
TURKIC RELIGIONS
personal representations. These are generally identified as
considerable wealth of information. This information takes
“animism” or “shamanism,” even though the last term can-
on full meaning when compared with ethnographic notes,
not even begin to cover the whole of the religious phenome-
medieval Mongolian sources, and pre-Islamic remnants in
na. Their “national” religion, largely shared by the Mongols
Turkic-Muslim plastic and literary works. Thus we begin to
and certainly the Tunguz, is still practiced today. It has been
have, if not a complete knowledge of the ancient Turkic reli-
kept alive among certain Siberian and Altaic groups and, to
gion, at least a satisfactory view of the overall picture.
a much greater extent than is realized, within the very institu-
tion of Islam, to which it has more or less adapted without
Of course, we have acquired more information on some
abandoning or altering many of its original characteristics.
periods and peoples than on others. We have a fair under-
standing of the religious situation under the empires but
This is not to say that the indigenous Turkic religion
know little of the religious situation of the tribes, at least be-
is free of every foreign element. It developed in contact with
fore the modern era. We know something of certain ethnic
other ideas, notably those from China and Iran. It has con-
groups but nothing at all of others. In general, we have suffi-
tinually evolved and grown richer over the course of centu-
cient documentation on the period between the foundation
ries, either through internal development or the influence of
of the Türk empire (sixth century) and the conversion of the
great civilizations. It is, in fact, quite flexible and is based on
Oghuz to Islam (eleventh to thirteenth century), as well as
tolerance and religious coexistence. Certainly, it is essentially
on the present era.
a mystic religion. Its beliefs have never been solidly unified,
and, as we are beginning to better understand, they are like
THE COMMON HERITAGE. With a few small exceptions, the
two diverging branches of a common trunk: the popular one
Turkic religion has offered structures to all peoples of all so-
is centered on shamanism, totemism, and a vigorous polythe-
cial classes in all regions of the Turkic world throughout his-
ism; the imperial one is antishamanist, antitotemist, and has
tory. Admittedly, there was a less influential period during
monotheistic tendencies in its advocacy of the supremacy of
which the religion was developing, but it appears to have
Tengri, the sky god.
been firmly established as early as the first century CE. It
would be incorrect to believe, for example, that at the begin-
Although they are separate, these two branches have not
ning of the Türk empire, the western Türk borrowed a cult
escaped interpenetration. One branch developed under the
of fire that was unknown to the eastern Türk from Iran
tribal regime, the other during the formation of the great em-
(where it is known to have flourished), for the cult was al-
pires of the steppes, such as those of the Hsiung-nu, the T’u-
ready pan-Turkic. Because Sogdian, the language of an Irani-
chüeh or Türk (sixth to eighth century), the Uighurs (eighth
an people, was used as a written language as far north as
to ninth century), or the Mongols (thirteenth to fourteenth
Mongolia in the early sixth century, the fact that literary evi-
century). It must be remembered that the Turkic peoples
dence for the fire cult exists in an Iranian language cannot
played a major role in the Mongol empire. This is reflected
be used to prove that the cult was of Iranian origin. Far less
in the use of the name Tartar (Turkic, Tatar), which was
important practices seem to be known in the east but not in
used to refer to the armies of Chinggis Khan and is none
the west, such as the wearing of plumes, which did not
other than the name of a very ancient vassalized Turkic tribe.
spread to the west until the Mongolian invasions.
This expressive name also evoked an infernal river of antiqui-
ty, the Tartarus, and had the connotation of “barbarian” as
Although the religion was fairly well established early
well.
on, certain innovations appeared over the course of time.
Without doubt, the dualism already apparent in the Turkic
Whether tribal or imperial, however, the prevailing po-
religion has been accentuated through the influence of Mani-
litical and social regime allowed a memory of the former to
chaeism. From Buddhism has come a conception of hell as
remain, and when the prevailing order was temporarily abol-
a cosmic zone situated under the earth in symmetry with the
ished, along with it was abolished a part of what it had im-
sky (a deity), as well as the transformation of one of the great
posed. Nevertheless, it is important to consider the beliefs
mythological characters, Erlik or Erklik (“the virile one, the
common to both the popular religion and the imperial reli-
valiant one”) from a warrior who killed the stars at daybreak
gion apart from the beliefs that pertain more particularly to
to the god of the underworld, a king of innumerable demons
one or the other.
who not only live on the earth but haunt the entire universe.
Until recently, it had been considered impossible to un-
Equivalent to the Indo-Iranian Yama, he is attested to in
derstand the religion of the Turkic people in its ancient form.
Turkic sources as early as the 1200s. The idea of paradise
Studies, especially ethnographic ones, have been written on
seems to have taken shape in a similar way; the Sogdian word
groups of people who continued to practice the religion in
for it, utchmaq, has been confused with the Old Turkic infin-
modern times (nineteenth to twentieth century). Only re-
itive utchmaq, which means “to fly away” and which was tra-
cently has it been observed that the inscribed Turkic stelae
ditionally used, at least in speaking of great individuals, to
of the sixth to the tenth century, certain manuscripts (includ-
signify “to die.” An innovation that seems to be more impor-
ing the dictionary of Mah:mu¯d al-Ka¯shghar¯ı, eleventh centu-
tant was observed by the Chinese in about 628: “In the past,
ry), and foreign sources (especially Chinese but also Byzan-
the Türk had the custom of burning the dead; now they bury
tine, Arabic, Latin, Armenian, and Syrian) present a
them.” However, one must consider that the Turkic peoples
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TURKIC RELIGIONS
9399
have always fluctuated between incinerating and burying the
than truth to this. The Orkhon inscriptions (eighth century)
dead. Of the pre-Slavic Bulgarians and, in a general way, of
speak about origins in two lines: “When the sky above was
the western Türk, it is said, “One phratry burns its dead, the
blue and the earth below was dark, the son of man appeared
other buries them.” The Kirghiz continued to use incinera-
between them.” The Turkic peoples were little interested in
tion until they came into contact with Islam.
the cosmogonical problem or in eschatology. Of the more
Ideas that have remained unchanged are those relative
recent cosmogonies (after the tenth century), the well-known
to death, the afterlife, and funerary rites (apart from the issue
one reported by Wilhelm Radloff (1884, vol. 2, p. 3) and
of burial versus incineration). Death, which one hopes will
all allusions to the creative power of the sky god were influ-
be violent and unnatural (in spite of the respect that is occa-
enced by foreign religions.
sionally shown the elderly) is considered the Necessity, Ker-
The observation of stars is an important occupation.
gek (perhaps a deity). However, it is deeply dreaded and has
The phases of the moon are considered lucky or unlucky. No
given rise to bitter regrets, supposedly issued from the
projects are to be undertaken when the moon is in its last
mouths of the deceased. Death is eminently contagious and
quarter, although a good time to launch a military campaign
requires a sober approach toward the dying one (generally
is when the moon is waxing or is full. The last days of the
abandoned) or the deceased. The type of afterlife to be at-
lunar month are favorable for obsequies because they mark
tained depends primarily on the treatment accorded the skel-
an end and announce a rebirth. Similarly, human life closely
eton. It must be cleaned perfectly: the flesh must be scraped
parallels plant life. Trees are born each spring and die each
off and the cadaver set on a platform in a tree and exposed.
autumn; thus the cadaver is saved for the biannual obsequies,
When the bones are clean, they are either buried in the
which take place either when the leaves begin to fall or as
ground (if the deceased is to retain his earthly ties) or burned
they grow green again, a fact that explains the aforemen-
(if he is to lose them and gain access to the kingdom of the
tioned techniques used to preserve the skeleton. When great
dead). The funerary ceremonies have also survived the centu-
personages are taken to their place of final rest, an attempt
ries without having been changed: they include lamentations
is made to be in harmony with the vegetative season, the
and ritual mutilations, declamations (agit) of the virtues of
phases of the moon, and the beneficial moments of the sol-
the deceased, a sacrifice, and a communal meal. The meal
stices and the equinoxes.
has been especially important, so much so that the word yog,
originally designating the funeral as a whole, would eventual-
The four classic elements make up the universe. Water
ly connote only the meal.
and fire are of exceptional value. Moreover, they are antago-
The varying forms of the obsequies clearly demonstrate
nists and complementary components: fire comes from
the margin of liberty or of uncertainty that remained within
wood, which is born from water. The last has a fertilizing ca-
a well-defined context. This latitude occurs again and again
pacity but above all is pure. It is forbidden to dirty water,
primarily in the view of the world. The universe is generally
even though water does not purify. A “mass of water” is a
represented as composed of two parallel plains, the sky and
symbol of knowledge and intelligence, qualities of the sover-
the earth (ultimately extended to three with the addition of
eign. Fire, which eventually would become a god, is an alter
the underworld). At the same time, it is also seen as a square
ego of the shaman because of its hypnotic, elevating, and
plateau (earth), covered by a circumscribed dome (sky), with
healing powers. It is the great purifier. All defiled objects or
the four corners of the earth being allowed to exist outside
those suspected of being defiled, notably anything that enters
the shelter of the sky. The cosmic axis that links the sky, the
the camp, must pass between two fires, jump over the fire,
earth, and the underworld can be a mountain or a tree with
or go around it. However, this ancient belief became obsolete
seven branches, each branch representing a level of the sky.
in the nineteenth century, while fumigation, also a purifier,
The levels of the sky are in turn derived from the seven plan-
remained popular. The hearth, considered the reflection of
ets still known to have been popularly believed in during
the family, is protected by numerous taboos. To extinguish
modern times but also attested to by prehistoric engravings
it and disperse the ashes would amount to destroying the
and by every construction with symbolic value, for example,
race. Since ancient times, the great priest of this fire has been
the pillar of the tent, the ensemble formed by the central
the “prince of fire,” the ottchigin (derived from ot tegin), the
hearth of the yurt, and its upper opening, through which the
youngest son to inherit the paternal residence—the heart of
smoke escapes. This axis is at once the support for the sky
the empire—after the older sons had been provided for or
and the path that permits access to it. Among the numerous
endowed with a distant appanage. Today, this office is held
microcosms consonant with this view, the yurt, a circular
by various members of the family, occasionally women. Like
tent in the form of a bell, is the most characteristic. It is pro-
thunder, lightning—fire from the sky—arouses terror and is
tected from exterior influences by the powerful deity of the
seen as a divine punishment against the one it strikes.
threshold, which one must kiss upon entering. Although cir-
Every existing thing is inhabited by a force of varying
cular in shape, the yurt was oriented first toward the rising
intensity that we could call, although not quite accurately,
sun and then toward the south.
“spirit,” “soul,” or “master-possessor.” Each force can be bro-
It is possible that the sky and the earth originally may
ken down into a multitude of forces or can be combined with
have been placed side by side, but there is more speculation
others to constitute a more vast, collective force. The tree is
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9400
TURKIC RELIGIONS
powerful, but the grove or forest is more powerful. The “eter-
sentially a religious phenomenon, a dominant one in the reli-
nal” stone is fully effective only when combined with others
gious life of contemporary non-Muslim Turkic peoples and
to form cairns (obo), piles generally located in dangerous pas-
one that is at the heart of the popular religion. It speaks to
sages or passages recognized as such by a sacred mystery.
the people of things that interest them most—the preserva-
Anything complex like a man or woman, has several souls;
tion of their life (magical healings), their future (divination),
human souls reside particularly in the blood (the shedding
and their relations with the familiar gods and spirits (the sha-
of which is forbidden), breath, hair, skull, sexual organs, and
man’s sacerdotal role, his cosmic voyage). The institution of
elsewhere. Thus nothing is simple or stable; everything has
shamanism is surely quite ancient. Although poorly discern-
variable dimensions, a sort of ubiquity. But everything makes
ible in antiquity, it was in full bloom by the time of the Mid-
reference to the animal, zoomorphism being the form par ex-
dle Ages, despite the total silence of the Türk inscriptions on
cellence—the form of all spirits and of human spirits before
the subject. This silence does not prove the nonexistence of
their birth, during their life, and after their death. Conse-
shamanism but, rather, reflects the care taken to exclude it
quently, everything that exists can appear as it is or in animal
from imperial records. The oldest descriptions of shamanic
form.
séances date back almost to the era when the Old Turkic
In one way or another, all animals have had a numinous
word for shaman, qam, clearly appears, and when magical
role, but certain animals are different from others: the bird
healings and divinations were attested to among the Oghuz.
of prey, the eagle or falcon, is a divine messenger that flies
Descriptions of such rites among the nomadic Turkic tribes
near Tengri and sits enthroned on the summit of the cosmic
come to us from Ibn S¯ına¯ (Avicenna), while similar accounts
tree; the stag is often considered a saint, but is hunted never-
regarding the Kirghiz come from Marvaz¯ı.
theless; the hare’s position is as ambiguous as that of the
Shortly after this period, numerous traces of shamanism
camel, which is totemized or tabooed as impure; the bear is
appeared among the tribes converted to Islam who became
the quintessential lunar animal, whose hibernation stirs the
part of the Seljuk hordes. From then on, the information
imagination; geese or swans, which appear in the widespread
continues to increase and become more precise. In the thir-
legend of the swan maiden, may symbolize the celestial vir-
teenth century, van Ruusbroec provided a remarkable de-
gin; all birds are souls; and the horse, a member of the clan,
scription of the séance. From all this medieval information,
is the epitome of the sacrificial animal and also often a solar
it appears that the shaman had the ear of the people, commu-
or aquatic symbol.
nicated with the sky god, was visited by demons, and went
With the exception of the act of killing another human,
into trances to accomplish his cosmic voyages, during which
combat between an animal and an adolescent, or another an-
he met many spirits and their auxiliary, or adversary, spirits.
imal designated to represent him, constitutes the principal
His objectives were to cure the sick by expelling the spirits
rite of passage. This rite allows a male youth to become part
that had entered them or by finding the spirits that had left
of adult society and gives him rights to women or, rather,
their bodies, to predict the future, and to exercise certain sac-
constitutes marriage in itself. In effect, the match is an enact-
erdotal and political powers. In other respects, the shaman
ment of the sexual act: to conquer the animal is to become
seems to have been a sort of blacksmith, a manipulator of
both its spouse and its son. It renews and reenacts the pri-
two numinous objects, fire and metal. In any case, he already
mordial ancestral struggle: murder, copulation, and birth.
had rivals: for healing, the first official doctors; for divina-
This rite is an ancient legacy clearly attested by the animal
tion, the astrologers (seers who were closer to the princes
art plaques of the steppes, medieval manuscripts, and mod-
than to the people) and all kinds of sorcerers, diviners, and
ern commentary.
prophesiers who waved their wands or arrows and used osse-
lets and dice, who used haruspicy, scapulimancy, and, espe-
Despite a strong family structure, accounts of adoption
cially, oneiromancy, and who interpreted divinatory texts.
by animals or humans are numerous, and fraternity is not de-
One type of sorcerer who became the shaman’s most threat-
pendent upon birth alone. Fraternity can be pledged between
ening rival was the “rainmaker,” the yadadji, who, with the
two strangers through the exchange of significant gifts (osse-
help of a bezoar, produced thunderstorms on demand. These
lets, arrows, horses) and particularly through the mixing of
sorcerers, like the astrologers, worked more freely under the
blood. The rite that establishes fraternity consists of the two
imperial religion than did the shamans, because the sorcerers
postulants’ joining their slashed wrists or drinking mixed
had no pretensions to power or claims of intimacy with the
drops of their blood from a cup that is often made from the
sky.
dried skull top of a murdered enemy chief. This giving of
one’s blood to another man is actually only one variant of
The totemic system, which can exist only in tribal socie-
the oath. The other form is the giving of blood to the earth,
ties that employ it to determine basic structures (families,
realized through the pouring of one’s blood or the blood of
clans), plays a role in the popular religion that is almost as
a sacrificed animal; this act is performed before the sky,
important as that of shamanism. For a long time, totemism
which deeply involves those making the pledge.
was unknown among the Altaic peoples in general; however,
THE POPULAR RELIGION. Despite the pretensions of certain
in the mid-twentieth century pioneering research by P. J.
shamans to positions of tribal leadership, shamanism is es-
Strahlenberg, Cho-dzidlo, A. Billings, N. Shchukin, and oth-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TURKIC RELIGIONS
9401
ers revealed a totemic system among both contemporary and
possible ties of the people to the great gods as revealed to us
extinct Turkic societies, such as the Bashkirs, the Oghuz, and
by the imperial texts alone, at least for the period during
the western Türk. Since the eighth century, the Arabs (as
which the people were not under the empire.
confirmed by certain medieval Turkic texts) have observed
T
a tie between clans of certain tribes and certain animals. The
HE IMPERIAL RELIGION. It is difficult to comprehend the
significance and the success of the imperial religion without
study of these observations reveals, beyond all possible
taking into account the tribal organization of society, with
doubt, a totemism, naturally misunderstood in the Arab and
its attendant instability, internecine wars, anarchy, and mis-
medieval Turkic accounts.
ery. Divided, the inhabitants of the steppes were powerless.
It is clear that the people, organized under the tribal sys-
United, they became invincible. Therefore, their strength as-
tem, worshiped numerous gods of human dimension and
sured free commerce and made possible raids and conquests
that they cared little about great deities, notably the Sky. We
of the rich lands of sedentary peoples. Despite the tribes’ pro-
have seen that they were surrounded by innumerable forces
nounced taste for independence and their attachment to tra-
that they had to use or protect: natural forces and even fabri-
dition, the empire presented certain advantages that the
cated objects (the “master” of the weapon, its “soul,” could
tribes were prepared to accept, even if it meant losing part
render the weapon ineffective). The “masters” of the herd,
of their patrimony along with their autonomy. Certainly the
of game, fish, hunting and fishing territories, and doubtless
sovereign, promoted through his own genius or through cir-
others all had to be conciliated. The masters that the Old
cumstances, was descended from the tribal regime and prac-
Turkic texts call iduq yer sub, “sacred lands and waters,” con-
ticed the popular religion. This fact, together with his need
cerned them most. These also could be the ensemble of indi-
to secure mass support, inclined him to tolerate the tribal re-
visible lands inhabited by the tribe, or better, their “master-
ligion; but he reorientated it, promoting elements that had
possessors” (those of other tribes and of foreigners such as
been secondary, diluting or eliminating elements that were
the Chinese were recognized). It could also refer to certain
in essence antimonarchist. The two great victims were sha-
privileged parts of this ensemble, often cited by name. The
manism and totemism.
latter lands were “left free,” as conveyed by the word iduq.
From the imperial viewpoint, shamanism had no alter-
In these areas it was forbidden to carry out any secular activi-
native but to adapt. During the long medieval periods, sha-
ty: hunting, fishing, or felling trees. The idea that the parts
mans had not only attained positions of tribal leadership
of a whole should always be respected was extended to every-
(without necessarily having the gifts or the means for leader-
thing. There were also iduq animals within the herd that
ship) but had also pretended to maintain privileged relation-
could not be milked, sheared, or mounted. It was important
ships with the invisible, to climb to the sky. As tribal chiefs,
for the hunters to allow some animals to escape from the
they had to accept a superior authority, something that was
game they encircled. At least the first fruits of the harvests
more difficult for them than for others. As religious leaders,
had to be set aside unused. At each milking and at each meal,
they had to acknowledge that the kaghan, the emperor, had
it was customary to set apart a portion of milk or meat to
relationships with the invisible world and the sky, relation-
be offered to the gods.
ships much closer than their own. Thus, there was an inevita-
Out of a desire to maintain control over the earth’s
ble conflict between the shaman and the sovereign. However,
products, the people made “soul supports”; these represented
the contest being unequal, it often ended abruptly or resulted
the spirit protectors of animals and harvests. They were
in the inevitable elimination of the shaman. Chinggis Khan’s
among the numerous idols placed in the yurts and were also
suppression of the influence of the great shaman at his court
transported in carts, which became veritable traveling altars.
can be seen as an epitome of this conflict. Even though we
Constructed of felt, wood, and metal, these zoomorphic or
have no information, we can assume that the process was the
anthropomorphic idols could also represent and contain the
same in other political structures with pan-Turkic tenden-
soul of ancestors and of all imaginable powers. One took care
cies. It is characteristic that the Old Turkic texts do not con-
of them, fed them, and painted them with blood. Ethno-
tain a single word about shamanism: we have already seen
graphers eventually began to call these idols by the Mongol
why. Nevertheless, it took real courage on the part of the sov-
word ongon (Turkic equivalents: töz, tyn, kürmes), although
ereign to disregard the fear inspired in the Turkic peoples by
ongon actually refers to totems. Some of the highest deities
all those who held religious or magical powers, including
were affected by this idolization, either through a spontane-
priests of the religions with which they came in contact.
ous irruption of the practice as applied to the lower spirit
protectors or through absorption of elements from the impe-
Totemism was an equally formidable obstacle erected by
rial religion. In a general way, the cave, the waters, the trees,
the tribal regime against the empire. Classificatory and divi-
and the stars were venerated. Every elevation of ground be-
sive by definition, it was diametrically opposed to the imperi-
came a place of cult worship: it established the image of an
al ideal. The duty to which the sovereign was thus called to
ascent toward the sky, a distant and vague god.
devote himself consisted of renouncing the various totems
of the clan cults and insistently promoting the totem or to-
Whereas the tribal and familial deities of ancient periods
tems of the ruling dynasty. The ruling dynasty, like every
are poorly understood, it is almost impossible to define the
family, like every tribe, was descended either from two unit-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9402
TURKIC RELIGIONS
ed animals or from an animal that had had sexual relations
Some were more or less forgotten, while others were promot-
with a human. The sex of the animal or human was not as
ed. Still others were obviously approached from a new per-
important in this matter as was the complementarity of the
spective. The various iduq yer sub, the “forbidden places,” the
different species. The latter was indicated more clearly and
“master-possessors of the earth and waters,” were apparently
can be seen in the animal art of the steppes: a wildcat and
reduced to those originally belonging to the imperial family.
a herbivore, a bird of prey and a rodent, an animal and a
The mountains saw their strength become concentrated in
human. The myth of origin that was the most widely be-
two or three summits, such as the Ötükän, where the prince
lieved (because it simultaneously served the Türk, the Mon-
was seated. On the other hand, everything that appeared to
gols, and other, smaller, groups) first presented a she-wolf
be universal, common to all humankind, grew dispropor-
who fed a young boy, married him, and gave him children,
tionately. The earth goddess was often associated with the
thus becoming his mother and wife at the same time. Later
sky god and partook of his indivisibility. The sky himself,
this was changed: a wolf was believed to have united with
principally Tengri, became the sky god and was “blue,” “ele-
a doe. The content of this myth is particularly rich, especially
vated,” and “endowed with strength”; he clearly became, at
among the Türk, because it involves the intervention of fer-
least eventually, “eternal,” the supreme god above all others
tilizing water (the marsh where the she-wolf finds the child),
because he was the god of the emperor and was as exceptional
the cave (where she gives birth), and even the bird of prey,
as the latter was. The sovereign was “born from the sky,” “re-
which flies above the couple.
sembled the sky,” and was some times the sky’s son, acting
However, widespread as it is, this myth is only one
in his name as if he were his great priest; but he was also
among many. One could say that there are as many myths
more, something like the sky’s projection, his “shadow,” as
as there are Turkic peoples. Hence, the ancestor of the Kir-
the Muslims would say. He directed the sky’s cult, the collec-
ghiz was a bull or a dog married to forty virgins; the ancestors
tive prayers and ceremonial sacrifices in which he had all his
of the Karakhanids, a lion and a camel. The Oghuz have
people participate. From then on, Tengri concerned all peo-
demonstrated how a theme was able to change owing to un-
ple, all animals, all vegetables. He gave them life, made them
known influences. Oghuz Kaghan, the eponymic ancestor of
grow, and protected them through two specific gifts, kut, a
the confederation (whose name was etymologically ogush,
viaticum and celestial “soul,” and ülüg, “luck.”
“tribe”) was first named “colostrum” (agiz), then “young
The national god of the Turkic peoples, Tengri, was also
bull” (oghuz) after his ancestor, while the wolf remained his
the god of all men and demanded that all recognize him, that
guide and protector. Later, the Oghuz had six birds of prey
is, that they submit to the Turkic kaghan—a demand that
as “totems” when they were divided into six clans and twen-
caused him to take on the characteristics of a god of war. The
ty-two or twenty-four when the number of their tribes in-
worst transgression was to revolt against the prince, that is,
creased. The exaltation of one’s ancestors was emphasized in
against Tengri, and the god knew no other punishment for
the Türk empire. Each year the sovereign either went in per-
this than death. Before sending death, Tengri “applied pres-
son or sent a high dignitary to the birthplace (cave) of his
sure,” sent messengers, and intervened in a purely psycholog-
family. Türk flagpoles were topped with golden wolves’
ical manner. In serious cases, he intervened simultaneously
heads; thus the wolf continued to lead his descendants into
with the more popular gods. In medieval times, at least, there
battle and also to march ahead of them in migrations.
does not seem to have been any notion of retribution or post-
The imperial ancestor was clearly a divine animal who
mortem punishment.
came from the sky. He was “blue” like the sky and, as de-
If the popular religion has been passed over in silence
scribed in a relatively recent (post-Chinggisid) text, he could
by imperial Turkic texts, and often by others, there are none-
be associated with luminous rays that emanated from the sun
theless numerous deities that appear around the sky god
and moon. Thus, two different traditions concerning the ori-
without our knowing their connections to him: the earth
gins of great men seem to have existed—one involving the
goddess, the iduq yer sub and other master-possessors, the sa-
sexual union of animals, one involving light that came and
cred springs and rivers, the trees, fire, and the mountain.
impregnated a woman or that, itself a radiant daughter, se-
Whether this last represented the “god of the earth,” as with
duced heroes like Oghuz Kaghan. Some attempt was made
Boz Tengri, or whether it constituted the earth’s axis, the
to combine the two traditions, but never with much success,
center of the empire, like the famous Ötükän (in the Greater
not even in the case of the Mongols, whose Secret History re-
Khingan Range), its role eventually became so great and im-
veals the efforts made in this respect, or in the Turkic Oghuz
posing that it was generally designated in Central Asia, as the
name, which owes much to the former.
god of the earth. (For example, the sacred mountain of the
The popular gods suffered less from the imperial reli-
Mongolians is the Burkhan Qaldun.) The most powerful
gion. Any major force that contributed to the power of the
and stable of these deities that appear around the sky god is
empire was welcomed, and the Turkic peoples, with their
Umai (often still called this today but also known by other
fundamental beliefs in the diffused divine, opposed the dis-
names, for example, A˘ıyysyt among the Siberian Yakuts), a
appearance of these gods. (Popular sentiment also had to be
placental goddess of whom al-Ka¯shghar¯ı says, “If one wor-
respected.) Nevertheless, their fate was not always the same.
ships her, a child will be born.” She protects newborns and
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TURKIC RELIGIONS
9403
mares and safeguards against puerperal fever. Certain at-
Bussagli’s Culture e civiltà dell’Asia Centrale (Turin, 1970) is
tempts seem to have been made to bring her closer to Tengri;
a good historical presentation of nomadic cultures. For earli-
she has been called “close to the khatun,” that is, to the em-
er periods, see Karl Jettmar’s Die frühen Steppenvölker
press.
(Baden-Baden, 1964), translated by Ann E. Keep as The Art
of the Steppes (New York, 1967). For the Huns, see Otto J.
Finally, in addition to grandiose ceremonies (in terms
Mänchen-Helfen’s The World of the Huns: Studies in Their
of the empire), the imperial religion apparently promoted
History and Culture (Berkeley, 1973), which has a complete
cults and new rites. The banner cult supported a particular
bibliography. Wilhelm Barthold gives the historical context
soul, either of an ancestral animal (often evoked through a
of medieval Central Asia in Turkestan down to the Mongol In-
statuette or horse or yak tails atop a pole) or of one of the
vasion (1900), 2d ed., translated from the Russian (London,
sovereign’s ancestors. This gave rise to the feast of the unfurl-
1958). For a comprehensive overview of Turkic religion, see
ing of standards and to solemn sacrifices. The imperial family
my La réligion des Turcs et des Mongols (Paris, 1984), which
adopted the ancient practice of bloodless animal slaughter:
has a vast but nonexhaustive bibliography. For contemporary
they were strangled, suffocated, or stoned. Funerary temples,
religious practice, Uno Harva’s Die religiösen Vorstellungen
erected structures that are the only Turkic temples outside
der altaischen Völker, “Folklore Fellows Communications,”
no. 125 (Helsinki, 1938), is a useful reference work, al-
of natural sanctuaries (caves, groves, springs, mountains) or
though quite biased. It has been translated as Les représenta-
domestic sanctuaries (tents, carts carrying idols), have unfor-
tions religieuses des peuples altaïques (Paris, 1959). Wilhelm
tunately come down to us in a deplorable condition. What
Radloff has devoted himself to a vast study, most of which
remains of them, the balbal and the baba, may also be an im-
can be found in Aus Sibirien, 2 vols. in 1 (Leipzig, 1884).
perial innovation. The balbal are shapeless stones (eventually
Wilhelm Schmidt collected considerable documentation in
wood was used, for instance among the Cumans and Kip-
volume 9 of his Der Ursprung der Gottesidee (Münster,
chaks) erected to represent enemies slain in combat or immo-
1949), see also volumes 10–12 (Münster, 1955). On the sub-
lated during obsequies. The slain enemies represented by the
ject of funeral rites and the beyond, see my La mort chez les
balbal are supposedly at the service of their murderers. For
peuples altaïques anciens et médiévaux (Paris, 1963). On the
great personages, these monoliths number in the hundreds.
position of animals and vegetables, see my Faune et flore
sacrées dans les sociétés altaïques (Paris, 1966). For a study of
The baba are the funerary statues of deceased princes
the phenomenon of shamanism, see Mircea Eliade’s Shaman-
and, occasionally, princesses. They were not viewed as im-
ism: Archaic Techniques of Ecstasy, rev. & enl. ed. (New York,
ages of the departed but as images of the living, who, after
1964). For examples of pre-Islamic relics in Turkic Islam, see
their death, remained among the people. Not of great aes-
John K. Birge’s The Bektashi Order of Dervishes, “Luzac’s
thetic value, these huge, crude statues, of which a good num-
Oriental Religious Series,” no. 7 (1937; reprint, New York,
ber of specimens are known, represent the individual stand-
1982), and my Les traditions des nomades de la Turquie méri-
ing or seated, always holding a cup in the right hand, which
dionale (Paris, 1970). Much work on Turkic religion has
is drawn back over the stomach. These works were the origi-
been widely published in journals, notably in Central Asiatic
Journal (The Hague, 1957–). Noteworthy articles in English
nal image of the “prince in majesty” of classical Islam.
include those by John Andrew Boyle in Folklore: “A Eurasian
It is impossible to know whether belief in an afterlife in
Hunting Ritual,” Folklore 80 (Spring 1969): 12–16; “Turk-
the sky was of imperial or popular origin, although there is
ish and Mongol Shamanism in the Middle Ages,” Folklore 83
no lack of presumptions that favor imperial origins: having
(Autumn 1972): 177–193; and “The Hare in Myth and Re-
come from the sky and belonging to it, the prince can only
ality: A Review Article,” Folklore 84 (Winter 1973): 313–
return there. In so asserting, one says that he “flies away,”
326. See also Glaubenswelt und Folklore der sibirischen Völker,
later that he “becomes a gyrfalcon” or that he “climbs up to
edited by Vilmos Diószegi (Budapest, 1963).
the sky” where he is “as among the living.” But there are also
New Sources
attestations of a celestial beyond for those who did not attain
Bainbridge, Margaret, ed. The Turkic Peoples of the World. Lon-
sovereignty—a place for those close to the prince, his ser-
don, 1993.
vants, horses, concubines, and all those who could serve him
Baldick, Julian. Animal and Shaman: Ancient Religions of Central
or be useful to him. However, even if the sky was easily acces-
Asia. New York, 2000.
sible to all—something we do not know—there was nothing
Elverskog, Johan. Uygur Buddhist Literature. Turnhout, Belgium
to prevent the various souls of the same man, even those of
1997.
a kaghan, from finding other places to inhabit (the tomb, the
banner, the balbal, the baba), from being reincarnated in a
Garrone, Patrick. Chamanisme et islam en Asie centrale: la baksylyk
hier et aujourd’hui. Paris, 2000.
new body, or from roaming the universe as an unsatisfied
phantom.
Jettmar, Karl. “Die Religion der Alttürken.” In Die vorislamischen
Religionen Mittelasiens, edited by Karl Jettmar and Ellen Kat-
SEE ALSO Chuvash Religion; Erlik; Islam, article on Islam
tner, pp. 219–228. Stuttgart, 2003.
in Central Asia; Ongon; Tengri; Umai.
Lieu, Samuel. Manichaeism in Central Asia and China. Leiden,
1998.
BIBLIOGRAPHY
Much research has been done on the formation of religious con-
Roux, Jean-Paul. L’Asie centrale: histoire et civilisations. Paris,
cepts among the people of the steppes and of Siberia. Mario
1997.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9404
TURNER, HENRY MCNEAL
Van Deusen, Kira. Singing Story, Healing Drum: Shamans and Sto-
Turner became a friend of Charles Sumner, Thaddeus
rytellers of Turkic Siberia. Montreal, 2003.
Stevens, and other influential Republicans in the years before
J
the Civil War. When war broke out in 1861, Turner was
EAN-PAUL ROUX (1987)
Translated from French by Sherri L. Granka
commissioned as the first black chaplain in the U.S. Army.
Revised Bibliography
After the war Turner helped to establish AME congregations
throughout Georgia, but he was frustrated by the lack of
trained clergy to continue his work.
TURNER, HENRY MCNEAL. Henry McNeal
With Congress’s passage of the Reconstruction Acts in
Turner (1834–1915) was the twelfth bishop of the African
1867, Turner involved himself more directly in politics by
Methodist Episcopal (AME) Church and the U. S. Army’s
helping to organize Georgia’s Republican Party. He was
first African American chaplain. He studied history, theolo-
elected to Georgia’s House of Representatives from the city
gy, law, Latin, Greek, Hebrew, and German and received an
of Macon. The white-controlled legislative body, however,
LL.D from the University of Pennsylvania in 1872. Turner
ousted the African American representatives in 1868. After
also served as vice president of the African Colonization Soci-
Turner protested this injustice, he received threats from the
ety (1877) and was a major spokesperson for the Back-to-
Ku Klux Klan. In 1869 he was appointed postmaster of
Africa movement. The movement was an African American
Macon by President Ulysses S. Grant, but he was forced to
led effort that advocated their emigration to Africa. Most
resign from this position a week later. He finished his term
black leaders had been opposed to such schemes since the op-
in the Georgia legislature in 1870, after which he moved to
tion was first pursued in 1816 with the formation of the
Savannah, Georgia, where he served in local churches (in-
American Colonization Society by whites. However, emigra-
cluding the prestigious St Philip’s AME Church) and served
tion became a viable option for some blacks in the 1880s,
as an inspector for the U.S. Customs Service.
when many black leaders were becoming increasingly disillu-
In 1876 Turner assumed the management of the AME
sioned about the prospects of achieving equal rights in Amer-
Book Concern in Philadelphia and the editorship of the
ica. Matters became especially bleak in 1883 when the Unit-
Christian Recorder. In 1880 he became the bishop of the de-
ed States Supreme Court outlawed the Civil Rights Act of
nomination in a hotly contested election.
1875. This action by the Supreme Court paved the way for
Turner was extremely effective as bishop. After the Su-
state legislatures to enact laws that segregated all aspects of
preme Court circumscribed the civil rights of African Ameri-
southern society. In 1896 segregation was upheld in the
cans in 1883, Turner’s critique of mainstream American so-
Plessy v. Ferguson Supreme Court decision that set forth the
ciety became scathing. Equally scathing were Turner’s
“separate but equal” doctrine. Turner’s career was profound-
criticisms of black meekness in the face of white oppression.
ly shaped by these events. Elected to the Georgia legislature
He urged blacks to defend themselves against mob violence
during the Reconstruction era following the Civil War, Tur-
and saw his educational and missionary initiatives as vehicles
ner became known as the “Apostle of Foreign Missions” be-
for enhancing black self-worth and freedom. He published
cause of his travels to West Africa to found two churches,
a catechism, a hymnal, and such books as The Genius and
one in Sierra Leone and the other in Liberia. Turner was also
Theory of Methodist Polity (1885) and The Black Man’s Doom
famous for frequently asserting that “God is a Negro.”
(1896). He founded the Southern Christian Recorder in 1889
Turner was converted to Christianity at the age of thir-
and the Voice of Missions in 1892, as well as encouraging the
teen while attending a Methodist revival. At the age of fifteen
organization of the Women’s Home and Foreign Missionary
he took a job as a janitor with a law firm in Abbeville, South
Society (1896) and the formation of the Women’s Christian
Carolina. Turner’s intelligence so impressed his employers
Recorder. Turner was also the first AME bishop to ordain a
that they provided him with his basic education in law and
woman to the office of deacon, which he did in 1885. Turner
history. He received his preacher’s license in 1853 and trav-
served as the editor of the Theological Institute and as the de-
eled as an itinerant evangelist throughout the South as far
nomination’s historiographer from 1908 to 1912. He died
west as New Orleans. He also traveled to Missouri and then
in 1915 while traveling on church business. Turner is num-
to Baltimore, where he furthered his study of grammar,
bered with Richard Allen (1760–1831) and Daniel Payne
Latin, Greek, Hebrew, and German while overseeing a small
(1811–1893) as one of the greatest bishops in the history of
mission congregation. Turner was ordained a Methodist dea-
the African Episcopal Methodist Church.
con in 1860 and an elder in 1862.
SEE ALSO African American Religions, overview article;
Turner married Eliza Peacher, the daughter of a wealthy
Allen, Richard; Methodist Churches.
African American house builder in Columbia, South Caroli-
na, in 1856. The threat of slavery that hung over free blacks
BIBLIOGRAPHY
in the South before the Civil War caused Turner to move
Angell, Stephen Ward. Bishop Henry McNeal Turner and African
with his family to St. Louis, Missouri. Over the course of the
American Religion in the South. Knoxville, Tenn., 1992.
next five years he filled pastorates in Baltimore, Maryland,
Ponton, M. M. Life and Times of Henry M. Turner. Atlanta, Ga.,
and Washington, D.C.
1917.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TURNER, VICTOR
9405
Redkey, Edwin S. Black Exodus: Black Exodus and Back to Africa
aside the analytical perspective and alien categories of the
Movements, 1890–1910. New Haven, Conn., 1969.
outside observer and oriented his studies around the experi-
Redkey, Edwin S., ed. Respect Black: The Writings and Speeches of
ential context and cultural criteria of the Ndembu world,
Henry McNeal Turner. New York, 1971.
an approach that he later called the “anthropology of experi-
ence.”
JAMES ANTHONY NOEL (2005)
Although his initial study, Schism and Continuity in an
African Society (1957), was labeled “difficult” and “experi-
TURNER, VICTOR (1920–1983). Scottish-born
mental,” Turner continued to refine his ideas about social
American anthropologist and comparative religionist. On
drama and ritual process. He wrote one of the most detailed
the basis of fieldwork in central Africa, Victor Witter Turner
and perceptive studies of African divination, Ndembu Divi-
produced the richest ethnographic achievement of the period
nation: Its Symbolism and Techniques (1961), viewing the
after World War II, and he explained the nature of religious
subject in the context of social process and analyzing its use
ritual and symbolism in an African society in more detail
of social and ethical symbolism. He also wrote a short but
than anyone had before.
brilliant clarification of methodological issues in African
witchcraft studies, “Witchcraft and Sorcery: Taxonomy ver-
Turner was born in Glasgow, Scotland. In 1943, in the
sus Dynamics” (1964), in which he treats a subject that had
midst of his five years of military service, he married Edith
become bogged down in functionalist theorizing and con-
Davis, who was to collaborate with him in field research and
fused definitions. He argues that witchcraft has to be viewed
writing throughout his career. He received his B.A. degree
as a complex matter involving social process, cosmology,
with honors in anthropology in 1949 from the University of
ecology, and biological factors. In addition he wrote a pio-
London, where he studied with some of the leading figures
neering study of an Ndembu cult of affliction, Chihamba,
of structural-functionalism: A. R. Radcliffe-Brown, Meyer
the White Spirit (1962). In this work he attempted to go be-
Fortes, Raymond Firth, and Edmund Leach. He went on to
yond the examination of social process and symbolic action
graduate study at the University of Manchester under Max
and to formulate the implicit content of Ndembu thought
Gluckman and was introduced to conflict theory and politi-
by means of Thomistic concepts, long before the subjects of
cal anthropology. During 1950–1954 he was a research offi-
ethnophilosophy and ethnotheology had gained currency in
cer at the Rhodes-Livingstone Institute in Lusaka, Zambia
anthropology. It was a venturesome effort and did not re-
(then Northern Rhodesia), where he undertook, with his
ceive an entirely positive response. In subsequent and more
wife, a two-and-a-half-year study of the Ndembu people. In
detailed studies he examined Ndembu ethnomedical and et-
1954 he returned to the University of Manchester and was
hnobiological concepts in the context of cults of affliction.
appointed to the positions of lecturer and senior lecturer in
One of these studies, The Drums of Affliction (1968), became
social anthropology. From 1963 to 1968 he was professor of
the locus classicus of later scholarship in the field of African
anthropology at Cornell University, and from 1968 to 1977
medical anthropology.
he was professor of anthropology and social thought at the
University of Chicago. From 1977 until his death he was the
In the course of these ritual studies, Turner began to de-
William R. Kenan Professor of Anthropology at the Univer-
velop a theory of religious symbols. He noted in the field that
sity of Virginia. He held numerous fellowships, visiting ap-
certain symbols were dominant in ritual contexts and that
pointments, and distinguished lectureships at universities in
they exhibited properties of condensation, unification of dis-
the United States and around the world. He organized major
parate significata, and polarization of meaning. Because of
international conferences and was editor of the important se-
such semantic complexity, contextual variation, and attach-
ries “Symbol, Myth and Ritual” published by Cornell Uni-
ment to ritual sequence, Turner rejected as overly simplistic
versity Press.
the structuralist method of interpreting symbols in terms of
synchronic, binary relationships. Instead, he proposed a
Like other leading anthropologists, Turner’s ideas were
threefold hermeneutic, based upon “exegetical,” “operation-
shaped by his field experience. In the course of fieldwork he
al,” and “positional” levels of meaning. Moreover, he sugget-
decided to abandon the social structural emphasis of his
ed that in the context of intense ritual experience, the ideo-
teachers and their bias against religion and to pursue a micro-
logical, or “normative,” and the sensory, or “orectic,” poles
sociological investigation of the actual processes of Ndembu
of meaning came together and reinforced one another in
village life that, he found, were articulated and resolved in
such a way as to produce powerful emotional effects and real
ritual performances. Since Ndembu society is prone to con-
transformations of character and social relationships. Herein,
flict because of its inherent inconsistencies, he also rejected
Turner felt, lay the power and efficacy of ritual.
the static and mechanistic models of functionalism together
with its goal of constructing universal social laws. Instead,
Although he wrote two detailed accounts of Ndembu
he treated Ndembu society as a dynamic social process whose
boys’ and girls’ initiation rites (the first appearing in The For-
events were analyzable as “social dramas,” consisting of
est of Symbols, 1967, the second in The Drums of Affliction,
phases of breach, crisis, redressive action, and reintegration
1968), it was in the context of a brief comparative study of
(or schism), in which ritual played a central role. He also set
rites of passage, “Betwixt and Between: The Liminal Period
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9406
TURNER, VICTOR
in Rites de Passage” (1964), that he began to focus upon the
gists Claude Lévi-Strauss, Clifford Geertz, and Mary Doug-
work of the Belgian anthropologist Arnold van Gennep. He
las, also helped to revive comparative studies in religious an-
found van Gennep’s analysis of rites of passage into the
thropology, which had been abandoned by British and
phases of separation, threshold or limen, and reaggregation
American functionalists. But, although he agreed with
to be not only a useful cross-cultural model but also the
Douglas and Geertz on the cognitive importance of ritual
source of a fundamental insight: the regenerative and trans-
symbols, he refused to tie them closely to social structure as
formational possibilities of ritual liminality. Whereas van
in Douglas’s theory or to construe them as “texts” according
Gennep emphasizes only the outward change of social status
to Geertz’s formulation.
accomplished by these rites, Turner emphasizes the inward,
Following the American anthropologist Edward Sapir,
moral, and cognitive changes that occurred, and where van
Turner held that culture is not a completely or consistently
Gennep examines only the social aspects of the liminal state,
articulated system, a set of dogmas or logically arrayed or
Turner examines its deconstructive and reconstructive pro-
Lévi-Straussian symbolic codes, but rather a changing entity,
cesses. Thus Turner concentrated upon the heretofore
influenced by “root paradigms,” that is, by axiomatic frames,
neglected, strange, and amorphous properties of symbols and
or deep myths, that propel and transform people and groups
actions of the liminal phase. He regarded such symbols
at critical moments. In this respect Turner came to see that
and actions both as channels for communicating basic social
the Ndembu are not exceptional but typical, and thus that
and cultural values and as channels for discovering new
social order is fundamentally “processual” in form and “dra-
moral and metaphysical insights that tend to subvert as well
matic” in character.
as support established religious and social orders.
Turner called his analytical method “dramatistic,” be-
Turner developed his theory of liminality further in the
cause, like Freud, he believed that examination of distur-
seminal work The Ritual Process (1969). Here he defines the
bances of the normal and the regular often gives greater in-
social form of liminality as communitas, the direct, egalitarian
sight into the normal than does direct study. Because of the
encounter and fellowship between people as people, which
episodic character of social systems, Turner preferred the so-
characterized both temporary ritual states and certain more
ciologist Kurt Lewin’s image of society as “social fields.” He
enduring social groups. In this context he defined three
also saw affinities with the phenomenological sociology of
forms of communitas, the “spontaneous,” the “ideological,”
Alfred Schutz and his followers, who regarded culture as a
and the “normative,” and he elaborated a host of contrasting
constantly negotiated set of meanings, and he found useful
liminal and status system forms. In addition to illuminating
Wilhelm Dilthey’s theory that the meanings and values of
past religious and political movements as well as popular cur-
life are to be found in the “structures of experience” and not
rents in American society of the 1960s, Turner brought his
in the formal categories of thought. This approach led him
theory of liminality to bear upon the phenomenon of reli-
to welcome a shift in anthropology away from such concepts
gious pilgrimage, a generally ignored subject in the history
as structure, equilibrium, function, and system to such con-
of religions. His contribution, presented in another impor-
cepts as process, indeterminacy, and reflexivity, and he envi-
tant essay, “The Center Out There: Pilgrims’ Goal” (1973),
sioned a new anthropology based upon a synthesis of disci-
was to see pilgrimage as a rite of passage whose goals include
plines instead of the usual disciplinary specialization. Turner
both the experience of communitas and the liminal encounter
himself was not, however, given to sustained theoretical ex-
with the sacred at the pilgrimage center. There followed a
position, and he often let unclarities remain in his writings,
series of lectures and articles on this theme, and they inspired
for which he was sometimes taken to task by his colleagues.
other scholars to take up the subject. Together with Edith
He preferred to forge his concepts as he went along. His ap-
Turner, he explored the subject further in relation to Mexi-
proach was regarded as highly original, and he put forward
can, Spanish, and Irish pilgrimage sites in a fieldwork study,
his ideas with a strong personal conviction that gave his anal-
Image and Pilgrimage in Christian Culture (1978). His subse-
yses great force.
quent search for liminality in the modern secular world led
to his use of the word liminoid to represent the nonreligious
His final studies led him into the field of performance
genres of art, sport, and performance.
theory. In theater, especially experimental theater in the
United States in the late 1960s and early 1970s, Turner saw
Although Turner often emphasized his departure from
the same kind of liminal reflexivity, the public cognizance
social functionalism, his vision of religion and society re-
of social situations, that he encountered in rituals associated
mained partly indebted to it. Like Émile Durkheim, he saw
with the redressive phase of Ndembu social dramas. Togeth-
social order to be dependent upon ritual and ceremonial per-
er with the drama theorist and director Richard Schechner,
formances, and like Max Gluckman, he emphasized the ca-
Turner understood theater to be an important means of
thartic effects of ritual reversal that helped to restore and le-
communicating a society’s self-reflections and a means of
gitimate established social structures. But he went beyond
cross-cultural understanding. Thus he encouraged anthro-
both Durkheim and Gluckman by examining the processes
pologists to study theatrical performances as well as ordinary
of social change and the ways in which ritual helped to create
social life. In the course of his teaching he also guided stu-
new social realities. His work, along with that of anthropolo-
dents in the performance of ethnographic rituals as a means
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TURTLES AND TORTOISES
9407
of learning about ritual and about the societies from which
“Body, Brain, and Culture.” Zygon 18 (September 1983): 221–
the students came.
245.
At this juncture, he became interested in the subject of
On the Edge of the Bush. Edited by Edith Turner. Tucson, 1985.
the neurobiology of ritual. It appeared that the contrasting
New Sources
functions of the cerebral hemispheres, the right and left
Ashley, Kathleen M., ed. Victor Turner and the Construction of
brain, might correspond to the two aspects of society Turner
Cultural Criticism: Between Literature and Anthropology.
Bloomington, Ind., 1990.
had been looking at, structure and liminality. In a major
essay, “Body, Brain and Culture” (1983), Turner speculated
Barnard, H. G. “Victor Witter Turner: A Bibliography (1952–
1975).” Anthropologica 27 (1987): 207–233.
that the right hemisphere might also be the source of univer-
Haviland, William A. Anthropology. 6th edition. Fort Worth,
sal symbolic patterns, such as C. G. Jung’s archetypes or his
1991.
own root paradigms and deep myths, which seemed to exist
Lett, James. The Human Enterprise: A Critical Introduction to An-
at the subliminal level until activated and brought into the
thropological Theory. Boulder, Colo., 1987.
articulate realm of the left brain. The existence of different
McLaren, P. L. “A Tribute to Victor Turner.” Anthropologica 27
brain levels, especially the neocortex and the midbrain, also
(1987): 17–22.
seemed to resemble the ideological and orectic poles of domi-
nant symbols. Perhaps at the height of ritual, Turner specu-
BENJAMIN C. RAY (1987)
Revised Bibliography
lated, it was the interaction between these two levels with the
right and left hemispheres of the brain that produced the
transformational effect that was essential to successful ritual
TURTLES AND TORTOISES. There is a wide-
performance. Although these were but speculations about
spread belief that the earth rests on the back of a turtle or
the possible biological mechanisms of the ritual process, they
tortoise. This archaic idea is found not only among North
were consistent with Turner’s fundamental conviction that
American Indians but also in South Asia and Inner Asia. The
it was in the dynamics and dramatics of social, ritual, and
turtle now appears even as a symbol of the entire universe
theatrical events that one came to understand the lives of
(e.g., in China). Moreover, according to creation myths in-
others and oneself.
volving an earth diver, the turtle, sometimes as an incarna-
B
tion of the divine being, plays a prominent part in the cos-
IBLIOGRAPHY
From 1980 until his death in 1983, Turner was an editor of this
mogony of various cultures.
encyclopedia, to which he contributed two articles: “Bodily
According to the Maidu in California, a turtle dived to
Marks” and “Rites of Passage: A Few Definitions.” His previ-
the bottom of the primeval ocean and procured a little soil
ously published works include the following.
under its nails. When it surfaced, God scraped its nails care-
Schism and Continuity in an African Society: A Study of Ndembu
fully and made a ball like a small pebble. The ball of soil then
Village Life. Manchester, 1957.
grew miraculously until it became as large as the universe it-
Ndembu Divination: Its Symbolism and Techniques. Manchester,
self. The Yokut narrate how at the time of beginning the
1961. Reprinted in Revelation and Divination in Ndembu
eagle and the coyote sent a turtle into the waters. The motif
Ritual.
of the turtle’s successful dive is known also among the Algon-
Chihamba, the White Spirit: A Ritual Drama of the Ndembu. Man-
quin. According to the Onondaga and the Mohawk (i.e., the
chester, 1962. Reprinted in Revelation and Divination in
Iroquois), it was a turtle that directed several different ani-
Ndembu Ritual.
mals into the ocean; a beaver tried in vain, an otter also
“Betwixt and Between: The Liminal Period in Rites de Passage.”
failed, but a muskrat returned successfully with soil in his
In Symposium on New Approaches to the Study of Religion, ed-
claws and mouth. This soil was placed on the back of the tur-
ited by June Helm, pp. 4–20. Seattle, 1964. Reprinted in
The Forest of Symbols.
tle, and then the miraculous growth of earth began.
“Witchcraft and Sorcery: Taxonomy versus Dynamics.” Africa 34
Inner Asia has preserved similar stories. According to
(1964): 314–325. Reprinted in The Forest of Symbols.
the Buriats, in the beginning there was nothing but water
The Forest of Symbols: Aspects of Ndembu Ritual. Ithaca, N. Y.,
and a turtle. God turned the turtle on its back and built the
1967.
world on its stomach. In other versions, Mandishire (the bo-
The Drums of Affliction: A Study of Religious Processes among the
dhisattva Mañju´sr¯ı) transforms himself into a great turtle
Ndembu of Zambia. Oxford, 1968.
and supports the earth he has made on the surface of the
The Ritual Process: Structure and Anti-Structure. Chicago, 1969.
waters.
Dramas, Fields, and Metaphors: Symbolic Action in Human Society.
The great tortoise is often represented in India as the
Ithaca, N.Y., 1974.
sustainer of the four elephants upon whose backs the world
Revelation and Divination in Ndembu Ritual. Ithaca, N.Y., 1975.
rests. In the Maha¯bha¯rata the tortoise, as an avatar of Visnu,
Image and Pilgrimage in Christian Culture: Anthropological Perspec-
supports the earth when the gods and demons churn the pri-
tives. Written with Edith Turner. New York, 1978.
meval ocean to obtain ambrosia.
From Ritual to Theatre: The Human Seriousness of Play. New York,
In China, the turtle symbolizes the universe; its dome-
1982.
shaped back represents the sky, while its belly, square in
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9408
TU-SHUN
shape, stands for the earth. It also appears as the god of the
In the Sayr wa sulu¯k, T:u¯s¯ı gives a brief account of his
waters, presiding over the north, one of the four cardinal
theological and philosophical education, but he does not go
points of the universe. Black in color, it is symbolically asso-
into details about the scholars with whom he became ac-
ciated with winter and other aspects of the yin, or female
quainted, nor of his studies in mathematics and astronomy,
principle; as in ancient Egypt and Greece, the tortoise in
which latter became important areas of investigation for him.
China is a symbol of erotic power and fecundity. Moreover,
But we know from other sources that T:u¯s¯ı was a precocious
the great age to which the tortoise supposedly lives has made
learner and by the time he was seventeen he had studied the
it a symbol of longevity and immortality; in the mythico-
philosophy of Ibn S¯ına¯ (d. 1037) with Far¯ıd al-D¯ın Da¯ma¯d
iconographical tradition the tortoise often forms a complex
(d. c. 1246) and attended the lectures of Qut:b al-D¯ın
together with immortality, the moon, and paradise. There
Sarakhs¯ı (d. 1221) in N¯ısha¯pu¯r, where he is said to have met
are “stone” turtles in South Korea and southern Japan (Kyu-
the famous poet and mystic Far¯ıd al-D¯ın EAt:t:a¯r (d. 1220).
shu), at its seashore facing the Korean Peninsula. Dating
At around this time, it is also certain that he studied jurispru-
from prehistoric times, these monuments indicate that peo-
dence.
ple believed in the turtle bestowing new life or immortality
At the age of twenty-two, T:u¯s¯ı joined the court of Na¯s:ir
on the dead and escorting them to the otherworld far across
al-D¯ın Muh:tashim (d. 1257), the Isma¯E¯ıl¯ı governor of
the sea or to paradise under the waters.
Quhista¯n, in northeast Iran, where in his own words he was
accepted into the Isma¯E¯ıl¯ı community. It is probable that in
BIBLIOGRAPHY
N¯ısha¯pu¯r, which at the time was an active center of Isma¯E¯ıl¯ı
On the turtle in cosmogonic myths, much useful information has
been collected by Charles H. Long in his Alpha: The Myths
preaching, he had become acquainted with its teachings.
of Creation (New York, 1963), pp. 192ff. On turtle symbol-
Later, in a journey from Iraq to Khura¯sa¯n, he met Shiha¯b
ism in China, see Marcel Granet’s brilliant discussion in his
al-D¯ın Muh:tashim (d. c. 1245), a highly renowned Isma¯E¯ıl¯ı
La pensée chinoise (1934; reprint, Paris, 1968), pp. 173ff. Jo-
scholar, and gradually he became more acquainted with
hannes Maringer has studied “stone” turtles in East Asia in
Isma¯E¯ıl¯ı teachings through the religious writings of the
his article “Vorgeschichtliche Grabbauten Ostasiens in
Niza¯r¯ı Isma¯E¯ıl¯ı Ima¯m H:asan EAla¯D Dhikrih¯ı al-Sala¯m
Schildkrötenform und ihr mythischer Prototyp,” Antaios 5
(d. 1166).
(1963): 368–374.
In Quhista¯n, T:u¯s¯ı developed a close personal relation-
New Sources
ship with the governor and dedicated to him and his family
Süss, Rudolph. Vom Mythos der Schildkröte: das Urtier als Glücks-
ringer. Dortmund, 1991.
a number of scholarly works, such as the Akhla¯q-i Na¯s:ir¯ı,
Akhla¯q-i Muh:tashim¯ı, and Risa¯la-yi mu E¯ıniyya, which ulti-
MANABU WAIDA (1987)
mately paved the way for his move to Alamu¯t:, the seat of
Revised Bibliography
Isma¯E¯ıl¯ı political power in Iran.
Apart from editing, translating, and composing a variety
TU-SHUN SEE DUSHUN
of philosophical and scientific works, T:u¯s¯ı produced a num-
ber of Isma¯E¯ıl¯ı texts, adding his scholarly background and
talents to the unique collection of literature and archival ma-
T:U
¯ S¯I, NAS:¯IR AL-D¯IN. Nas:¯ır al-D¯ın T:u¯s¯ı
terials in Alamu¯t:. An example of this genre is his strong
(Muh:ammad ibn Muh:ammad ibn H:asan, AH 597–672/
philosophical and esoteric interpretation of Isma¯E¯ıl¯ı thought,
1201–1274 CE), addressed in general Islamic literature as
as represented in the Rawda-yi tasl¯ım in particular.
khawa¯jah (master) and the muh:aqqiq (scholar) of T:u¯s, was
The Mongol invasions of western Asia led to the col-
a Persian Sh¯ıE¯ı philosopher, theologian, mathematician, as-
lapse of Isma¯E¯ıl¯ı political power and the massacre of
tronomer, and statesman. He is by far the most celebrated
Isma¯E¯ıl¯ıs, who were perceived by the Mongols as a serious
scholar of the thirteenth century in eastern Islamic lands.
threat. Under these circumstances, T:u¯s¯ı sought alternative
Very little is known about his childhood and early education,
patronage and was able to obtain employment in the emerg-
apart from what he reveals in his autobiography, the Sayr wa
ing court of the Mongol conquerors, who wished to show
sulu¯k. He was born in T:u¯s, in northeastern Iran into an Ithna¯
E
support for learning and science. He also embarked on writ-
ashar¯ı (Twelver) Sh¯ıE¯ı family and died in Baghdad. He lost
ing a series of Twelver Sh¯ıE¯ı works.
his father at a young age. Fulfilling the wish of his father,
T:u¯s¯ı took learning and scholarship very seriously and trav-
In the Mongol court, T:u¯s¯ı witnessed the fall of the Ab-
eled far and wide to attend the lectures of the renowned
basid caliphate, and after securing the trust of Hu¯legu¯
scholars of the time. In a relatively short period, T:u¯s¯ı mas-
(d. 1265), he was given the full authority of administering
tered a number of disciplines. At a time when religious edu-
the awqa¯f (religious foundations). His primary concern dur-
cation was a priority, especially in his own family, which was
ing this period was to protect the life of scholars and their
associated with Twelver Sh¯ıE¯ı scholars, T:u¯s¯ı seems to have
freedom to pursue learning. He also established probably the
shown great interest in mathematics, astronomy, and intel-
most important observatory and center of scientific learning
lectual sciences.
of his time in Mara¯ghah, in the northwest of Iran. Under
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TWELVE TRIBES
9409
these circumstances T:u¯s¯ı acted as a senior advisor to Hu¯legu¯
glish by Vladimir A. Ivanow as Rawa˜atu Dt-Tasl¯ım, Commonly
and continued his scholarly activities and writing on various
Called Tas:awwura¯t (Leiden, 1950), and into French by
aspects of Sh¯ıE¯ı thought.
Christian Jambet as La convocation d’Alamu¯t: Somme de
philosophie ismaélienne (Lagrasse, France, 1996); Akhla¯q-i
The corpus of T:u¯s¯ı’s writings comprise approximately
Na¯s:ir¯ı, translated in English as The Nasirean Ethics by G. M.
135 titles on a wide variety of subjects, including astronomy,
Wickens (London, 1964); al-Tadhkirah f¯ı Eilm al-hayDa, ed-
ethics, logic, mathematics, philosophy, theology, Sufism, po-
ited and translated into English by F. G. Ragep in Nas:¯ır
etry and popular sciences. Some of these works—for exam-
al-D¯ın T:u¯s¯ı’s Memoir on Astronomy (New York, 1993), and
ple, his commentary on Ibn S¯ına¯’s al-Isha¯ra¯t wa-al-tanb¯ıha¯t
the Sayr wa sulu¯k, edited and translated into English by S.
on philosophy and the Akhla¯q-i Na¯s:ir¯ı on theoretical and
J. Badakhchani as Contemplation and Action: The Spiritual
practical ethics—are still used as textbooks in many centers
Autobiography of a Muslim Scholar (London, 1998).
of learning in the Muslim world.
S. J. BADAKHCHANI (2005)
T:u¯s¯ı’s interest in ethical writings begun in Quhista¯n
when, in answer to the request of Na¯s:ir al-D¯ın Muh:tashim,
he produced a number of ethical works, namely the Persian
TWELVERS SEE SHIISM, ARTICLE ON ITHNA¯
translations of Ibn Muqaffah’s (d. 759) al-Adab al-waj¯ız lil-
EASHAR¯IYAH
walad al-s:aq¯ır, Akhla¯q-i Muh:tashim¯ı, and Akhla¯q-i Na¯s:ir¯ı,
as well as the twenty-second chapter of the Rawda-yi tasl¯ım,
which, in line with the content of Akhla¯q-i Na¯s:ir¯ı, could be
classified as a text on philosophical ethics.
TWELVE TRIBES. The Twelve Tribes (previously
A proper scholarly investigation into T:u¯s¯ı’s contribu-
known as the Northeast Kingdom Community Church be-
tion to philosophy, astronomy, trigonometry, and mathe-
cause of its location in the northeast corner of Vermont, and
matics has only recently begun. His importance in religion
later as the Messianic Communities) is a communal, mille-
lies partly in his being one of the subtlest and most learned
narian Bible-based movement that emerged from the Jesus
of the Sh¯ıE¯ı theologians, and partly in his application of
Movement in the 1970s counterculture of the United States.
philosophical ideas and methods to Islamic contexts and
Many of the Christian sects that emerged from this move-
problems, as well as his active involvement in the politico-
ment, such as the Children of God (the Family), Shiloh, and
religious debates of his time. Within the overall domain of
Jesus People USA, developed communal patterns of living.
Islamic philosophical thinking, by defending Ibn S¯ına¯’s phi-
The Twelve Tribes is one of the few Jesus groups that sur-
losophy, T:u¯s¯ı should be considered as representing a revival
vived from this period without disbanding or being absorbed
of philosophical thinking in the eastern Islamic lands. For
into the U.S. religious mainstream.
him, differences between Muslim sects and persuasions were
Elbert Eugene Spriggs (b. 1937) had worked as a per-
merely theological debates, allowing the partisans to move
sonnel manager and former schoolteacher when he joined a
freely from one stand to another without necessarily having
charismatic church in Glendale, California, in 1971. When
to take parochial positions. It is from such a perspective that
the church disbanded, he moved back to his hometown,
his ideas contributed to the development of h:ikmah
Chattanooga, Tennessee, with his new wife, Marsha Ann
muta Ea¯liyah (higher wisdom), later developed by Mulla¯
Duval. There the couple set up a small coffee shop in 1972
S:adra¯ (d. 1641) and the school of Isfahan.
called the Light Brigade, where they held Bible study groups
in the evenings. Attracting both young conservative Chris-
BIBLIOGRAPHY
tians and hippies from the “lost generation,” these Bible
There are still no comprehensive studies on T:u¯s¯ı in European lan-
study sessions extended long into the night, so people
guages. See H. Daiber and F. G. Ragep, “al-T:u¯s¯ı, Nas:¯ır
brought their sleeping bags and gradually moved in with the
al-D¯ın,” in Encyclopaedia of Islam, new edition (Leiden,
Spriggses, who shared their resources with their flock. The
1999), vol. X, pp. 747–757; as well as Wilferd Madelung,
coffee-house ministry expanded to include five Victorian
“Nas:¯ır al-D¯ın T:u¯s¯ı’s Ethics between Philosophy: ShiEism
houses that were renovated by Spriggs and his followers.
and Sufism,” in Ethics in Islam (Ninth Giorgio Levi Della
Vida Conference, May 6–8, 1983; Malibu, Calif., 1985), ed-
They also opened as a “court of the gentiles” a small health-
ited by Richard G. Hovannisian, pp. 85–101; Hamid Da-
food café called the Yellow Deli. The Spriggses attended the
bashi, “Khwa¯ja Nas:¯ır al-D¯ın al-T:u¯s¯ı: The Philosopher/
First Presbyterian Church with their flock, and worked close-
Vizier and the Intellectual Climate of His Times,” in History
ly with the New Covenant Apostolic Order, a short-lived
of Islamic Philosophy, edited by Seyyed Hossein Nasr and Oli-
Christian group.
ver Leaman (London, 1996), pp. 527–584; Herman Lan-
The group’s break with the mainstream Christian
dolt, “Khwa¯ja Nas:¯ır al-D¯ın T:u¯s¯ı, Isma¯E¯ıl¯ısm and Ishra¯q¯ı
Philosophy,” and Farhad Daftary, “Nas:¯ır al-D¯ın al-T:u¯s¯ı
church occurred in 1975, when the Spriggses and their
and the Ismailis of the Alamut Period,” in Nas:¯ır al-D¯ın T:u¯s¯ı,
friends arrived for the Sunday morning service at the local
ed. N. Pourjavady and zˇ. Vesel (Tehran, 2000), pp. 13–30
Presbyterian church and discovered that the service had been
and 59–67, respectively. Translations of some of T:u¯s¯ı’s
canceled on account of the Super Bowl. The Spriggses and
works include: Tas:awwura¯t, edited and translated into En-
their friends began to hold Sunday services in their commu-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9410
TWELVE TRIBES
nal homes, and called themselves the Vine Community
Members give each other Hebrew names, accessed
Church. Spriggs began to baptize members in the local pond,
through inspired moments of prophecy. They consider
an act that alienated the Chattanooga Christian community,
themselves to be part of the Commonwealth of Israel form-
because he was not ordained in any denomination. They also
ing in the last days, bound by the New Covenant in the
began observing the Saturday Sabbath, following Jewish cus-
blood of the Messiah (Eph. 2:12). The Tribes are strongly
tom. In 1980 the group relocated to Island Pond, Vermont,
evangelistic, but instead of sending out missionaries to
where they were called the Church in Island Pond, and as
spread their doctrines, they seek to win converts by inviting
they spread through New England, they adopted a new
outsiders into their communal houses in order to demon-
name, the Northeast Kingdom Community Church.
strate the reality of a loving, sharing, orderly communal and
family life. Visitors are invited to share their meals, and to
“Gene” Spriggs is recognized by his followers as an
“Apostle” (authoritative teacher). Although all community
witness their happy family life and joyful revival meetings,
members believe that they are inspired by God and have the
which combine circle dancing, singing, sermons, and prayer.
gift of prophecy, they believe that he exhibits these gifts on
Once there, visitors encounter a unique, spiritual culture that
a higher level, and they call him Yoneq (Hebrew for “sap-
resembles the historic Shaker villages in its “hands to work,
ling”). This millenarian movement has grown to around
hearts to God” ethic. Twelve Tribes women are skilled in the
2,500 members (half of them are second and third genera-
crafts of baking, painting with watercolors, sewing and mac-
tion) living in communities in nine countries on four conti-
ramé, and making soaps and body lotions. The men are
nents as far-flung as New Zealand, Brazil, England, France,
skilled in leatherwork, cabinet-making, candle-making, and
Germany, Spain, and Canada. Their early communities were
making stained-glass windows. Their renovated Victorian
established in New England—Vermont, Rhode Island, and
houses preserve the historic style, and they repair antique fur-
Massachusetts, where the largest concentration of members
niture, expressing their doctrine of restoration. Their chil-
can be found. Each community names itself after its local
dren sing and compose an impressive repertoire of original
town or area.
devotional songs. Boys work alongside their fathers in the
candle factories and farms, and daughters assist their mothers
Over their thirty-year history, the Twelve Tribes have
in the kitchen and sewing rooms. All members spend at least
come to believe that they are the restoration of the messianic
two hours a day in devotional dancing and singing, and
Hebrew New Testament community of the first century CE.
many play and even build their own musical instruments.
This belief evolved through members’ study of the Bible and
personal experiences. They reject the “white-bread” Chris-
Another missionary strategy employs the community’s
tianity of mainstream churches that worship a remote imper-
famous double-decker buses, which appear at Grateful Dead
sonal God and does not sustain the soul, and they replace
festivals, the Billy Graham Crusade, the Rainbow Gathering,
it, both literally and symbolically, with the “wholegrain,
and other mass events. Men, women, and children make
home-baked bread” of their living communal “church” that
friends by offering hospitality that includes free distribution
seeks to bring about the return and loving union with Yah-
of wholegrain baked goods, apple cider tea, and first-aid ser-
shua (Jesus). The community attempts to restore the New
vices, and members invite the crowd to join in their circle
Testament church by developing a physical and artistic cul-
dancing and musical jams. They distribute the Freepaper,
ture that interprets first-century messianic Judaism in twen-
their missionary tract which portrays a utopian vision of per-
ty-first-century terms. They are divided into “tribes” that
fect, loving families and service to one’s brothers and sisters
correspond to their geographical regions. Men grow full
preparing for the return of Yahshua.
beards and women cover their heads with scarves, following
Considering that this new religious movement is rela-
the Jewish custom.
tively small and lacks the controversial features of some other
In the “church” (community), members follow a strict
Christian millennial groups—such as the use of firearms or
code of ethics, dress, and diet, and must surrender to the hi-
illegal drugs, and polygamy or “free love”—level of conflict
erarchical authority that descends from God through Yoneq,
between the group and the larger society has been extraordi-
the Elders, the Teachers, the fathers, and the mothers, to the
narily high. The trouble began in Chattanooga in the mid-
children. The Twelve Tribes is dedicated to ushering in the
1970s with a series of eight kidnappings and “deprogram-
millennium by “raising up a people” who are truly loving and
mings” of Spriggs’s youthful followers by Ted Patrick, the
free of sin and selfishness. The church defines itself as the
cofounder of FREECOG, the first anticult organization that
“pure and spotless bride” of Revelation who is preparing for
formed in opposition to the Children of God (COG).
the return of her king, Yahshua—the second coming. The
FREECOG and was superseded by the nationally based Citi-
path of the Tribes is the restoration of the primitive Jewish/
zen’s Freedom Foundation, which networked with the
Christian church, as described in Acts 2:37–47 and 4:32–35.
media, labeling the Tribes a cult and attributing their success
This restoration is both theological and practical, and has led
in winning converts to brainwashing. The conflict escalated
to a whole new way of life based on renouncing possessions,
in 1982 when a series of custody battles launched by parents
worldly habits, and attachments, and sharing all goods in
who had left the community drew attention to the group’s
common.
sectarian methods of child rearing and their strict, Bible-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TWINS: AN OVERVIEW
9411
based practice of corporal punishment of children. Stigma-
ual process in which, before the return of Yahshua, the
tizing news reports proliferated, portraying the Island Pond
Tribes must raise up a people of seven generations before the
Community Church as a scary, gothic, puritanical “neo-
Yo-bell, the last trumpet of revelations, will be blown. A new
Salem,” where children were routinely neglected and abused.
revelation laid out in the Stone Kingdom Freepaper, a special
edition of the Freepaper, adds a middle ground between the
The Twelve Tribes guidelines stipulate that children
saved and the damned, where “just men,” or people who
who do not obey upon first command must be punished,
have never encountered the Tribes, will live.
and the millenarian rationale is that they must be alert and
ready to respond to Yahshua’s call when he returns. Chastise-
SEE ALSO Family, The; Jesus Movement; Millenarianism,
ments usually consist of a few blows to the palm with a flexi-
overview article.
ble stick, and they must not be given in anger. Through this
discipline, parents believe that their children will achieve
B
eternal life; otherwise, they are in danger of “dying” into sin.
IBLIOGRAPHY
Bozeman, John, and Susan Palmer. “The Northeast Kingdom
On June 22, 1984, the Island Pond Community was the
Community Church of Island Pond, Vermont: Raising Up
target of a massive raid to seize their children. Ninety Ver-
a People for Yahshua’s Return.” Journal of Contemporary Re-
mont state troopers and fifty social rehabilitation services
ligion 12, no. 2 (May 1997): 181–190.
workers arrived in the predawn hours with a court order;
Palmer, Susan J. “Helpmeets in the Messianic Communities.” In
they searched the households and took 112 children into
Moon Sisters, Krishna Mothers, Rajneesh Lovers: Women’s Role
protective custody. Parents accompanied their children to
in New Religions, edited by Susan J. Palmer. Syracuse, N.Y.,
the hearing in Newport, Vermont, where District Judge
1994.
Frank Mahady held forty individual hearings in one day. At
Palmer, Susan J. “Apostates and Their Role in the Construction
the end of the day, he ruled that the search warrant issued
of Grievance Claims against the Northeast Kingdom/
by the state was unconstitutional, and he noted that the chil-
Messianic Communities.” In The Politics of Religious Aposta-
dren involved had been detained solely in order to provide
sy: The Role of Apostates in the Transformation of Religious
Movements, edited by David G. Bromley, pp. 191–208.
evidence for charges of abuse, and that no concrete evidence
Westport, Conn., 1998.
other than hearsay had been produced by the state. The
church-state confrontation thus ended abruptly, and the
Palmer, Susan J. “Frontiers and Families: The Children of Island
children were returned to their parents. Ten years after
Pond.” In Children in New Religions, edited by Susan J.
Palmer and Charlotte E. Hardmann, pp. 153–171. New
the raid, the Twelve Tribes held a festival (which has become
Brunswick, N.J., 1999.
an annual event) to commemorate their “deliverance” from
the raid. Some of the children of the raid, many of whom
Palmer, Susan J. “The Messianic Communities’ Stone Kingdom.”
In Christian Millennialism from the Early Church to Waco, ed-
are married with their own children, speak out in defense of
ited by Stephen Hunt. London, 2001.
their parents and their community.
Swantko, Jean A. “A 25 Year Retrospective on the Impact of the
The Tribes have also become a target for Christian
Anti-Cult Movement on Children of the Twelve Tribes
countercult groups who are combating Christian heresy.
Community.” Paper presented at the Thirteenth Interna-
Reverend Robert Pardon founded the New England Insti-
tional Conference of CESNUR. Bryn Athlyn, Penn., 1999.
tute of Religious Research, and through his website he dis-
Swantko, Jean A. “An Issue of Control: Conflict between the
seminates discrediting accounts of the Twelve Tribes’s Apos-
Church in Island Pond and State Government.” Available
tle, their “heretical” doctrines, and what he perceives to be
from http://religiousmovements.lib.Virginia.edu/nrms/
excessive control by the group over the lives of individuals.
tribes.html.
The two executive leaders of the Tribes are a married
SUSAN J. PALMER (2005)
couple, Eddie Wiseman (“Hakam”) and Jean Swantko, a
lawyer who experienced a religious conversion while working
on Wiseman’s legal defense. They have responded to anticult
pressure and social-control efforts by secular authorities by
TWINS
This entry consists of the following articles:
opening up dialogues with scholars at conferences, holding
AN OVERVIEW
press conferences, and making persistent efforts to correct
BALTIC TWIN DEITIES
misinformation and reach out to their critics. The Twelve
Tribes, who have adopted the colonialist hero Roger Wil-
liams as a sort of patron saint, have managed to realize their
TWINS: AN OVERVIEW
own “separation of church and state” by preserving strict
The notion of duality, which must be distinguished from du-
boundaries between their community and the “sinful” soci-
alism, is common to every human culture. It finds a particu-
ety that surrounds them, while softening some of their sectar-
lar expression in the concept of the couple, an idea under-
ian attitudes. Their millenarian drama has evolved from an
stood as a generating agency not only in the field of animal
uncompromising and imminent catastrophic scenario in
physiology but also in numerical and metaphysical symbolo-
which all outsiders will fall into a lake of fire, to a more grad-
gy (as, for example, in Pythagorean speculation). According
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9412
TWINS: AN OVERVIEW
to this, the One and the Two, as generating principles, are
More significant and much older is a text belonging to the
perceived as masculine and feminine. The kind of duality ex-
very old Ga¯tha¯s in the Zoroastrian Avesta (Yasna 30.3). This
pressed by the generating couple need not be viewed as dual-
poem mentions two spirits (Spenta Mainyu and Angra
istic in itself, but the shift from duality to dualism is obvious
Mainyu) who “were seen in sleep as twins”; they are respec-
when the constituent elements (the One and the Two, male
tively good and bad in thought, word, and action and the
and female) are understood as principles that are, in effect,
foundations of life and its opposite. According to a recent
principal: that is, when their mutual relationship is responsi-
translation of this text by Helmut Humbach, their aspects
ble for the first origins of the world and of human beings
as the foundations of life and its opposite are not to be inter-
and, at the same time, is one characterized by a strong dispar-
preted specifically in a chronological sense (that is, in the
ity of value (or even a total opposition) between them.
sense of a cosmogony); but one may still consider the two
Another privileged expression of duality, in both physi-
spirits as opposite principles that exist prior to any manifesta-
ology and symbology, is the notion of twinship. The concept
tion of their existence in this world and hold them account-
of twinship is not reducible to the projection of a physiologi-
able for the existence of good and bad, life and death. Thus,
cal experience on a symbological plane. In fact, physiology
they express a radical formulation of dualism, not only moral
requires the possibility of more than two twins, a possibility
but ontological.
that is normally excluded in the symbological use of the no-
It is not clear, however, whether the two spirits are liter-
tion. Thus, the duality of twins, an essential constituent of
ally twins. According to most scholars, they are sons of one
the notion in symbology, is given a peculiar function in the
and the same father, Ahura Mazda¯ (the former spelling of the
field of ontology, different from that of the couple. First, the
name O
¯ hrmazd), because other texts in the Ga¯tha¯s state that
couple is understood as a generating agency from the dynam-
Ahura Mazda¯ is the father of the beneficent Spenta Mainyu.
ic perspective of a sonship, which, on the symbological plane,
Moreover, the same scholars, noting that the text quoted
can be unitary (as in the triadic pattern of father, mother,
above mentions a “choice” made by the two twins (a good
and son) or indefinitely plural. The notion of twins, howev-
er, is oriented toward stasis, whether there is a perfect sym-
choice by the first and a bad choice by the second), think that
metry between the two constituent elements, or, inversely,
these choices were made freely, in keeping with the then-
disparity between them. In fact, twinship is founded on the
current Zoroastrian notion of the free choice between good
physiological experience of the diachrony of twins’ concep-
and bad that can be made by any human being in this world.
tion in or emergence from the maternal womb. (This diach-
This interpretation appears highly improbable. Good and
rony is the motivation behind seniorship, the notion that the
bad seem natural choices for the first and second spirit re-
twin born second was conceived first.)
spectively (otherwise, why should there be precisely two?),
in the sense that the spirits prefigure the radical character of
HISTORICAL EXAMPLES. Diachrony is a decisive element in
the choice. Or, rather, they embody it, but as principles and
a famous mythical story about twins, the myth of the birth
preformate referents of the choice itself and its consequences
of O
¯ hrmazd and Ahriman, the God and the Antigod of Zo-
for people and da¯evas, that is, life and its opposite. This is
roastrian religion; this narrative is not explicitly accounted
the only interpretation that can account for the pregnancy
for in Zoroastrian literature but only in Christian and Islam-
and the profound intermixture of ontology and ethics (as
ic sources arguing against Zoroastrianism. It was not intend-
well as cosmogony and moral struggle) that is characteristic
ed to resolve the radical dualism of Zoroastrianism but to
of Zoroastrianism in every period of its history. Moreover,
provide an explanation of the origins of evil. Zurwa¯n, the
it would be impossible to conceive the great god Ahura
personification of time, performed a sacrifice in order to gen-
Mazda¯ as the father of the evil spirit, for the simple reason
erate O
¯ hrmazd, the potential creator of all good things. But
that their respective essences have nothing in common. In
Zurwa¯n doubted the efficacy of his sacrifice, and as a result
conclusion, the term twins, as applied to the two spirits,
he gave birth to twin sons, O
¯ hrmazd and Ahriman. The for-
should be understood in that Gathic text not as designating
mer was a result of his sacrifice, and the latter the conse-
brothers, sons of one and the same father, but as a strong ex-
quence of his doubt. Since Zurwa¯n had pledged to concede
pression of their symmetrical and perfectly contrary essences.
the royal privilege to the first son who appeared before him,
In order to compare this notion of the twin spirits with the
the perverse Ahriman broke out of the maternal womb pre-
myth of Zurwa¯n and his two sons (who are also good and
maturely and demanded the fulfillment of his father’s prom-
bad already in their respective natures and not as a conse-
ise. Zurwa¯n did not acknowledge him as a true son but was
quence of a contrary choice made by them), one must take
obliged to honor his promise; he declared that Ahriman
into account the precisely different natures of Ahura Mazda¯
would be king for nine thousand years, but that O
¯ hrmazd
and Zurwa¯n. The former is a supreme being completely en-
would be king forever.
dowed with personality and ethics; the latter—as time or des-
Despite Zurwa¯n’s probable existence in the mythology
tiny personified—is not so endowed; he is an entity apt to
of older times (in the cuneiform tablets of Nuzi and, accord-
have materially with himself and to generate from himself
ing to some scholars, in a silver relief coming from Luristan),
such contrary personal agents as the twin characters, God
a similar myth of twinship appears in later religious contexts.
and Antigod, that is, O
¯ hrmazd (the old Ahura Mazda¯) and
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TWINS: AN OVERVIEW
9413
Ahriman (the old Destructive Spirit) and their mutually op-
Ahriman (with the exception of some brief, very heterodox
posing activities.
tales in which he is given some positive capacities that render
him rather akin to the figure of a trickster: For example, it
These two examples show the mythical theme of twin-
is he who knows what O
¯ hrmazd must do in order to create
ship in the context of the dualistic conceptions of Zoroastri-
the great luminaries). However, some comparisons may be
an religion. As has been seen, the opposition between the two
drawn between the Iroquois myth and the myth of the birth
twins in the Ga¯tha¯s and in the myth of Zurwa¯n is, in a sense,
of O
¯ hrmazd and Ahriman from Zurwa¯n. Some of the char-
horizontal. A different use of the theme of twins is present
acteristics of the bad Tawiskaron may remind one of the
in Manichaeism. Mani was said to have a counterpart in the
deeds of Ahriman. The bad Iroquois twin breaks out of the
celestial realm, a twin, (Syr., at-Taum) a pneumatic-divine
maternal womb, emerging from his mother’s side. Iouskeha’s
entity who was both his protecting agency and his alter ego.
demiurgical activity, like that of O
¯ hrmazd, calls the good
In the Manichaean Codex of Cologne, a Greek biographical
creatures of the world into existence; the creations of his twin
text, the term suzugos (“he who is bound in marriage”) is sub-
are monstrous and maleficent. Tawiskaron calls into exis-
stituted for twin. This is reminiscent of the fact that in Val-
tence a gigantic frog who absorbs all the water in the world,
entinian Gnosticism the soul of the Gnostic was conceived
causing aridity—a mythical motif that also exists in the
of as feminine, destined to marry her divine counterpart, her
Zurwa¯n mythology. All in all, differences predominate. Even
angel. In Mani’s case, the terms twin and husband both point
though Iouskeha (or Oterongtongnia) triumphs, he does not
to a relationship that implies the Gnostic notion of the per-
transcend his identity as a twin and grandson—not even the
fect consubstantiality of the celestial element and its counter-
privileged one—of the female, primordial character, Ataent-
part active in the terrestial realm. The terrestrial element
sic. Therefore, he has very little in common with the high
waits to be reunited with the celestial element, the pneumatic
god of Zoroastrianism, who does transcend his earthly role.
self. At the same time, the heavenly twin and the angelic hus-
band are an expression of transcendence in relation to what-
There are numerous problems connected with the
ever lives in the terrestial realm: “The mysteries and [vi]sions
myths of twins found among American Indians because of
and the excellence of my Father, and concerning me, who
certain sociological elements common to many tribes; the
I am, and my suzugos . . . who he is” (Manichaean Codex
tendency toward a dual organization, for instance, is shared
of Cologne 23.1–5). It is clear that this ambivalence concern-
by many populations of North and South America. It ap-
ing the perfect consubstantiality (or even identification) be-
pears that the two moieties of a tribe are frequently connect-
tween Mani and his twin and at the same time the difference
ed with two mythical twins. According to Werner Müller
between them (i. e., their respective, actual identities) before
(1956), this prevents one from interpreting the opposition
the final return of Mani’s soul to its original abode implies
between such twins as a crude opposition between good and
a vertical structure, well adapted to the general Gnostic no-
evil. According to Mircea Eliade, the Iroquois myth “is a du-
tion of a devolution of some pneumatic essence or of its mis-
alist myth, the only North American myth susceptible to
sion in this mixed world. This notion is antithetical to the
comparison with the Iranian dualism of zurvanite type. . . .
radical, horizontal opposition of essences expressed in Zoro-
Nevertheless, as shall presently be seen, such an irreducible
astrianism in the notion of twin spirits.
antagonism does not reach the Iranian paroxysm, and this
for the simple reason that the Iroquois refuse to identify in
Among the nonliterate cultures in which dualistic and
the ‘bad’ twin the essence of ‘evil,’ the ontological evil that
(needless to say) dual myths and conceptions exist, explicit
obsessed Iranian religious thought” (Eliade, 1969, p. 147f.).
radical dualisms are rare. The notion of two symmetrically
Moreover, the ontological basis of the Iroquois dual and (be-
opposed twins is found in the Iroquois myth of Iouskeha
cause connected with cosmogony) dualistic mythology is in-
(“sprout”) and Tawiskaron (“flint”). More primitive tribes
tertwined with sociological and cultural motivations; it im-
that profess a dualistic mythology do not share the idea of
plies a question not only of essence but also of function.
a symmetry between two opposed, superhuman beings (as,
Tawiskaron’s activity, though essentially negative in its value,
for example in the myth of Coyote, who has nothing in com-
is considered to have an effect on Iroquois institutions (their
mon—as far as his origin and ontological meaning are con-
cult and calendar) and way of life. As Eliade observes (on the
cerned—with the creator). The Iroquois are agriculturalists
basis of Werner Müller’s argumentation), it was a prophet
with matriarchal institutions. This may imply that the dual-
of the Seneca tribe, Handsome Lake, who, at the beginning
istic structure expressed in their myth, both in terms of the
of the nineteenth century “substituted for the couple of the
symmetry of opposing twins and their common origin from
mythical Twins that of the Great God, Haweniyo (the ‘Great
a maternal entity, derives from a lunar mythology. On the
Voice’) and the Devil, Haninseono (‘Who Dwells in the
other hand, this symmetry must be distinguished from that
Earth’)” (ibid., p. 148). This substitution could be a result
found in Zoroastrianism between the opposed “twin” spirits,
of the prophet’s monotheistic tendency, but as Müller and
or between Ahriman and O
¯ hrmazd. The Zoroastrian notion
Eliade point out, it could also be a response to the accusation
of the ontological opposition between the two spirits or be-
made by the Europeans that the Iroquois “adored the Devil.”
tween God and Antigod is radicalized to such an extreme
This accusation has been leveled several times in response to
that it denies any dialectical or complementary function for
dualistic theologies and mythologies; it implies that there is
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9414
TWINS: AN OVERVIEW
a cult around the second element of the couple. This element
cannot but concur with Eliade that the twins in these my-
may be a demiurge-trickster, a culture hero, or a twin, in no
thologies form a complementary couple ruling “the two
way an exclusively bad character because it is also connected
modes or two ‘times,’ which together constitute the living
with an important, complementary aspect of reality. Such a
and fertile universe” (ibid., p. 149).
notion is a reminder of the Egyptian myth (as expounded by
Another character from these Iroquois myths, the Gran-
Plutarch) that Seth, the opposing and destroying agency
de Bosse, a double of Tawiskaron, who fought against the
complementary to Osiris, was defeated but not annihilated
creator and introduced sickness and other evils, was finally
in order that the equilibrium of the universe remain un-
defeated but was given the task of curing and helping people.
changed.
This double lives on the cliffs at the borders of the world,
According to A˚ke Hultkrantz, the theme of twins in
in the land where diseases are born, accompanied by the
American Indian culture is connected with the figure of the
False Faces, the abortive creations of Tawiskaron, who had
culture hero. This hero may be the father of the twins; in
tried in vain to imitate the human beings created by his
some instances, at least one of the twins has some of the
brother. But, as Müller points out, as known from ritual,
hero’s characteristics. One even gets the impression that the
these creatures “in spring and autumn, drive away the mala-
twins incorporate respectively the two essences or tendencies
dies from the villages” (Müller, 1946, p. 272). This is a no-
present in the culture hero: “the vocation to produce and the
tion widespread both in North America and in Australia,
vocation to destroy” (Hultkrantz, 1963, p. 41). Hultkrantz
namely, that bad entities or spirits that are guilty of homicide
maintains that there is also a kind of parallelism between the
are endowed with the capacity to heal: They know the “med-
relationship linking the supreme being and the culture hero
icine.” In the Menomini cult of Manabozo, for example, the
on the one hand and the relationship between the two twins
evil spirits responsible for the death of the brother of the hero
on the other. “It seems verisimilar that the myth of the twins
are obliged to impart the medicine to those initiated in the
be a variation of the mythological theme expressed in the re-
cult, that is, to act against their previous homicidal activity.
lationship between the Supreme Being and the cultural hero,
The same applies to the dreadful character of Crow in some
and that it influenced the latter only secondarily, possibly
Australian myths and also to the Egyptian myth already
emphasizing dualism present in this” (ibid., p. 41f.).
mentioned, in which the evil Seth is defeated but not annihi-
lated. A providential decision by Isis allows him to continue
In other cases, the twins have nothing in common with
his struggle against Apophis, the serpent, who day after day
the culture hero, but they may accomplish—individually or
attacks the cosmic boat of the sun crossing the heaven.
together—some of the deeds traditionally attributed to him.
Eliade’s discussion applies to the Egyptian situation as well
According to Paul Radin (1949), three types are to be distin-
as to the Indian:
guished at the core of American Indian myths of twinship.
First, the mother of the twins dies as a result of outside ag-
In other words, though the adversary has been defeated
gression or the unnatural birth of the bad twin (as among
by the Great God, his works, the “evil,” persist in the
the Iroquois). In both myths, the second twin is negative and
world. The Creator does not seek to, or perhaps he can-
violent, but the first—at least in the first type of myth—is
not, annihilate the “evil,” but neither does he permit it
scarcely more commendable in his modus operandi. Second,
to corrupt his creation. He accepts it as an inevitable
negative aspect of life, but at the same time he compels
the twins are children of the Sun. They are different in char-
his adversary to combat the results of his own work.
acter, but they cooperate. The third type of myth is a combi-
(1969, p. 149)
nation of the first two. The first type seems to be common
among the northern regions of North America; the second
Eliade points out, too, that the Iroquois worldview displays
is concentrated in the southwestern regions of the same con-
a clearly dualistic view of evil. Considered a “disastrous inno-
tinent; the third belongs exclusively to South America.
vation” brought about by some bad superhuman personage,
evil is nonetheless
Particularly interesting is the respective quality of the
achievements of the twins in the context of their demiurgical
accepted as a henceforth inevitable modality of life and
activity, an issue that adds new particulars to the generic
of human existence. . . . The universe is imagined to
statement that the second twin, as Eliade points out, “does
have a central portion, i. e., the village and the cultivat-
not incarnate the idea of, ‘evil’ but only the negative, dark
ed fields, inhabited by men; this central portion is sur-
rounded by an exterior desert full of stones, swamps,
aspect of the world” (Eliade, 1969, p. 149). Thus, among the
and “False faces.” (ibid., pp. 149–150)
Tuscarora, an Iroquois tribe, the bad twin, “animated by a
bad spirit,” came violently to light, so killing his mother. The
The same situation is found in old Egypt, where the Nile and
good twin tried to create plants and animals, but the other,
the land that is periodically flooded by it belong to Osiris;
trying to imitate him, succeeded only in bringing desert
the desert and the barren sea (with the foreign, Asiatic) coun-
lands and reptiles into existence. The bad twin also created
tries belong to the “red” Seth (red being the color of the de-
the bodies of human beings; his brother gave them souls. In
sert), who is characterized by loneliness, infertility, and ag-
the end, the bad twin was vanquished but not annihilated;
gressiveness. A similar notion is found among the Dogon of
he became the king of the dead (Hultkrantz, 1963). One
West Africa. Nommo, the god of water (that of the Niger),
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TWINS: AN OVERVIEW
9415
may resemble the high god of numerous mythologies in his
The principle of twinship is fundamental to the ideolo-
creative activity. The infelicitous attempts of his evil brother,
gy of the Dogon of Mali. For them, twinship means perfec-
Yurugu, or Ogo (who is not properly a twin), at creation re-
tion. One of the main characters of their cosmology and cos-
sult in misshapen, monstrous creatures. Compelled by his ex-
mogony is Nommo. He is perfect and beneficent. His
perience of failure, he introduces pain into the existence of
personality is equivalent to a pair of twins, masculine and
the good creatures. In doing so, Yurugu joins the ranks of
feminine, who represent the ideal couple. This couple is not
the demiurge-tricksters at least in terms of his inability to im-
to be imitated on this earth because the marriage between
itate the efficacy of the creator. But a difference remains. The
twins is prohibited as a result of the troubles caused by
demiurge-trickster is more interested in particular occur-
Yurugu, or Ogo, the first son of Amma and the Earth.
rences in purposedly worsening the quality of life than is the
Nommo as a spiritual entity is a married couple, which is,
bad twin or brother; he introduces painful conditions of life,
because married, completely perfect. Yurugu alone is single,
creates cliffs and mountains that are difficult to cross, and
imperfect, and unhappy. He personifies deficiency, ontologi-
causes people to become mortal (as does Coyote among some
cal and ethical. Not directly linked to a twin (Nommo is
Californian tribes and the bad demiurge of some Asiatic my-
his younger brother), Yurugu is only understandable as
thologies). But he also justifies his actions by claiming that
Nommo’s misshapen opposite. But it is exactly this opposi-
he challenges human cultural creativity by providing obsta-
tion (and not the twinship inherent in the entity that is
cles to survival.
Nommo) that introduces a crucial dialectic between
completeness and deficiency in the Dogon ideology. In this
Another important feature of American Indian mythol-
ideology, there is a kind of articulated totality in which defi-
ogies of twins is that in South America and in the southwest-
ciency—as represented by Yurugu—is an indispensable com-
ern regions of North America twins are conceived as sons of
ponent. All in all, it may be concluded that in the Dogon
the sun. Their birth is characterized by the violent death of
ideology, twinship attains a higher status than in American
their mother. The twins are not necessarily portrayed as ri-
Indian mythologies, because in those mythologies the princi-
vals. The difference between them is sometimes attested to
ple of twinship is directly engaged in a dialectic of complete-
by the difference of their respective destinies; one of them
ness and incompleteness as an element constituting a totality
experiences death but is resurrected by the other (a motif
(so that even the “dark” element of a pair of twins is consid-
found in the classical myth of the Dioscuri). These twins rep-
ered positive from a functional point of view).
resent universal duality at the cosmological and sociological
levels, which fact, however, does not prevent a consideration
According to the Dogon conception, twinship as such
of them as disparate in terms of their ontological consistency
transcends evil but is pledged to coexist with it (i.e., with the
and their axiological evaluation. Similar interpretations apply
single Yurugu). This kind of triadic ontology is very similar
when the mythical referents of the twins are respectively Sun
to that expressed in the Egyptian myth of Osiris and Seth
and Moon, such as among the Apinagé (or Apinayé; see Ni-
told by Plutarch. The good Osiris and the bad Seth are not
muendajú, 1939). Among the Caribbean population of the
twins but brothers. Osiris’ counterpart is his wife, Isis; Seth
Kaliña, the first twin, Tanusi, is a kind of high god and an-
is infecund and alone—which does not prevent him from
cestor, the creator of all good things, living in the “land with-
being an element of a universal totality. Yurugu’s status as
the older son of Amma is a feature not uncommon in dualis-
out evening.” Yolokantamulu, his twin brother, is connected
tic conceptions. For instance, the birth of Ahriman precedes
with obscurity and the pains of humanity and lives in the
(though as a consequence of a trick and a violent act) that
“land without morning.” By the standard tendency implicit
of O
¯ hrmazd in the Zurvanite myth, while Satan is the youn-
in this kind of duality, the inborn disparity of the twins is
ger (or older) brother of Christ in the dualistic and sectarian
not to be explained only as an expression of mere opposition
doctrine of the Bogomils. The violence that characterizes the
between good and evil but also (or even preeminently) as an
birth or coming to light of a bad twin or brother is typical
expression of ontological and cosmological (and sometimes
of such twinship mythologies; this feature probably expresses
sociological and psychological) complementarity (but see
a kind of recrimination against the bad twin, which is in-
also the discussion by Josef Haekel, 1958, concerning Tanu-
tended to diminish but not to abolish his “legitimacy.”
si’s feature as high god). At the same time, a notion of the
disparity of value between the twins in the American Indian
Finally, as far as the “incompleteness” of Yurugu is con-
mythologies and religions can find a counterpart, as Eliade
cerned (i.e., his deprivation of the benefits of both twinship
(1969, pp. 137f.) has observed, in the conception of the two
and marriage, or of the marriage implied in twinship), one
souls in humans, one of heavenly origin and the other of “an-
can conclude that for the first entities of some cosmogonies
imal” nature (as among the Apapocúva of Brazil). As for the
the duality of twinship and the duality of the married couple
Caribbean Kaliñas, they characteristically claim that things
are the same. (An example can be found in the Zoroastrian
existing on earth have their spiritual counterpart in heaven.
myth of the first human couple, Mashya and Mashyane, who
On the sociological plane, the twins may sometimes repre-
were twins due to the fact that they were brought into exis-
sent respectively the two moieties of a tribe, as among the
tence as the result of a split within a rhubarb plant.) On the
already quoted Apinagé.
contrary, this identification between the two main forms of
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9416
TWINS: AN OVERVIEW
duality on the anthropological level—between marriage and
self the “bad” aspect, or simply the inferior quality, of the
twinship—is prohibited in the actual life of the Dogon as a
second twin, is not unqualified and static but articulated and
lasting consequence of the rupture of harmony caused by the
dynamic; a distant equivalent is to be found in Platonic,
“previous guilt” committed by Yurugu, a guilt that is both
Middle Platonic, and Neoplatonic speculation, where the ex-
a cause and a consequence of his deficiency. According to a
istence of the lower, imperfect world, made after the image
version recorded by Montserrat Palau Marti (1957),
of the ideal one, is a requisite for the completeness of the All.
Yurugu’s deficiency was due to the fact that he was born ir-
It is clear that this notion of an imperfection, which is
regularly to Amma and the Earth, a couple whose feminine
a necessary component of a perfect totality, is extraneous to
component had not yet been excised and was therefore not
biblical creationism. It is dualistic in itself (when the two
yet ready for marriage and generation.
members of the couple are seen as disparate “principles” in
Another version ascribes the guilt to Yuguru himself,
the context of a cosmogony), and it in turn expresses a dialec-
who could not believe that Amma would give him a wife for
tical form of dualism. It must be distinguished from two
his twin. This ambivalence concerning the ontological level
other forms of dualism, where the “harmony” of the dialecti-
to which the first origin of deficiency is attributed reminds
cal position is broken. The first is the Zoroastrian conception
one of the sin of Sophia according to Valentinus and his fol-
of the twins, one beneficent and the other maleficent; their
lowers. Sophia failed to obey the law that regulated the order
relationship is one of radical opposition and mutual exclu-
and fecundity of the aeons, those spiritual couples (or syzy-
sion (a condition also present in the myth of Zurwa¯n, despite
gies) that exist in the divine Pleroma (“fullness”). Yurugu did
the fact that the idea of Time as father of both O
¯ hrmazd and
not find his “twin soul” (literally, the feminine part of his
Ahriman is not to be confused with the Zoroastrian concep-
soul) because of his lack of belief or, alternatively, because
tion of the twin spirits, who cannot have God as their com-
of his inborn deficiency, and therefore he cohabited incestu-
mon father). The second form is found in Gnostic specula-
ously with his mother, the Earth; this resulted in the birth
tion, particularly Manichaeism, where matter, the substance
of certain malevolent entities who live in the woods, outside
of this visible world, is condemned, and Mani, the inspired
of the culturalized and purified (i. e., ritually cultivated)
founder, has a spiritual twin who is a heavenly counterpart
land. On the other hand, the impurity and sterility of
of himself (i.e., his true self), to which he is to be “reduced”
Yurugu does not prevent him from being an important ele-
after his corporeal death.
ment in the cosmological process; he is an essential part of
INDO-EUROPEAN CULTURES. This article comes finally to
the ordinary life of the Dogon. His “words” are essential to
some myths of twins in the Indo-European cultures. In
the development of life. Nommo, that is to say, one of the
India, Yama, whose name means “twin,” is accompanied by
twins that compose his double personality, was sacrificed,
a female counterpart, Yam¯ı, the feminine form of his name.
and some cosmic entities were derived from him; he was later
But he underwent some essential modifications and became
resurrected. Once the world is put in motion, the androgy-
the king of the dead, a function well suited to his original
nous condition of existence (which was also peculiar to
quality as first man. In Iran, Yima (the equivalent of Yama),
Nommo, whose two souls, masculine and feminine, were
with his female twin, Yimak, remained a prototype of hu-
twins) is abolished, and sexual differentiation obtains—a dif-
manity. (Other prototypes were Gaya-maretan, a total figure
ferentiation, of course, that is different from the loneliness
with no female counterpart or twin, and Mashya and Mash-
and incompleteness of Yurugu, the inhabitant of the woods.
yane, the primordial twins and human progenitors.) Yima
All in all, Yurugu remains a representation of limitation, but,
later became the inhabitant of Var, a subterranean world in
for the same reason, also a referent of the growing cosmos
which different categories of living beings wait for the final
of culture and agriculture. This corresponds to the will of
rehabilitation. Yima’s connection with the principle of twin-
Amma, that all be found and all be functional in nature, the
ship is an important confirmation of the principle of duality
perfect and the imperfect. Dogon dualism has its roots
in the field of cosmogony, no less important than another
higher in the vertical series of the ontological levels; it affects
principle in the same field, androgyny.
the divine to some degree particularly if the first origin of de-
ficiency is seen as deriving from the irregular maternity of
The mention of a pair of Indian twin deities, the Nasa-
Earth, whose feminine part was not yet excised.
tyas (or A´svins), connected with the realm of health and
fecundity (the third function of Indo-European tripartite
One can conclude that the motif of twins in the ideolo-
ideology according to Georges Dumézil) provides an intro-
gies of nonliterate cultures takes two main expressions: (1)
duction to Castor and Pollux, the Dioscuri of Greek mythol-
symmetry, which being partial and not specular as in the Zo-
ogy. These can be seen as a privileged expression of ontologi-
roastrian (Gathic) notion of the two spirits, is an adequate
cal disparity, which is not necessarily ethical, contained
expression of the complementarity of twins; and (2) disparity
within a set of twins. According to the characteristic and pre-
in value, which also includes in itself a dynamism motivating
vailing (but not necessarily older) formulation of the myth
some peculiarities related in the myth (e.g., when the second
(first mentioned in the old epic poem Kypria, fragment 5k),
twin undergoes a crisis and is rehabilitated by the first). This
Pollux was immortal, the son of Zeus—the supreme god—
complementarity, which is capable of integrating within it-
and of Leda; Castor was mortal, son of Tyndareus, the
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TWINS: AN OVERVIEW
9417
human husband of Leda. A very particular mythical element
to a typology in between that of the chthonic hero and the
mediated their relationship so that they were neither wholly
heavenly god. Their shared immortality, based on their gem-
disparate nor wholly equal: The immortal Pollux renounced
inate personality, allows them to act together as heavenly
half of his immortality in favor of his mortal brother when
gods; as such, they manifest themselves on the summit of a
the latter was fatally wounded by some common enemies. As
ship’s mast during a tempest, or they appear at the decisive
a consequence of this, Castor and Pollux live alternatively in
moment during a battle. Their stay in a tomb links them to
the heavens and in the netherworld (or they sojourn in their
the classical heroes. All in all, this is a polytheistic interpreta-
tomb in Laconia, at Therapnae near Sparta). This particular
tion of the motif of twins, different from those that are famil-
aspect of the myth represents a very peculiar expression of
iar in nonliterate cultures.
the twinship motif. The twins’ symmetrical affinity is em-
The most famous set of twins in myth and legend is
phasized by their common attribute of the pilos, a piece of
Romulus and Remus, the founders of the Eternal City. Al-
headgear later interpreted as representing half of Leda’s egg;
though the Dioscuri were worshiped in old Latium, as dem-
on the other hand, their radical, original disparity is empha-
onstrated by an archaic Latin inscription from Lavinium
sized by the opposite natures of their respective fathers (Zeus
(fifth century BCE) dedicated to them, these twins were unre-
and a human hero). However, this dialectical situation—of
lated to the Roman twins. In contrast to the Dioscuri, who
partial affinity and radical disparity—is transcended by the
tended to be equated in their destiny and function (although
attribution to the mortal twin of one-half of the immortality
Castor has special relations with the cavalry, and the temple
of the other; this leads to the situation of an artificially pro-
on the forum was originally dedicated to—or at least named
duced, balanced equality. In this sense, twinship is both an
after—him, and only later after the Castores, the Roman
ontological presupposition and a final acquisition for them:
name of the Dioscuri), Romulus and Remus tended to be
a pattern different from, or opposed to, that of other myths
differentiated, to the extent that the former kills the latter
concerning twins or brothers who, on the basis of an onto-
immediately after the marking of the sacred pomerium,
logical or merely ethical or behavioral disparity, come to rep-
which was intended to separate the domestic soil of the city
resent opposing elements (sun or moon, life or death, etc.).
from all external territory. The killing of the offender,
Unfortunately, there are versions of the myth of the Di-
Remus, because he had violated the pomerium, may be inter-
oscuri that modify this basic pattern. In some texts, Castor
preted as prototypical of the drastic measures associated with
and Pollux are sons of the same father, Tyndareus, whose
this boundary for the protection of the city.
name can also designate Zeus (“he who strikes”). According
The legendary killing of Remus, however, did not pre-
to other sources, they are sons of Zeus (hence the name hoi
vent the Romans from continuing a ritual celebration, the
Dioskouroi, “the young sons of Zeus”). Moreover, there are
Lupercalia, at which time two groups of Luperci, those alleg-
different interpretations concerning the modalities of their
edly instituted by Romulus (the Fabiani) and those said to
alternating destinies apart from the fact that in old sources
be instituted by Remus (the Quinctiales), acted as rivals run-
(Homer) they live as typical heroes in their tomb at Therap-
ning around the old city acting out a rite intended to pro-
nae. The more widespread interpretation (Lucian) is that one
mote health and fertility and to reaffirm the ominous destiny
lives in heaven and the other in his tomb or in the nether-
of Rome. The rite was modified in 44 BCE, when a third
world, and vice versa. There are also good reasons for under-
group of Luperci was instituted (the Julii), the tradition be-
standing that they experience life and death together in alter-
hind the festivity being somewhat misunderstood. The
nation. In a famous song of victory (Nemean Odes 10),
owner of the third flock of Luperci, Caesar, who in those
Pindar immortalizes this episode, making brotherly love the
months was striving after kingship, could automatically be
motivation behind the generous deed of Pollux, who re-
compared to the first founders of Rome as a candidate for
nounces one-half of his (still to be experienced) immortality
kingship. All in all, the celebration of the Lupercalia—
to show that life (even immortal life) is hard without friends.
strictly ritualized and thus made inoffensive—could perpetu-
This throws a different light on the whole myth, more in ac-
ate in Rome’s historical memory a significant notion, that of
cordance with the old Homeric statement that the two are
an endogenous source of rivalry and destruction, a duality
together in their Laconian tomb, or h¯ero¯ion.
threatening to become a dualism and, as such, dangerous; for
this reason it was allowed to survive only within a strictly
Thus, the myth of the Dioscuri may be distinguished
controlled ritual.
from such myths as that of the Sumerian Dumuzi, who alter-
nates his stay in the netherworld with that of Geshtinanna,
TWINS AND THE MYTHS OF ORIGINS. One must note some
his sister. In other words, the Dioscuri do not belong funda-
considerations concerning the cultural-historical setting in
mentally to the typology of the dying god (even a dying god
life of at least some of these traditions of twinship within the
split into two figures who take turns dwelling in the nether-
context of myths of origins. Such traditions are dualistic in
world); they represent instead a special (duplicate) version of
character, whether they emphasize a horizontal or a frontal,
the hero, who lives in his tomb, from which emanates his
mutually exclusive opposition between the twins (as in the
protecting influence on the town and the territory. More
case of Zoroastrianism), or, alternatively, a dialectical rela-
precisely, the Dioscuri (theoi h¯ero¯es, “divine heroes”) belong
tionship between them. It would seem that this dialectic, as
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9418
TWINS: AN OVERVIEW
it is manifested among the American Indians, has something
of twinship on the ritual-sociological level, is perhaps too far-
in common with an ideology of agriculturists, based on ma-
fetched.
triarchal and lunar aspects (e.g., the Kaliña situated the twins
respectively on the bright and on the dark side of the moon).
SEE ALSO Androgynes; Clitoridectomy; Culture Heroes;
In the same way may be interpreted the extreme specializa-
Dualism; Tricksters.
tion and absoluteness of the dualism of the Iroquois twins,
deriving probably from a lunar, female entity, as well as the
BIBLIOGRAPHY
Baumann, Hermann, and Diedrich Westermann. Les peuples et les
type of culture present in the South American and Caribbean
civilisations de l’Afrique. Paris, 1948.
tribes. This means, as Hultkrantz (1963) has observed, that
dualism in America (at least this kind of dualism) is a south-
Bianchi, Ugo. Zaman i O
¯ hrmazd: Lo zoroastrismo nelle sue origini
e nella sua essenza. Turin, 1958.
ern phenomenon (as opposed to that of the Arctic hunters).
To be sure, one cannot forget, as Müller (1956) points out,
Bianchi, Ugo. Selected Essays on Gnosticism, Dualism and Mysterio-
sophy. Leiden, 1978. Compares Egyptian and Dogon my-
that some mythologies of hunters, both in Canada and in
thology (see especially pages 86–102) and discusses the Egyp-
California, are also dualistic. But this dualism (e.g., the well-
tian myth of Seth (pages 103–125) and the Zoroastrian
known myth concerning the demiurge-trickster, Coyote,
doctrine of the twin spirits and the myth of Zurwa¯n (pages
who opposes the high being in his creating activity and thus
361–416).
introduces death and the “heavy” physiology of human be-
Bianchi, Ugo. Il dualismo religioso: Saggio storico ed etnologico. 2d
ings) is structurally very different from the dialectical sym-
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Boyce, Mary. A History of Zoroastrianism, vol. 1. Leiden, 1975.
are of very different extraction; they cannot be reduced to
a symmetrical, bipartite form of totality. On the other hand,
Chapouthier, Fernand. Les Dioscures au service d’une déesse. Paris,
1935.
dialecticism is not absent in the Californian myths of the su-
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Cirillo, Luigi, ed. Atti del primo Simposio internazionale sul Codex
Manichaicus Coloniensis. Cosenza, 1986.
but death is introduced by Coyote on the basis of an argu-
ment that tends to emphasize the cultural utility rather than
Count, Earl W. “The Earth-Diver and the Rival Twins: A Clue
the negative aspect of death.
to Time Correlation in North-Eurasiatic and North Ameri-
can Mythology.” In Indian Tribes of Aboriginal America, ed-
Another issue concerning the twins motif in mythology
ited by Sol Tax, pp. 55–62. Chicago, 1952.
concerns the direct impact of the physiological experience of
Dumézil, Georges. Les dieux des Indo-Européens. Paris, 1952.
twinship on the psychology of the relevant populations. Ac-
Eliade, Mircea. The Quest: History and Meaning in Religion. Chi-
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cago, 1969. See especially pages 127–175.
tention paid to the phenomenon of twinship could have
Farnell, Lewis R. Greek Hero Cults and Ideas of Immortality
been inspired by its appearance in the symbological language
(1921). Oxford, 1970.
of myth. On the other hand, what is exceptional on earth
Griaule, Marcel, and Germaine Dieterlen. Le renard pâle, vol. 1,
could also be seen as primordial, so that the inauguration of
Le mythe cosmogonique. Paris, 1965.
the terrestrial (imperfect) status of humanity would have
meant also the transition from (perfect) twinship to (imper-
Gusinde, Martin. “Das Brüderpaar in der südamerikanischen
Mythologie.” In Proceedings of the Twenty-third International
fect) singleness. Twinship, as it is experienced in this world,
Congress of Americanists, 1928, pp. 687–698. New York,
comes to mean something extraordinary. In addition, the
1930.
rather extraordinary phenomenon of twinship has been dif-
Haekel, Josef. “Purá und Hochgott.” Archiv für Völkerkunde 13
ferently evaluated in different cultures. In Africa, for in-
(1958): 25–50.
stance, one moves from a feeling of dread before twins (in
some cases, one or both of them may be killed) among the
Harris, John R. The Cult of the Heavenly Twins. Cambridge, 1906.
San and Damara in southern Africa to a feeling of happiness
Hewitt, J. N. B., ed. Iroquoian Cosmology, 2 pts. Washington,
and expectation of good fortune in their presence, as in
D.C., 1903, 1928.
Sudan. One could also venture that the typical ambivalence
Hultkrantz, A˚ke. Les religions des indiens primitifs de l’Amérique:
found in the disparities between twins (the second twin as
Essai d’une synthèse typologique et historique. Stockholm,
bad, or simply as terrestrial, or, as a part of a totality, destined
1963.
for a sacrifice from which he is ultimately rescued, as among
Humbach, Helmut, ed. and trans. Die Ga¯tha¯s des Zarathustra.
the Dogon) is not unrelated to the problematical nature of
Heidelberg, 1959.
physiological twinship, in which the different values of duali-
Insler, Stanley. The Ga¯tha¯s of Zarathustra. Tehran and Leiden,
ty (completeness, but also distinction or even disparity) can
1975.
put in motion a plurality of interpretations, both at the
Krickeberg, Walter, ed. Die Religionen des alten Amerika. Stutt-
mythological and the ritual-sociological level. The reverse
gart, 1961. Translated as Les religions amérindiennes (Paris,
possibility, namely that the motif of twinship, which origi-
1962).
nally developed on the mythological level, could have moti-
Métraux, Alfred. “Twin Heroes in South American Mythology.”
vated with its different expressions the contradictory nature
Journal of American Folklore 59 (April–June 1946): 114–123.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TWINS: BALTIC TWIN DEITIES
9419
Müller, Werner. Die Religionen der Waldlandindianer Nor-
the scattered branches of the damaged tree, the oak. It was
damerikas. Berlin, 1956.
only in the fourth year that she found the tip of the tree and,
Nimuendajú, Curt. The Apinayé. Washington D.C., 1939.
by piecing together all of the branches, made rebirth of the
Palau Martí, Montserrat. Les Dogon. Paris, 1957.
cosmos possible.
Radin, Paul. “The Basic Myth of the North American Indians.”
Another variation of this theme has it that during the
In Eranos–Jahrbuch (Zurich) 17 (1949): 359–419.
heavenly wedding a daughter of the sun drowned. Her body
Wide, Sam. Lakonische Kulte (1893). Stuttgart, 1973.
was carried down the river into the sea, from the sea it was
washed ashore, and in this spot grew a linden tree with nine
Zaehner, Robert C. Zurvan: A Zoroastrian Dilemma. Oxford,
1955.
branches. In Latvian mythology the number nine is an indi-
cator of time and space in the cosmos. While carving from
New Sources
this linden tree a kokles (psaltery), a Latvian musical instru-
Schwartz, Hillel. The Culture of the Copy: Striking Likenesses, Un-
ment considered to be the embodiment of a female deity or,
reasonable Facsimiles. New York, 1996.
in a broader sense, the soul and life of a woman, the son of
Ward, Donald. The Divine Twins; An Indo-European Myth in Ger-
Dievs recognized his twin sister, the daughter of Saule. Death
manic Tradition. Berkeley, Calif., 1968.
and rebirth of the gods and of the seasons is the basis of this
UGO BIANCHI (1987)
myth; it is analogous to the ancient Greek myth about Per-
Revised Bibliography
sephone. Latvian mythology scholars have tried to interpret
the daughters of Saule as the sunlight at dawn or dusk (in
autumn and winter, but also in the evening, the sun and its
beams seem to die, while in the spring and at dawn they ap-
TWINS: BALTIC TWIN DEITIES
pear to be reborn), while the sons of Dievs are interpreted
The twin myth and various folk beliefs associated with the
as Venus, which the Baltic people believed to be embodied
idea of twins and the concept of duality have an important
in the two stars R¯ıta and Vakara (morning and evening). The
place in Baltic religion. The divine or deified twins usually
divine twin sons of Dievs, in both Latvian and Lithuanian
are demiurges, with various associated cosmogonic and an-
folklore, sources are associated with horses. In mythological
thropogonic functions. Thus, for Latvians, Dievs, the per-
folk songs the twins travel by boat or by horse, often trans-
sonification of light, is the twin of Velns. The world was cre-
forming into or fusing with the horse. They appear also as
ated, according to ancient folk legend, as a result of their
water-loving beasts, otters, or beavers, dancing in either otter
fight on a stone in the middle of the sea (vidu¯ ju¯ras uz
or beaver skins. They are also associated with the cosmic tree,
akmen¸a) or on an island in the middle of the sea (vidu¯ ju¯ras
the oak.
salin¸a¯), a place that at a later date became the central axis of
the cosmos.
The sons of Dievs, usually two in number, are typically
both called by the same name, but in some instances, each
The Baltic divine twins have often been associated with
has a different name. Thus, in the spring season, the son of
the cycle of death and rebirth. Thus in Latvian mythological
Dievs, as the embodiment of rebirth, is named U
¯ sin¸ˇs (from
folk songs the theme of the sons of Dievs marrying their twin
the verb aust, literally, “the rising of the sun,” or “the emer-
sisters, the daughters of Saule (the sun), is widespread. Before
gence of light”). In autumn, the son of Dievs is the embodi-
the wedding a ritual wooing of Saule’s daughters takes place,
ment of death called Ma¯rtin¸ˇs, possibly linked to the word
which Dievs’s sons accomplish by looking through the petals
mirt (to die). Both twins mirror the mythological idea of se-
of poppies (Caur magon¸u lapin¸a¯m), flowers that at weddings
quential change and continuity of the cycle of life and death.
symbolize death, rebirth, and also puberty. On the wedding
The sons of Dievs are perceived as the protectors of humans,
night, while waiting for the appearance of Saule’s daughters
primarily of men and specifically during war, at sea, when
at the vault of heaven, the sons light two candles at sea. These
fishing, and when caring for horses. In Latvian mythological
heavenly weddings end unsuccessfully because of an implied
folk songs they reveal themselves as two candles in the sea
but never quite articulated suggestion of a serious viola-
to fishermen and sailors, thus lighting their way:
tion—incest.
In antiquity it is probable that sacral incest was differen-
Div svec¯ıtes ju¯ra¯ dega Sudrabin¸a lukturos;
tiated from profane incest, the first being committed by a
Ta¯s dedzina
primeval human or demiurge, the second by a trickster. In-
Dieva de¯li, Zvejniecin¸us gaid¯ıdami.
cest demonstrably pointed to two diverse forms of sexual be-
Two candles burn at sea
havior: the cultured versus the natural (as exhibited in na-
In silver lanterns;
ture), or, in other words, the civilized versus the savage.
They’re lit by the sons of Dievs,
Sacral incest likely occurred only in illo tempore (the begin-
Awaiting fishermen.
ning of time) when there was no other coupling possible ex-
The divine twins are also associated with fertility cults and
cept between brother and sister. Angered by the violation of
productivity. For Latvians this is revealed in a particularly
incest being committed, Pe¯rkons, the god of thunder, struck
striking fashion in the cult of Jumis and his twin sister Ju-
the cosmic tree, or tree of life. For three years Saule collected
mala, at one time either his betrothed or his wife. Jumis and
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9420
TWINS: BALTIC TWIN DEITIES
Jumala are words for which parallels can be found in several
founders of a tribe. Widewuttis is the founder of secular
Indo–European traditions: in ancient Gaelic, e(a)main; in
power and the first king of the Prussian tribe, while Bru¯tens
Avesta, yima; in Indo-Iranian, yama—as found, for example,
is the founder of its spiritual power and the romow sanctuary,
in the hymn in R:gveda about Yama and his twin sister Yam¯ı,
being its first Krive krivaitis (high priest). In later times the
wherein Yam¯ı tries to entice her brother to take part in inces-
Prussians worshiped Widewuttis and Bru¯tens in the form of
tuous relations. The Iranian twins Yima and Yima¯k, by get-
two posts, one called Worskaito (the elder), the other called
ting married, become the predecessors of humanity. This
Iszwambrato (i.e., Svais bra¯ti, “his brother”).
theme is also found in Latvian mythological folk songs,
where there is a direct allusion to incestuous relations be-
Even as late as the end of the nineteenth century (and
tween the brother and sister Jumis and Jumala (Jum¯ıts and
into the twentieth), twins appear in Lithuanian and Latvian
Jumalin¸a are diminutive forms):
historical legends. A Latvian legend recorded in the nine-
teenth century tells of the twin brothers Turo and Tusko,
Jum¯ıts mekl¯ej Jumalin¸u
who both loved the same girl. They were so similar that the
Pa t¯ırumu staiga¯dams;
girl could not tell them apart, and for this reason gave one
Bra¯l¯ıts mekl¯ej l¯ıgavin¸as
a gold ring and the other a silver ring to wear. Turo finally
No ma¯sin¸as vaica¯dams.
succeeded in winning the girl’s love, but Tusko, in a dreadful
Jum¯ıts looks for
act of betrayal, posed as his twin brother and stole his be-
Jumalin¸a
trothed. When the betrothed of Turo, on recognizing the
Walking in the field;
ring, learned that she had been deceived, she killed herself
The brother is seeking a bride
with a sword, while the twin brothers killed each other. The
Asking his sister.
graves of all three are located in Zilais kalns (Blue Hill), an
Latvians and Lithuanians also give the name jumis to any two
important and legendary sanctuary in Latvia, located near
fruits or nuts that have grown together, or to two sheaves of
the city of Valmiera. This legend about the twins, along with
grain on one stalk. In ancient times (and still today), having
other legends that abound regarding Zilais kalns, reflects the
harvested the rye, barley, and wheat, people tried to find and
concepts of death and rebirth associated with the twin myths.
save two sheaves of grain intertwined, or they tied two bun-
There is another interesting element in the Turo/Tusko
dles of the harvested grain together, saving this jumis over
legend. The names Turo and Tusko start with the same let-
winter to ensure fertility and productivity for the coming
ter. This also occurs in the Roman Romulus and Remus, the
year. On the subject of birth and fertility, according to Latvi-
Germanic Hengist and Horst, and in another Latvian myth
an folk beliefs, if a young woman wanted to have twins, she
about twins, Auseklis and U
¯ sin¸ˇs (both of which are derived
had to find and eat a jumis, such as two nuts or berries or
from the Indo-European root-form *aus/*us, with the an-
some other fruit that have grown together. The Latvian
cient form of the latter being Ausin¸ˇs).
Jumis and Jumala are associated with the idea of the death
and rebirth of nature. Another testimony to the Jumis myth
The divine twins as special patrons of the fertility and
can be seen in the jumis nut found buried in a young girl’s
productivity cult are also revealed in traditional wood archi-
grave during an archeological dig of an eighth- to eleventh-
tecture in Latvia. Even today, one can find fastened to the
century burial ground in Latvia called Kaugaru Beites.
ends of gables on houses or buildings two identical, symmet-
rically placed wooden horses, goats, or figurative carvings of
Another son of Dievs who is mentioned in Latvian folk-
other animals and birds. This tradition was practiced by all
lore, particularly in summer solstice songs called Ja¯n¸u dzies-
Baltic peoples, as can be seen from ethnographic drawings
mas (Ja¯nis’s songs), is Ja¯nis (’Ai Ja¯n¯ıti, Dieva d¯els; Oh Ja¯n¯ıtis
and written records of the eighteenth and nineteenth centu-
[dim. of Ja¯nis], son of Dievs). Ja¯nis is typologically similar
ries, as well as from photographs taken during the first half
to Baldr in the Scandinavian indigenous religions; that is, he
of the twentieth century in Latvia, Lithuania, and East Prus-
is a seasonal deity embodying the ideas of fertility and pro-
sia. Paradoxically, one of the places where zoomorphic and
ductivity associated with summer. We can assume that Ja¯nis,
ornithomorphic images of twin deities have been preserved
like the Roman Janus, is two-faced—the two sons of Dievs
is East Prussia, which was most devastated during World
united in one person, one linked to the spring and summer
War II and which now forms part of the Russian Federation
seasons, the other linked to autumn and winter. When one
as the Kaliningrad region and part of northeastern Poland.
of them appears in the sky as a heavenly body (a star), the
In districts where prewar buildings have been preserved, one
other, being underground, is not visible. The idea of promot-
can still see carved twin horse heads at roof gables and in the
ing fertility predominates in the summer solstice songs. Folk-
wooden trim above windows. This tradition has also been
song texts indicate that during this time the mythical heaven-
retained in the Curonian Spit in the Baltics. One part of the
ly wedding takes place between the divine twins—the sons
Curonian Spit territory is located in Lithuania, while the sec-
of Dievs and the daughters of Saule.
ond part belongs to Russia; in Lithuania this twin-horse tra-
Twins also figure as the founders of ancient social orga-
dition at gable ends is being preserved, with the horse heads
nizations, such as tribes, nations, states, and cities. For the
being restored, whereas in Russia such carvings are going to
Prussians, the twin brothers Widewuttis and Bru¯tens are the
ruin, along with the buildings themselves. It is significant
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TWO BOOKS, THE
9421
that in Latvian Jumis and jumts (roof), as well as the verb
Scripture. Pope John Paul II proclaimed, “From the great-
jumt (to roof, to thatch) and the term debesu jums (vault of
ness and beauty of created things comes a corresponding per-
heaven), are derived from the same root-form, based on the
ception of their Creator (Wisdom 13:5). This is to recognize
Indo-European root *ieu (to tie together). Not only does the
as a first stage of divine Revelation the marvelous book of
twin deity Jumis consist of two tied into one, but also a house
nature, which, when read with the proper tools of human
roof having two sides joined into one whole.
reason, can lead to knowledge of the Creator” (John Paul II,
The significance to the Baltic peoples of the twin myth,
1998, p. 19).
particularly as it relates to the birth of twins, was noted in
ORIGINS OF THE METAPHOR. The origins of the “two
the nineteenth century by such scholars as the German-born
books” metaphor are embedded in the conviction of the
ethnographer and folklorist August Bielenstein. However,
Abrahamic faiths that God is knowable through revelation.
the Baltic twin myth has merited special attention and com-
The Hebrew Scriptures and the New Testament were under-
parative analysis only since the 1960s, when it was included
stood to be transmitting the very word of God, and thus the
in an overview of various Indo-European twins written by
“book” became of paramount importance in their respective
Donald Ward (1968), and later by Vjacˇeslav Ivanov (1972
traditions. Psalms 19:1 majestically articulates the idea that
and 1983) and the Latvian-born folklorist Liene Neuland
“the heavens declare the glory of God, and the firmament
(1977). Evidently scholars have noted the similarities be-
proclaims his handiwork.” The theme in the Book of Wisdom
tween the Baltic divine twins and the broader Indo-
that God is known through the divine works even by Gen-
European twin concept, as in, for example, the Greek Dios-
tiles is echoed in the New Testament locus classicus for the
curi, Castor and Pollux (Polydeuces), and the ancient Indian
natural knowledge of God, the Pauline declaration in Ro-
twin, A´svin.
mans: “For what can be known about God is plain to them,
because God has shown it to them. Ever since the creation
BIBLIOGRAPHY
of the world his invisible nature, namely, his eternal power
Beresnevicˇius, Gintaras. “Brutenio ir Videvucˇio religine˙ reforma.”
and deity, has been clearly perceived in the things that have
In Baltu˛ religin˙es reformos, pp. 77–125. Vilnius, 1995.
been made” (Rom. 1:19–20). Paul elsewhere describes the
Bielenstein, August. “Die Dieva de¯li des lettischen Volksliedes.”
visible worlds as “images of the invisible” (Heb. 11:3).
Magasin, Vol. 19, 4th ed., pp. 240–282. Mitau, Russia,
In patristic literature one finds the first full expression
1896.
of the metaphor. Elements may be found as early as the sec-
Biezais, Haralds. “Dievi un dievu de¯li.” In Smaidoˇsie dievi un
ond century in Justin Martyr’s adoption of the Stoic idea of
cilv¯eka asara, pp. 54–81. Senatne, 1991.
the logos spermatikos (Second Apology, chap. 8) and in Irenaeus
Bucˇas, Jurgis. Kurˇsiu˛ nerijos nacionalinis parkas. Vilnius, 2001.
of Lyons (130–202 CE) the idea of the works and the word
Ivanov, Vjacˇeslav. “Otrazˇenie indoevropejskoj terminologii
of God (Adversus haereses IV.20). Tertullian prefigured it in
bliznecˇnogo kul’ta v baltijskih jazykah.” In Balto-slavjanskij
his antiheretical argument that, because Marcion has eviscer-
sbornik, pp. 193–205. Moscow, 1972.
ated Scripture, he cannot provide a counterpart in revelation
Ivanov, Vjacˇeslav. “K probleme latyˇsskogo Jumis i baltijskogo
to the knowledge of God derived from nature (Adversus Mar-
bliznecˇnogo kul’ta.” In Balto-slavjanskie issledovanija. Mos-
cionem, V.5). Athanasius (c. 296–373 CE) offered a proto-
cow, 1983.
statement of the theme in his claim that nature and Scripture
Neuland, Lena. Jumis die fruchtbarheitsgottheit der alten Letten.
are the sole sources of knowledge of God (Vita S. Antoni, 78).
Uppsala, Sweden, 1977.
The clearest patristic statements of the metaphor of “the
Ru¯sin¸ˇs, Valdis. Divda¸l¯ıgums sakra¯la¯ veseluma struktu¯ra¯ latvieˇsu
book of nature” were offered by John Chrysostom (c. 354–
relig‘iskajos priekˇsstatos. Platforma, pp. 67–72. Riga, Latvia,
407 CE) and Augustine of Hippo (c. 354–407 CE). Chrysos-
2003.
tom declared:
Ward, Donald. The Divine Twins: An Indo-European Myth in Ger-
manic Tradition. Los Angeles, 1968.
If God had given instruction by means of books, and
of letters, he who knew letters would have learnt what
JAN¯INA KURS¯ITE (2005)
was written, but the illiterate man would have gone
Translated by Margita Gail¯ıtis and Vija Kostoff
away without receiving any benefit. . . . This however
cannot be said with respect to the heavens. . . . Upon
this volume the unlearned, as well as the wise man, shall
TWO BOOKS, THE.
be able to look, and wherever any one may chance to
The relationship between reli-
come, there looking upwards towards the heavens, he
gion and science in the Christian West has often found ex-
will receive a sufficient lesson from the view of them.
pression in metaphors and models. Since the nineteenth
(Homilies to the People of Antioch, IX.5, 162–163).
century the strident “warfare model” has dominated inter-
pretations of these different realms of human knowledge.
Augustine proclaimed:
However, a renaissance is occurring of a far more ancient
There is a great book: the very appearance of created
metaphor, that of God’s self-revelation through a pair of
things. Look above you! Look below you! Note it. Read
complementary books, the book of nature and the book of
it. God, whom you want to discover, never wrote that
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9422
TWO BOOKS, THE
book with ink. Instead He set before your eyes the
riod. The Reformers’ emphasis on the literal sense of Scrip-
things that He had made. Can you ask for a louder
ture cut through the profusion of “meanings” and “signa-
voice than that? Why, heaven and earth shout to you:
tures” found by medieval scholars in nature and reinforced
“God made me!” (City of God, 11:22).
the idea of two books. However, the book of nature was
But although these passages establish the complementarity
clearly subordinate to biblical revelation in the theology of
of natural and revealed theology among the fathers, the met-
John Calvin, who held Scripture to be a necessary corrective
aphor only reached full articulation with the progressive re-
to the deficiencies of nature (Institutes, I.6.1). The Reformed
discovery of Aristotelian natural philosophy, when the “two
tradition retained this Calvinist interpretation of the two
books” became a primary model for expressing a mature bi-
books in the Belgic Confession adopted by the Dutch Re-
nary epistemology of revelation.
formed Church. In contrast, Paracelsus suggested an empiri-
cal approach: whereas Scripture was to be explored through
ESTABLISHMENT OF THE “TWO BOOKS” METAPHOR. Medi-
its letters, the book of nature had to be read by going from
eval thinkers employed the model of a twofold revelation
land to land because every country was a different page.
with great plasticity. Alain of Lille wrote, “Omnis mundi crea-
tura / Quasi liber et pictura / Nobis est et speculum” (Every
The metaphor was affected in the seventeenth century
creature is to us like a book and a picture and a mirror).
by both the elaboration of natural theology and the develop-
Hugh of Saint Victor regarded both the creation and the in-
ment of the sciences in novel empirical and theoretical direc-
carnation as “books” of God and compared Christ as primary
tions. Pierre Gassendi (1592–1655) saw purpose in all of na-
revelation to a book. Saint Bonaventure’s (1217–1274)
ture and suggested that if René Descartes wanted to prove
model of revelation included three volumes: sensible crea-
the existence of God he ought to abandon reason and look
tures are “a book with writing front and back,” spiritual crea-
around him and that the two books were not to be kept on
tures are “a scroll written from within,” and Scripture is “a
separate shelves. Although Francis Bacon seems in practice
scroll written within and without” (Collations on the Hex-
to have kept the two books distinct, he articulated their es-
aemeron, 12.14–17). Thomas Aquinas in his Summa Contra
sential complementarity:
Gentiles likewise speaks about a threefold knowledge that hu-
manity may have of divine things: ascent through creation
The scriptures reveal to us the will of God; and the
by the natural light of reason, descent of divine truth by reve-
book of the creatures expresses the divine power; where-
of the latter is a key unto the former: not only opening
lation, and elevation of the human mind to a perfect insight
our understanding to conceive the true sense of the
into things revealed. For Dante, for whom the book in which
scriptures, by the general notions of reason and rules of
everything is contained is the Godhead, perfect insight is es-
speech; but chiefly opening our belief, in drawing us
chatological in paradise, where everything that has been scat-
into a due meditation of the omnipotency of God,
tered throughout the entire universe like loose pages is now
which is chiefly signed and engraven upon his works.
“bound in one volume” (Paradiso XXXIII, 82).
(The Advancement of Learning, VI, 16)
Raymond of Sabunde offered the fullest late-medieval
Bacon set the tone for the seventeenth-century scientific en-
articulation of the metaphor in Theologia Naturalis (1436):
terprise in his redirection of the “two books” metaphor to-
ward the improvement of the human estate.
Hence there are two books given to us by God, the one
being the book of the whole collection of creatures or
Galileo Galilei argued that the book of nature is written
the book of nature, and the other being the book of sa-
in the language of mathematics, not only implying that
cred scripture. The first book was given to human be-
mathematics is the sublimest expression of the divine word
ings in the beginning, when the universe of creatures
but de facto restricting its full comprehension to those who
was created, since no creature exists that is not a certain
are appropriately educated:
letter, written by the finger of God, and from many
creatures as from many letters is composed one book,
And to prohibit the whole science [of astronomy]
which is called the book of the creatures. Within this
would be but to censure a hundred passages of holy
book is included humanity itself, and human beings are
Scripture which teach us that the glory and greatness of
the first letters of this book. But the second book, Scrip-
Almighty God are marvelously discerned in all his
ture, was given to human beings secondarily to correct
works and divinely read in the open book of heav-
the deficiencies of the first book, which humanity could
en. . . . Within its pages are couched mysteries so pro-
not read because it is blind. The first book is common
found and concepts so sublime that the vigils, labors,
everyone, but the second book is not common to all,
and studies of hundreds upon hundreds of the most
because only clerics are able to read what is written in
acute minds have still not pierced them, even after con-
it. (Theologia Naturalis sive Liber Creaturarum, 35–36)
tinual investigations for thousands of years. (Letter to
Sabunde’s incautious exaltation of the book of nature and his
Grand Duchess Christina)
insistence that the book of Scripture is less accurate led to
Galileo’s famous dictum that Scripture teaches “how the
the condemnation of the work as heretical in 1595.
heavens go and not how to go to heaven” should be inter-
EARLY MODERN VARIATIONS ON THE THEME. The “book of
preted in light of his conviction of the complementarity of
nature” enjoyed its greatest currency in the early modern pe-
the two books.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TWO BOOKS, THE
9423
The metaphor flourished in the natural theological cli-
spectively the verbal and the pictorial representations of di-
mate of seventeenth-century England, particularly in the
vine wisdom, correlating the “inspired record of creation”
“physico-theology” of the Boyle Lectures, where the idea was
with contemporary science (Science and the Bible, 1871).
used by many divines as shorthand for the assumed validity
Paul Chadbourne regarded nature as an unchangeable re-
of the design argument. But its two terms were not always
cord, written in the language of the sciences of which geology
held in comfortable balance. The dissenting theologian Rich-
comprised the most clearly comprehended volume (Nature
ard Baxter, for example, argued that “nature was a ‘hard
and the Bible from the Same Author, 1870). The geologist Jo-
book’; which few could understand, and that it was therefore
seph Le Conte declared that “the whole object of science is
safer to rely more heavily on Scripture” (The Reasons for the
to construct the theology or the divine revelation in nature.”
Christian Religion, 1667). In contrast, Sir Isaac Newton saw
Although quite clear about the limits of science as a com-
nature as perhaps more truly the source of divine revelation
mentary on the book of Scripture, he held that “of these two
than the Bible, although he spent decades of his life investi-
books, nature is the elder born, and in some sense, at least,
gating the prophetic books. It has been argued that in virtual-
may be considered the more comprehensive and perfect” (Re-
ly abolishing the distinction between the two books, which
ligion and Science, 1902).
he revered as separate expressions of the same divine mean-
ing, Newton was attempting to keep science sacred and to
The innovations in hermeneutics and science pushed
reveal scientific rationality in what was once a purely sacral
the more religiously conservative wings of society in a pre-
realm, namely biblical prophecy (Manuel, 1974, p. 49). By
critical direction of maintaining verbal inerrancy and defend-
the early eighteenth century there was a significant faction
ing the ancient understanding of earth history. The meta-
within the Royal Society opposed to any mention of Scrip-
phor of the “book of nature” gained weight as one of the
ture in a scientific context.
cornerstones of their position, thriving in evangelical and
fundamentalist-creationist circles right through the end of
DECLINE AND SURVIVAL OF THE “TWO BOOKS.” Although
the twentieth century.
the metaphor of the book of nature persisted vigorously into
the nineteenth century, various movements began to weaken
However, in both liberal and neo-orthodox theology the
its cogency. The Enlightenment critiques of David Hume
metaphor of “God’s two books” entered into steady decline
and Immanuel Kant undermined the project of natural the-
after 1900. Parallel to the development of historical geology
ology in broad strokes, and the deist movement challenged
and biblical criticism was the erosion of confidence that one
the uniqueness of the Christian revelation. Thomas Paine
can easily interpret natural processes teleologically, as Wil-
asked defiantly: “Do we want to know what God is? Search
liam Paley had once argued. The discovery of extinction in
not the book called the Scripture, which any human hand
the fossil record disproved the ancient assumption of the im-
might make, but the Scripture, called the creation” (The Age
mutability of species, rendering it increasingly difficult to
of Reason, 1794).
read the “book of nature” as self-evidently revealing the di-
vine plan or at least as a plan worthy of admiration. Addi-
The revolutions in geology and biology eroded long-
tionally the metamorphosis of “natural philosophy” or “nat-
standing traditions of a young earth and an immutable cre-
ural history” into the variety of sciences as understood in the
ation and wore away the bedrock beneath a coherent “book
early twenty-first century undercut both terms in the meta-
of nature” temporally coextensive with the “book of Scrip-
phor of “God’s two books.” As each new scientific discipline
ture.” Whereas John Mason Good argued that the Bible
developed its own sphere of study, the “nature” underlying
must be the word of God, “for it has the direct stamp and
the “book of nature” lost its metaphorical coherence, and the
testimony of his works” (The Book of Nature, 1833), Charles
replacement of science as commentary on authoritative texts
Babbage advanced a view that seemed almost to verge on as-
by the empirical investigation of the natural world essentially
serting the superfluity of scriptural revelation in light of the
removed the “book” from the “book of nature.” Finally, the
book of nature (Ninth Bridgewater Treatise, 1838). Parallel
gradual recognition over the nineteenth and twentieth centu-
to the “historicization” of geology and biology, the develop-
ries that the human community embraces a plurality of reli-
ment of a historical critical approach to study of the Scrip-
gious faiths has had the effect of relativizing the Bible as a
ture challenged the profoundly rooted tradition about the
source of revelation. The “two books” metaphor truly func-
Bible as an integral and timeless record of the word of God.
tions only if the claim can be defended that the Bible is the
book of Scripture.
Despite the developments outlined above, the “two
books” metaphor continued to thrive during the nineteenth
The complex metaphor of the “two books” has enjoyed
century among both conservative anti-Darwinians and more
a long and convoluted life cycle. For nearly two millennia
liberal thinkers who enthusiastically adopted the principles
the idea variously framed, constituted, negated, or otherwise
and discoveries of contemporary science. For the Scottish Fr-
reflected the relationship between the two human institu-
eechurchman Hugh Miller, the “two books” became the
tions now referred to as science and religion. It is an open
“two theologies” (Testimony of the Rocks, 1857). A decade
question whether as a rhetorical device it can be rehabilitated
after Charles Darwin’s On the Origin of Species (1859), Her-
in a world of historical critical interpretation of all sacred
bert Morris argued that Scripture and nature represent re-
Scriptures and in which evolutionary or developmental mod-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9424
TYLOR, E. B.
els hold sway in scientific disciplines ranging from cosmology
During the years of Tylor’s greatest activity, the ques-
and geology to biology and neuroscience. But the changing
tion of the origin and evolution of religion was high on the
fashions of metaphor cannot mask the conviction of believers
agenda of social scientists, the dominant theorists being F.
that God does speak to God’s creatures in pluriform ways:
Max Müller on one level and Herbert Spencer on the other;
through religious traditions, through immediate intuition,
Müller worked exclusively with language, while Spencer pro-
through personal relationships, and through the revelations
ceeded by way of vast generalizations learned in large mea-
found in sacred writing and in nature.
sure from Auguste Comte. Tylor was no less interested than
Müller in language, but he began at an earlier point in its
BIBLIOGRAPHY
evolution, far beyond “Aryan” roots and their meanings. To
Blumenberg, Hans. Die Lesbarkeit der Welt. Frankfurt am Main,
reach this point it was necessary for Tylor to formulate a
Germany, 1981.
comprehensive theory to bridge the gap between the present
Bono, James J. The Word of God and the Languages of Man: Inter-
and the remote past. This was the theory of “survivals”—
preting Nature in Early Modern Science and Medicine. Madi-
elements of culture or society that evolution has left behind.
son, Wis., 1995.
Gesture probably preceded language, though Tylor was too
Curtius, Ernst Robert. European Literature and the Latin Middle
cautious to claim gesture to have been a separate stage in
Ages. Translated by Willard R. Trask. New York, 1953.
human communication. In matters concerning religion, he
Harrison, Peter. The Bible, Protestantism, and the Rise of Natural
believed himself to be on firmer ground.
Science. Cambridge, U.K., 1998.
Howell, Kenneth J. God’s Two Books: Copernican Cosmology and
It was in 1866, in an article in the Fortnightly Review
Biblical Interpretation in Early Modern Science. Notre Dame,
titled “The Religion of Savages,” that he first introduced his
Ind., 2002.
idea of “animism,” “the belief in Spiritual Beings,” as the ear-
John Paul II, Pope. Fides et Ratio. Casale Monferrato, Italy, 1998.
liest form of known religion—and of course accessible only
through the study of survivals and by placing a particular in-
Manuel, Frank E. The Religion of Isaac Newton. Oxford, 1974.
terpretation on the difficult matter of “savage” mental pro-
Pedersen, Olaf. The Book of Nature. Vatican City State, 1992.
cesses. His theory was given a definitive statement in Primi-
Raymond of Sabunde. Theologia Naturalis Seu Liber Creaturarum.
tive Culture, and the word animism is still widely used today,
Stuttgart, Germany, 1966.
though more in a descriptive than in an evolutionary sense.
PETER M. J. HESS (2005)
Otherwise, Tylor’s approach to early forms of human
religion has often been criticized as being too intellectual and
too moral. According to one of his disciples, R. R. Marett,
TYLOR, E. B. (1832–1917) was an English anthropolo-
he was “a little blind to the spontaneity of the process where-
gist, often called “the father of British anthropology.” Ed-
by Man becomes at once religious and moral, without taking
ward Burnett Tylor was born in London on October 2,
conscious thought to it, until he is fairly involved in an inco-
1832, the son of a brass-founder. Both his parents were
herent striving that is neither because it is both together”
members of the Society of Friends, and it was within the
(Marett, 1936, p. 168). Looking into the past for a certain
Quaker community that Tylor grew up. He entered his fa-
type of moralized religion, and failing to find it beyond a cer-
ther’s brass foundry at the age of sixteen, but a breakdown
tain point, Tylor missed much of importance. He had no
in health followed, and in 1855 he was sent to America in
feeling for the ecstatic side of religion, perhaps partly because
search of a cure. In Cuba in 1856 he met the noted archaeol-
of his intense dislike of nineteenth-century spiritualism. Also
ogist Henry Christy, who was also a Quaker, and they trav-
he cannot be exonerated from having overlooked or deliber-
eled together for some time. Out of this visit came Tylor’s
ately ignored all the evidence later produced by Andrew Lang
first book, Anahuac, or Mexico and the Mexicans, Ancient and
in support of “high gods of low races,” gods who were neither
Modern (1861), written and published before he was thirty.
ghosts nor spirits. “Spirit” was perhaps the only category
He had no university education of any kind, but he was a
open to a pioneer such as Tylor, but when linked with “be-
gifted writer and a tireless researcher in the emergent anthro-
lief” (as it was in his celebrated “minimum definition” of reli-
pological field. The two books for which he is chiefly remem-
gion), it had the effect of relegating much else to a subordi-
bered were written in his thirties: Researches into the Early
nate place in the structure of religion and culture.
History of Mankind (1865) and the even better known work
Primitive Culture (2 vols., 1871). Although he wrote many
In the running debate between evolutionism and diffu-
more articles and reviews, he was to publish only one more
sionism it is generally supposed that Tylor was wholehearted-
book, the popular handbook Anthropology (1881). Gradually
ly on the side of the unilinear evolutionists. But he was pre-
he gained academic recognition. He received an honorary
pared to consider diffusionism on its merits, and to stop only
doctorate from the University of Oxford in 1875. In 1883
when the evidence would carry his argument no further. In
he became keeper of the Oxford University Museum, and
his early years he was indeed something of a diffusionist, even
in 1884 reader in anthropology. From 1896 to his retirement
to the extent of speculating that the Aztec god Quetzalcoatl
in 1909 he was professor of anthropology, the first in Britain.
was not only a man but may even have been an Irishman!
He was knighted in 1912 and died on January 3, 1917.
Later his habitual caution prevented any further such flights
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TYNDALE, WILLIAM
9425
of fancy, and on the whole he sided with the evolutionists,
whom any vernacular deviation from the Latin translation
while stopping short of absolute dogmatism.
(made in the fourth century) was heresy. This censorship was
It was characteristic of Tylor’s immediate disciples that
at its most severe in England, where it was rigidly applied:
sooner or later they were forced to part company with his
in the 1380s, alarmed by the spread of handwritten Bible
findings in the form in which he stated them. The ubiqui-
translations made from the Latin into English under the in-
tous and enigmatic Andrew Lang broke away on the issue
fluence of John Wyclif, the English Church had punished
of “high gods,” the urbane R. R. Marett on the matter of
many “Lollards,” as Wyclif’s followers were nicknamed,
“preanimism” and later on questions concerning performa-
often by burning them alive. Tyndale needed the permission
tive ritual. But these scholars and others retained a deep af-
of a Bishop, and sought it from Erasmus’s friend Cuthbert
fection for their mentor. Marett wrote that throughout his
Tunstall, Bishop of London. He was snubbed.
career Tylor appears as “the most ingenuous of men, open-
With money from courageous London merchants, Tyn-
minded because he is simple-minded, the friend of all man-
dale went to Germany, and in Cologne began printing his
kind because he would be incapable of feeling otherwise; and
English translation. He had reached Matthew’s Gospel chap-
withal hardheaded, of business antecedents, not easily fooled,
ter 22 when the print shop was raided. Tyndale and his help-
pedestrian enough to prefer solid ground under his feet”
er fled up the Rhine to the safe Lutheran city of Worms.
(ibid., p. 214). In short, though often unacknowledged, he
There in 1526 he produced 6,000 copies of his first English
laid foundations on which the study of primal religion has
New Testament, pocket-size like all his works. Smuggled
built for more than a century.
down the Rhine and eagerly received in England and Scot-
land, copies were ruthlessly hunted and destroyed: Tunstall
SEE ALSO Animism and Animatism; Manism.
supervised their burning at St Paul’s. Only three copies now
survive, one on permanent display in the British Library.
BIBLIOGRAPHY
In Germany, Tyndale learned Hebrew (unknown in
For discussions of Tylor’s contribution to the science of religion,
see R. R. Marett’s Tylor (London, 1936); Richard M. Dor-
England) and in 1530 printed in Antwerp his translation of
son’s The British Folklorists: A History (Chicago, 1968),
the “First Five Books of Moses”—the first time that Hebrew
pp. 187–197; J. W. Burrow’s Evolution and Society: A Study
had been translated into English. Finding that knowledge of
in Victorian Social Theory (Cambridge, 1970), pp. 228–259;
Hebrew deepened his understanding of the Greek biblical
and Eric J. Sharpe’s Comparative Religion: A History (Lon-
text, Tyndale produced a revision of his New Testament,
don, 1975), pp. 53–58.
printed in Antwerp in 1534. He worked in Antwerp also on
New Sources
the second quarter of the Old Testament, the Historical
Segal, Robert A. “Tylor’s Anthropomorphic Theory of Religion.”
books Joshua to 2 Chronicles.
Religion 25 (January 1995): 23–30.
Tyndale’s 1534 New Testament, and half of the Old
Tylor, Edward Burnett. The Collected Works of Edward Burnett
Testament, were reproduced largely unchanged in successive
Tylor. London, 1994.
English Bibles throughout the rest of the century, culminat-
ERIC J. SHARPE (1987)
ing in the influential version made in the name of King
Revised Bibliography
James in 1611: five-sixths of that New Testament, and only
slightly less of the Old Testament, were there taken over di-
rectly from Tyndale, without acknowledgement.
TYNDALE, WILLIAM (1494?–1536), Bible transla-
Tyndale’s greatness lay in his accurate translation of the
tor and Reformation scholar. William Tyndale came from
original Greek and Hebrew; his clarity of expression; and in
a well-established family in Gloucestershire in the west of
his choice of a linguistic register just a little above ordinary
England. After an excellent education at a local Grammar
speech. He gave English speakers very many phrases still in
School, he was for ten years at the University of Oxford. In
use, such as “Let there be light.” His Plain Style, a Saxon vo-
1516 Tyndale’s life took a decisive turn when the New Tes-
cabulary in a neutral word order, through his wide Bible
tament was for the first time printed in Greek, its original
readership established English as a good written language
language, in an edition made by Desiderius Erasmus in Basle,
that anybody could use. Much of the remarkable develop-
Switzerland. Along with scholars throughout Europe, and
ment of literature in the hundred years after him came out
particularly Martin Luther in Germany, Tyndale recognized
of his work: it is not fanciful to remark “Without Tyndale,
the importance of a readily available Greek New Testament,
no Shakespeare.”
and the need for a printed translation which could reach En-
His New Testament affected the nation. A neat defini-
glish readers and hearers at any level.
tion of the Reformation is “people reading Paul.” The Epistle
After spending perhaps a year in Cambridge (where
to the Romans in particular, the bedrock of New Testament
Erasmus had been teaching Greek), Tyndale returned to
theology, and read or heard—as Tyndale famously intend-
Gloucestershire to begin work on an English New Testa-
ed—even by “the ploughboy,” showed the believer’s direct
ment. Such an enterprise was forbidden by the Church, for
access to God through faith. Moreover, in the newly avail-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9426
TY´R
able Bible a large number of the Church’s practices and dog-
The gods had been warned that the monstrous offspring
mas were not found: confession to the ear, the celibacy of
of Loki and the giantess Angrboða—Fenrir, the witch Hel,
the priesthood, Purgatory, and so on.
and the serpent Miðgarðsormr—would cause them great
Tyndale wrote other important books. The Parable of
harm. Óðinn cast Hel into the cold, dark world of Niflheimr
the Wicked Mammon (1528) demonstrates the New Testa-
and dispatched the Miðgarðsormr to the rim of the cosmic
ment emphasis on faith rather than works. His The Obedi-
ocean, but the wolf was still in the custody of the Æsir. As
ence of a Christian Man (1528) countered the lie put about
the whelp grew up, only Ty´r dared to feed him, and the gods
by his enemies that the reformers preached sedition.
thought it time to chain him. They tried twice, but the wolf
easily broke loose. The Æsir got the dark elves to manufac-
Tyndale had a price on his head as a heretic. Commis-
ture an unbreakable fetter. From the rustle of a moving cat,
sioned to do so, Thomas More attacked him at length. In
the beard of a woman, the roots of a cliff, the breath of a fish,
Antwerp, Tyndale was tricked into arrest; he was imprisoned
the sinews of a bear, and the spittle of a bird, the elves made
near Brussels for sixteen months, and in October 1536 taken
a band as soft as silk yet able to withstand any force. The gods
out, strangled, and burned. His heresy was the making of the
took Fenrir to a remote island, where they challenged him
English Bible: his influence, long ignored, was very large.
to free himself again. Having prided himself on snapping the
S
other bonds, he did not deign to pit himself against some-
EE ALSO Wyclif, John.
thing so fragile-looking. When the gods insisted, he became
B
suspicious and only consented to be bound with the ribbon
IBLIOGRAPHY
Daniell, David. William Tyndale: A Biography. New Haven,
if one of them placed a hand in his mouth as a pledge of good
Conn., and London, 1994.
faith. All were reluctant to do this except Ty´r, who lost his
Tyndale’s New Testament. Introduction by David Daniell. New
hand when the wolf found himself bound fast. The gods
Haven, Conn., and London, 1989. A modern-spelling edi-
chained Fenrir to a huge boulder and gagged him with a
tion.
sword, where he remained until the Æsir’s final battle against
Tyndale’s Old Testament. Introduction by David Daniell. New
the giants and monsters at Ragnarok. Each god had his own
E
Haven, Conn., and London, 1992. A modern-spelling edi-
special opponent in that conflict, and Ty´r was killed by
tion.
Garmr, the monstrous dog that guarded the entrance to
Hel’s realm.
DAVID DANIELL (2005)
Ty´r’s action is an example of heroic abnegation, and
Georges Dumézil (1974; 1985, pp. 268–274) has noted the
TY´R (“God”) is a Scandinavian deity associated with law
parallel between Ty´r and Mucius Scaevola, who sacrificed his
and war. Although his name reflects the Indo-European
right hand to convince Lars Porsena, the Etruscan leader
words for “god” and “day” (IE, *deywos >; PGmc., *Tíwaz;
threatening Rome, that he and three hundred young men
cf. Sansk. dyaus, Gk. Zeus, and Lat. deus), Ty´r no longer rep-
were ready to give up their lives to kill him. Porsena then
resents the transcendence and majestic glory of the luminous
signed a peace treaty that saved Rome from destruction.
sky. He must have played a more important role at some
There are also parallels with non-Germanic gods: the Irish
stage, for his name can simply mean “god,” both originally
god Nuadu and the Indian god Súrya are one-armed as well.
and in Viking times. His sovereign powers also meant that
Ty´r the one-handed seems to be juxtaposed with the spell-
Norse court poets could substitute his name for that of
working, one-eyed Óðinn, just as Nuadu with his one hand
Óðinn when it was combined with an object or characteristic
stood beside Lug with his magic and his closed eye.
associated with Óðinn: Victory-Ty´r, Ty´r of the Hanged, and
Ty´r’s sacrifice has been correlated with his function as
Ty´r of Ships’ Cargoes all designate Óðinn. More mysterious
god of law (De Vries, 1967, pp. 13–14, 22–24; Dumézil,
is the occurrence of Ty´r as the name of a young boy in the
1973, p. 45), mainly on the basis of his association with the
Eddic poem Hymiskviða; this figure may not have any rela-
Germanic thing (the assembly of the warriors), where priests,
tionship to the god.
perhaps of Tíwaz, kept the peace (cf. Tacitus, Germania 11),
By the time of the first written sources, Ty´r was not a
and the Germanic concept of war as a vápnadómr (judgment
supreme being, a creator of the world, or a heavenly father,
by arms) with set rules. The interpretatio Romana of German-
but he still had an honorable position among the leading
ic Tíwaz as Mars (cf. the translation of Lat. dies Martis as OE.
Æsir, the primary group of Norse gods. According to Snorri
Tiwesdæg, Eng. Tuesday) can thus be correlated with Duméz-
Sturluson, Ty´r is the boldest and most courageous of the
il’s view of Ty´r as the Germanic representative of the juridi-
gods and is invoked by warriors because he can grant victory.
cal aspect of sovereignty (Dumézil, 1977, pp. 196–200;
He possesses extensive knowledge, whence the Old Norse ex-
Dumézil, 1985, pp. 265–272; Polomé, 1984, pp. 402–
pression ty´spákr (as wise as Ty´r). Yet few other details are
405). Dumézil, however, sees Ty´r’s action not as heroic but
given: the identity of his father is uncertain, he does not ap-
as the embodiment of fraudulence, because it involves delib-
pear to be married, and the only myth in which he plays a
erate perjury—the gods had promised Fenrir that they would
significant role is the story of the fettering of the wolf Fenrir.
release him if he could not break the band. Most scholars
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
TYRRELL, GEORGE
9427
view the deceit as ethically acceptable because it neutralizes
bondage by his devoted mother and schooled in gospel kind-
an uncontrollable danger threatening the community of the
ness by Charles W. Benson of Rathmines School, but was
Æsir. Clunies Ross (1994, p. 221) points out that both the
swayed oppositely by the acerbity and agnosticism of his
wolf and Ty´r show courage, and both suffer. She interprets
elder brother William.
this myth as illustrating the interrelatedness of the worlds of
gods and giants: giant nature does not lie in a world different
William’s untimely death sent Tyrrell on a search for
from that of the gods, but instead lies inside it.
stable footing in the externals of religion. Experimentation
with Anglicanism and Roman Catholicism led to friendship
Evidence for the worship of Ty´r is scanty outside of
with Robert Dolling, the later famous “Father Dolling,” who
Denmark, where place-names such as Tislund (Ty´r’s grove)
served briefly as Tyrrell’s mentor and spiritual director, first
attest to his widespread veneration. Ty´r is commemorated
securing his matriculation at Trinity College (1878), then in-
in only two place-names in Norway (Tysnes, “Ty´r’s peninsu-
viting him to London to see sane Anglo-Catholicism at work,
la”; Tysneso⁄, “Tysnes island” or “The island near Tyr’s pen-
hoping thereby to prevent his anticipated conversion to
insula”); here the cult appears to have been adopted from
Roman Catholicism. Dolling’s strategy failed. On May 18,
Denmark. Ty´r’s name has also been seen in some of the
1879, Tyrrell was received into the Catholic church and a
place-names of southern England, and Old English writers
year later into the Jesuit order as well.
occasionally glossed the Latin Mars by Tiw or Tig. There are
no Swedish place-names associated with Ty´r. Most likely, the
Although Tyrrell felt confirmed in those momentous
importance of his cult elsewhere in the Germanic region di-
decisions, he was unprepared to conform to the rigid ultra-
minished over time. He is also associated with the t-rune,
montanism and rationalist neoscholasticism of the post–
which was called the “victory rune.” Warriors engraved it on
Vatican I church and to the mechanistic spirituality of the
their sword hilts and guards, thereby invoking Ty´r twice.
“restored” Society of Jesus. Two of Tyrrell’s seminary profes-
sors suggested more congenial paths. Thomas Rigby encour-
SEE ALSO Dumézil, Georges; Eddas; Germanic Religion,
aged him to bypass the scholastics and to read Thomas Aqui-
overview article; Óðinn; Runes.
nas for himself, while Joseph Rickaby was no doubt the one
who gave him John Henry Newman’s Grammar of Assent in
BIBLIOGRAPHY
1885 and thus occasioned “a profound revolution in my way
Clunies Ross, Margaret. Prolonged Echoes: Old Norse Myths in Me-
of thinking.” From Thomas, Tyrrell learned the principle of
dieval Northern Society, vol. 1: The Myths. Odense, Denmark,
modernization, or aggiornamento; from Newman, he derived
1994.
an experience-based psychology of religion and an inductive,
De Vries, Jan. Altgermanische Religionsgeschichte, vol. 2. 2d rev. ed.
historical method, as opposed to the a priori, deductive
Berlin, 1967.
method of scholasticism.
Dumézil, Georges. Gods of the Ancient Northmen. Berkeley, Calif.,
1973.
In 1894 Tyrrell was appointed to the chair of ethics at
the Jesuit school of philosophy at Stonyhurst, but two years
Dumézil, Georges. “‘Le Borgne’ and ‘Le Manchot.’” In Myth in
Indo-European Antiquity, edited by Gerald James Larson,
later, no longer tolerable to the established faculty, he was
pp. 18–20. Berkeley, Calif., 1974.
removed to London and the staff of the Jesuit religious peri-
odical, the Month. Thus began a writing career that would
Dumézil, Georges. Les dieux souverains des Indo-Européens. Paris,
propel him into ever-widening circles of liberals, modernists,
1977.
and modernist sympathizers (among them Wilfrid Ward,
Dumézil, Georges. L’oubli de l’homme et l’honneur des dieux. Paris,
Friedrich von Hügel, Maude Petre, and Henri Bremond)
1985.
and lead him to the thought of a host of nonscholastic schol-
Polomé, Edgar C. “The Indo-European Component in Germanic
ars (Bergson, Blondel, Dilthey, Harnack, Loisy, Sabatier,
Religion.” In Myth and Law Among the Indo-Europeans, ed-
Schweitzer, Troeltsch, and Weiss).
ited by Jaan Puhvel, pp. 55–82. Berkeley, Calif., 1970.
Polomé, Edgar C. “The Indo-European Heritage in Germanic Re-
Tyrrell’s work anticipated Vatican II’s effort to bring
ligon: The Sovereign Gods.” In Athlon: Satura Grammatica
church polity and doctrine into constructive dialogue with
in honorem Francisci R. Adrados, edited by Alberto Bernabé
the best and most enduring elements of post-Enlightenment
et al., vol. 1, pp. 401–411. Madrid, 1984.
thought. Initially Tyrrell allied himself with Ward’s mediat-
E
ing tactic of palliating ascendant policies with liberal doses
LIZABETH ASHMAN ROWE (2005)
of Newmanism, but as he encountered historical and biblical
criticism, he concluded that Newmanism could not be made
to answer questions it had never asked. In Christianity at the
TYRRELL, GEORGE (1861–1909), leading Roman
Cross-Roads (1909) Tyrrell sought to establish Newman’s as-
Catholic theologian of the so-called modernist movement.
sumed identity between the “idea” of Christ and Christianity
Adversity and agitation marked Tyrrell’s life from the begin-
and the “idea” of Roman Catholicism by showing that the
ning. Born in Dublin on February 6, 1861, two months after
categories of apocalyptic and eschatology had carried the
his father had died, Tyrrell was raised in penury and vaga-
“idea” of Christianity unadulterated from epoch to epoch.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9428
TZU CHI
He also went beyond Newman in criticizing not only the
monographs are Lex Orandi, or Prayer and Creed (New York,
doctrinal expression of faith but the act of faith itself.
1903), on psychology of religion; The Church and the Future
(1903; reprint, London, 1910), originally published under
On February 19, 1906, Tyrrell was dismissed from the
the pseudonym Hilaire Bourdon, an apologetic for Roman
Society of Jesus for refusing to retract a published excerpt
Catholicism; and Christianity at the Cross-Roads (London,
from his Letter to a University Professor (1903). The following
1910), an attempt to incorporate the implications of escha-
year, on October 22, 1907, he was excommunicated for pub-
tology and apocalypticism. M. D. Petre’s Autobiography and
licly criticizing Pius X’s encyclical Pascendi dominici gregis,
Life of George Tyrrell, 2 vols. (London, 1912), of which Tyr-
which condemned modernism. Tyrrell died on July 15,
rell wrote volume 1, is an indispensable, if biased, account.
1909, a victim of Bright’s disease, and was buried in the An-
My own book, George Tyrrell: In Search of Catholicism
glican churchyard in Storrington, Sussex.
(Shepherdstown, W.Va., 1981), with extensive notes and
bibliography, provides the fullest introduction to Tyrrell’s
thought.
BIBLIOGRAPHY
DAVID G. SCHULTENOVER (1987)
Tyrrell’s early apologetic essays are collected in The Faith of the
Millions, 2 vols. (New York, 1901), while his later essays on
the revelation-dogma-history issue are given in Through Scyl-
la and Charybdis (London, 1907). His most substantive
TZU CHI SEE CIJI
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N


U–V
UCHIMURA KANZO
¯ (1861–1930), Japanese essayist, scholar of the Bible, and
Christian leader. Uchimura’s unique place in modern Japanese thought results from his
insistence on human independence before the biblical Christian God. Four prophetic acts
by Uchimura dramatize and represent themes in his writing. In two of these acts Uchi-
mura questioned the growing authoritarianism of the government. His scrupulous hesita-
tion in 1891 to bow before the signature of the emperor and his outspoken avowal of
pacifism in 1903, immediately before the onset of the Russo-Japanese War, raised the
issue of Christian loyalty to the state. He also proclaimed the imminent return of Christ
in 1918 and appeared to renounce in a posthumously published document the Christian
movement associated with his name.
These acts resulted from a heightened sense of individual worth and responsibility
apparent in Uchimura’s personal history. His father, a capable samurai civil servant, lost
his status, position, and self-respect with the political changes that followed the revolution
of 1867–1868. He turned the leadership of the family over to his sixteen-year-old son
after the boy received a government scholarship large enough to support the whole family.
Uchimura studied at a government agricultural college, where, under the influence of
evangelical American Calvinist teachers, he became a Christian.
After graduation in 1881, dissatisfaction with government service as a fisheries scien-
tist and a disastrous marriage drove him to the United States. There he found sympathetic
mentors at Amherst College and obtained a second bachelor’s degree in 1887. Back in
Japan, Uchimura administered a school manned largely by American missionaries. Dis-
agreement over evangelical methods—he wanted to cite Japanese examples of the upright
life before he taught Christianity—led Uchimura to resign and forsake cooperation with
missionaries. His hesitation before the imperial signature while a teacher in a government
school cost him the possibility of further official employment. As a result, he determined
to live by writing. After several lean years, he became the editor of a newspaper that he
was to make into Japan’s largest daily, but his declaration of pacifism cost him that posi-
C LOCKWISE FROM TOP LEFT CORNER. A deceased man sails through the underworld in a painting on
papyrus from the ancient Egyptian Book of the Dead. Kunsthistorisches Museum, Vienna.
[©Erich Lessing/Art Resource, N.Y.]; Venus of Milo, c. 130–120 BCE. Louvre, Paris. [©Erich
Lessing/Art Resource, N.Y.]; Sixth-century Guatemalan funerary mask. Museo Nacional de
Arqueologia, Guatemala City. [©Erich Lessing/Art Resource, N.Y.]; Cham Temple in My Son,
Vietnam. [©Luca I. Tettoni/Corbis]; Detail from a fourth-century BCE Etruscan vase depicting
Athena with her owl in flight and Poseidon holding the trident. Louvre, Paris. [©Réunion des
Musées Nationaux/Art Resource, N.Y.] .
9431
9432
UFO RELIGIONS
tion. He had already started in 1900 a monthly called Seisho
latter version will include some more articles and many more
no kenkyu¯ (Biblical Studies). This publication fulfilled a
letters. The best biography is by Masaike Megumu, Uchi-
long-standing ambition to write popular Bible commentaries
mura Kanzo¯ den (1950; Tokyo, 1977). In English, Culture
and provided him with a livelihood until his death. Through
and Religion in Japanese-American Relations: Essays on Uchi-
his magazine, numerous individuals came to look upon
mura Kanzo¯, 1861–1930, edited by Raymond A. Moore,
Uchimura as their spiritual mentor. His many large lecture
Michigan Papers in Japanese Studies, no. 5 (Ann Arbor,
1981); and my article “Uchimura Kanzo¯,” in Pacifism in
meetings after he joined the Second-Coming Movement in
Japan: The Christian and Socialist Tradition, edited by No-
1917 returned him to the center of national attention. The
buya Bamba and me (Kyoto, 1978), discuss aspects of Uchi-
meetings developed into two-hour commentaries on the
mura’s legacy. I have written a complete critical biography,
Bible for weekly audiences of five to seven hundred. He con-
which is ready for publication.
tinued his magazine and lectures until death stilled his voice.
JOHN F. HOWES (1987)
All of Uchimura’s writings reflect a concern for a Japan
suddenly introduced into the modern world. At the time,
“the modern world” signified the European and North
American nations, whose people believed in a hierarchy of
UFO RELIGIONS. The rise of interest in unidentified
states with those of the Christian culture ranked highest.
flying objects (UFOs) has been amply demonstrated over the
Uchimura, through his English-language works, interpreted
last few decades. It is not surprising that in an age of scientific
Japanese concerns to Westerners, emphasizing the rectitude
discoveries, especially in the field of astronomy, the search
of traditional Japanese virtues. His early Japanese-language
for extraterrestrial life is a legitimate and respectable enter-
works commented on contemporary Japanese society. His
prise. But the quest for alien life on planets both within and
later writings introduced the Bible and the fruits of Christian
outside our galaxy appears to have gone beyond the usual
culture to Japan. These essays were frequently based upon
pursuit of scientific data supported by empirical evidence. It
the notes he had written for his weekly lectures. The com-
has also surpassed the quest for adventure beyond the con-
mentaries on the Bible form a major part of these writings
fines of planet Earth. Many people do not just speculate
and constitute the largest corpus of biblical studies by one
about the possibility of alien life elsewhere but claim to have
author in the Japanese language.
actually encountered or been visited by aliens. The search for
The concept associated with Uchimura’s name is
UFOs has become the center of a belief system with most,
mukyo¯kai or mukyo¯kai shugi, usually translated as “no
if not all, of the features that are usually linked with religion.
church,” “nonchurch,” or, in Uchimura’s translation,
The phrase UFO Religions can thus be applied to those orga-
“Christianity of no-church principle.” It proclaims a faith
nizations that exhibit many of the various dimensions that
linking humans to God through prayerful use of the Bible
have been routinely applied to other, more established, reli-
alone. The church as it existed in the Christian nations
gious organizations.
seemed to Uchimura so burdened with the associations of
While the precise definition of religion is still a matter
Western history and tradition as to lack meaning for Japa-
of debate among scholars, there seems to be some agreement
nese. On the other hand, Japanese, through faithful reading
about those key features or characteristics that are central to
of the Bible, could develop a Christianity true to their needs
any religious system. Among these are a communally shared
and consistent with their traditions. Uchimura’s denial in an
belief system or worldview in which a sacred or transcendent
article published after his death of “what is today commonly
reality figures prominently; a belief that the human race
called mukyo¯kai” did not reflect any change in his belief. In-
needs some kind of salvation or redemption from its present
stead, it expressed his dismay at the incipient development
condition; an ethical system; experiences such as devotion,
among his followers of a church based on their interpretation
ecstasy, rebirth, and inner peace; central myths or stories, es-
of mukyo¯kai shugi.
pecially those dealing with the creation and future of human-
Uchimura’s followers, most concerned that they must
kind; and rituals. Many of these features are also found in
not start a church, continue in small Bible-study groups
UFO religious groups, though not all have been accorded the
known collectively as mukyo¯kai. They have no other organi-
central place given them in most of the world’s religions. Sev-
zational ties than their respect for the Bible and the works
eral UFO groups are noted for forming well-knit communi-
of Uchimura. Adherents include a number of figures impor-
ties with a mission to propagate the teachings of their faith.
tant in the shaping of Japanese institutions after 1945:
Others stress individual spiritual development and/or heal-
Tanaka Ko¯taro¯, Yanaihara Tadao, Nambara Shigeru, Takagi
ing. Still others, while having some of the main features of
Yasaka, and Matsumoto Shigeharu.
religion, are mail-order organizations and thus lack the com-
munal and ritual aspects typical of some UFO religions.
BIBLIOGRAPHY
HISTORY. The rise of the modern UFO religions can be
The definitive Uchimura Kanzo¯ zenshu¯, 20 vols. (1932–1933; re-
traced to Kenneth Arnold who, in the mid-1940s, reported
print, Tokyo, 1961–1966) has been replaced by another
to have seen several flying saucers. Sightings by other individ-
work of the same name in 38 vols. (Tokyo, 1981–1984). The
uals followed, and soon people were relating their experi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UFO RELIGIONS
9433
ences of meeting and communicating with aliens from other
George King, the founder of the Aetherius Society, main-
planets.
tained contact with aliens, many of which are identical to the
ascended masters, which include founders of world religions
George Adamski (1891–1965) was the first contactee of
such as Jesus and the Buddha.
the modern era. Believing that he had been visited by a being
from the planet Venus on November 20, 1952, Adamski saw
GENERAL WORLDVIEW AND AIMS. The worldview adopted
himself as the chosen person with the mission of communi-
by UFO groups is much broader than that proposed by tradi-
cating important messages from the aliens to human beings.
tional religions. It indirectly includes modern astronomical
Adamski never founded a religious organization as such, but
discoveries and takes for granted the existence of intelligent
he attracted a following interested in the wisdom and knowl-
creatures on other planets in the vast cosmos. These beings
edge that the aliens had to offer to the human race. This led
are superior to the human race intellectually, scientifically,
to the foundation of the International Get Acquainted Club.
and spiritually. In spite of this expansive view of the universe,
Several organizations to disseminate his teachings were later
the main concern is still planet Earth, which is conceived as
founded by his followers. The largest is the George Adamski
a somewhat backward planet where men and women need
Foundation, which has since 1965 continued to circulate his
outside help to advance in the course of evolution.
works and to promote his view that contacts with aliens have
been made throughout the ages and that advancement in var-
While UFO religions offer little, if any, speculation
ious sciences has been achieved through such contacts.
about the origin of the universe, they often have elaborate
theories of the origins of the human race and its condition
The George Adamski Foundation became the spearhead
here on Earth. Raëlians, for instance, hold that human life
of the religiously oriented UFO groups that have emerged
on Earth was created by beings from another planet through
since the 1950s. The leaders of these groups reported contact
their knowledge of DNA and its use. A similar view had al-
with aliens, mainly from various planets in our solar system,
ready been popularized in Erich von Daniken’s book
and at times maintained that they had traveled to other plan-
Chariots of the Gods (1969) and has become part of UFO
ets, where they were shown advanced civilizations that made
mythology.
human cultures look rather primitive. Some of these leaders
were charismatic and/or prophetic and succeeded in gather-
Central to any UFO religion is the belief that contact
ing a clientele around them, eventually forming cult move-
with aliens is the way to salvation and improvement. The
ments, “which are full-fledged organizations that attempt to
teachings of Adamski describe the aliens as “beings of amity,
satisfy all the religious needs of the converts” (Stark and
intelligence, understanding and compassion,” while the
Bainbridge, 1985, p. 29). They became an elite group of in-
Semjase Silver Star Center in California points out that they
dividuals who were accepted as contactees with extraterrestri-
come with a mission to assist the human race out of its pres-
al intelligences who delivered their messages and teachings
ent ignorance. Some groups, especially those that originated
through their chosen mediums or prophets.
in the 1950s such as the Aetherius Society, White Star, the
Some UFO groups, such as the Aetherius Society, Un-
Ashtar Command, and Cosmic Star Fellowship, stress the
arius Academy of Life, and the Association for Sananda and
need to be saved from the dangers of the atomic (or nuclear)
Sanat Kumara, with the passing away of their leaders in the
age that can lead humans to self-destruction. Others, such
1990s, are now becoming institutionalized and have contin-
as the Solar Light Retreat, expect aliens to help solve the en-
ued to survive and carry on their agenda without the pres-
ergy and environmental crisis. Spiritual development, a
ence of a contactee.
higher consciousness, healing from spiritual, psychological,
and physical maladies, emancipation from the fear and chaos
Some scholars have pointed out that there is a connec-
that beset human beings, and evolution to higher spiritual
tion between UFO beliefs and the Theosophical Society and
and self-awareness levels are among the benefits that many
the I AM Religious Activity, though these latter groups can-
UFO groups hope to accrue with the advent of intelligent
not, strictly speaking, be called UFO religions if for no other
and advanced beings from other planets. In some UFO
reason than that the existence of, and communication with,
groups, such as the Aetherius Society and Unarius, healing
aliens is not one of their central characteristics. Yet many of
is one of the main ritual practices. In others, such as the Ex-
the aliens are similar and at times identical to the masters of
traterrestrial Earth Mission and Mark-Age, the stress is on
the Theosophical Movement. The teachings of quite a few
achieving a higher consciousness or a more advanced evolu-
UFO religions have incorporated Eastern religious notions,
tionary stage.
such as karma and reincarnation, that were already made
popular by theosophy. The Association of Sananda and
The belief system of UFO religions is often considered
Sanat Kumara is an excellent example of the link between
as part of the New Age movement and tends to be syncretis-
theosophy and extraterrestrials. The late Sister Thedra, the
tic. Thus, Chen Tao (God’s Salvation Church), which in
founder of this organization, channeled for years the ascend-
1997 migrated from Taiwan to North America, is a prime
ed masters, while later on she also communicated with the
example of such amalgamation, with Buddhist, Daoist, and
angel Moroni (prominent in Mormonism), with beings from
folk beliefs intertwined and later combined with a Christian
other planets, and with Sananda (Christ). In the same way,
apocalyptic and millenarian worldview.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9434
UFO RELIGIONS
One of the common features of UFO religions is that
the prophecy to materialize has not led to the demise of the
their founders are convinced that they have been contacted
group.
by aliens. Adamski related how he had been visited by a hu-
manlike being from Venus who imparted certain knowledge
Another UFO religion, Mark-Age, believed that the ar-
that he was instructed to pass on to humankind. He also
rival of the aliens would be around the year 2000 and stated
could communicate with the aliens by telepathy. Other con-
that its mission was to externalize on Earth the Hierarchical
tactees who followed him made the same claim. George
Board, namely, the spiritual government of our solar system,
Hunt Williamson of the now defunct Brotherhood of the
in preparation for the advent of the aliens. Borrowing the
Seven Rays had contact with Martians via automatic writing.
concept of the second coming from Christianity, it teaches
William Ferguson of the Cosmic Circle of Fellowship was
that this Christian belief has a dual meaning, namely (1) the
transported to both Mars and Venus, where he was given
second coming of each one’s I Am Self, expressed through
messages to bring back to Earth. George King, of the Ae-
the mortal personality; and (2) the second coming of Sanan-
therius Society, received messages from aliens either while in
da/Jesus the Christ, Prince of Earth, in his resurrected, light
a trance or by telepathy. The founders of Unarius, Ernest and
body.
Ruth Norman (known as Archangels Raphael and Uriel re-
Other groups are more cautious. The Aetherius Society
spectively), authored books containing teaching received
expects a new master, presumably to precede the advent of
from advanced intelligent beings living in other worlds.
the aliens, but does not give a specific date. While many
Nada-Yolanda (Pauline Share) of Mark-Age, Inc., uses both
members believe that it will be soon, the society states that
automatic writing and telepathy to convey messages from be-
he will come when human beings are ready for his arrival.
ings in spacecrafts. In like manner Valerie Donner of the
Raëlians think the extraterrestrials will arrive around the year
Ground Crew uses channeling as a means of communication
2020. But before they arrive, human beings must first have
with extraterrestrial beings. Claude Vorilhon (now known as
established world peace and built an embassy for them in or
Raël) of the Raëlian Movement met several times with an
near Jerusalem.
alien who entrusted him with the good news of the true ori-
gins of human beings and of the return of the Elohim. The
SIGNIFICANT FIGURES AND ORGANIZATIONS. While many
two leaders of the Extraterrestrial Earth Mission (known
people believe in UFOs, the number of UFO religious orga-
since 1993 as Drakar and Zrendar) go a step further and pro-
nizations and of those who have joined their ranks is rather
claim that different aliens have periodically taken possession
small. J. Gordon Melton (2003) lists twenty-three flying sau-
of their bodies, presumably enabling them to communicate
cer groups, while Mikael Rothstein (2002) estimates that
more freely and regularly to human beings.
they are twenty-five different groups active today, but he
does not list them. Melton’s list, only slightly updated from
As in the classical monotheistic religions, where God
the previous edition of his encyclopedia, omits such groups
takes the initiative to call prophets, it is the aliens who ap-
as Heaven’s Gate, Chen Tao, the Nuwaubians, and the
proach specially selected individuals and commission them
Ground Crew and its splinter group the Planetary Action
to act as messengers to the human race. The aliens, though
Organization (PAO). It still remains, however, the most
not elevated to the status of gods or goddesses, are obviously
complete and provides short descriptions of the origins and
transcendent and suprahuman beings even in those UFO re-
belief systems of each group.
ligions like the Raëlian movement in which belief in God or
supernatural beings is not found or does not occupy an im-
Melton’s list also indirectly points to the some of the
portant place.
difficulties involved in studying these groups. Thus, Melton
Besides an elaborate soteriology, UFO groups also teach
states that two of the groups he lists are defunct. He could
an eschatology, the chief element of which is the actual arriv-
not trace the addresses of eight groups and found that six
al of the aliens, an advent that, as Solar Light Retreat teaches,
provide only a post office box address. Nine of the groups
will initiate a new heaven and a new earth. The Ground
mentioned have a web page, as have the more recent ones.
Crew maintains that at least one angel will accompany each
The vast majority do not report the number of members of
spaceship and that Earth will be transformed into a paradise.
the organization. The membership of most groups may be
somewhat fluid and probably consists of a few hundreds or
The advent of aliens can be apocalyptic and/or millenar-
thousands at most. At least two, the Ground Crew and Zeta-
ian. In most instances the time of the extraterrestrials’ arrival
Talk (the latter led by Nancy Lieder), exist only on the inter-
is not specified but is expected to be relatively soon. Probably
net. By far the largest UFO group is probably the Raëlian
the most recent attempt to pinpoint the time of arrival was
movement, which boasts sixty thousand members in almost
made by Chen Tao in Garland, Texas. In typical prophetic
a hundred countries. Unarius Academy of Science states that
fashion, its leader, Hon-Ming Chen, said that God would
tens of thousands of individuals have participated in its pro-
announce his descent by taking control of the television net-
grams. It is not clear how each organization counts its mem-
works on March 25, 1998. In similar fashion Unarius Acade-
bership. The Aetherius Society lists three levels of member-
my of Science has foretold the advent of the aliens in their
ship, full, associate, and friends, the last including interested
flying saucers. As in many prophetic instances, the failure of
individuals and scholars, but it provides no figures.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UFO RELIGIONS
9435
Not all UFO groups prefer to be called a religion. The
mic Circle of Fellowship was convicted of fraud and sen-
Aetherius Society’s web page states explicitly: “This is not a
tenced to a year in prison.
religion. . . . It’s a spiritual path to enlightenment and the
CONCLUSIONS. The presence of UFO religions has elicited
cosmic evolution of mankind.” Unarius Academy of Science
the attention of many scholars from different academic
tends to view itself as a philosophy of life, while the Nuwau-
fields. Both sociologists and psychologists have offered differ-
bians prefer to call themselves a fraternal organization. One
ent interpretations of why they might come into being and
group in particular, the Raëlian movement, is highly critical
of the psychological and mental state of their members.
of established religion, particularly Christianity. It describes
The rise of belief in UFO religions is interesting from
itself as an “atheist, spiritual organization” and states that one
the point of view of both religious studies and theology.
of its goals is to lead human beings to understand true reli-
UFO religions seem to be making an attempt to relate reli-
gion. Its founder, Raël, starts by reinterpreting the biblical
gion with science more positively. The adherents of UFO re-
concept of Elohim, which, he asserts, refers not to God but
ligions see their beliefs confirmed by scientific data regarding
to beings from another planet who created life on Earth.
the nature of the universe and the possibility of intelligent
CONTROVERSIES. Until recently, UFO religions have not
extraterrestrial life. Ryan Cook (2002) has called them
been controversial. They rather left the impression of being
“Technospiritualities.”
innocuous, eccentric groups. In 1997, however, the members
From a theological standpoint, UFO religions attempt
of Heaven’s Gate took the initiative to transport themselves
to incorporate a scientific view of the universe in their ideolo-
to a spacecraft by committing suicide in order to move into
gy. Traditional theology is Earthbound. In terms of myths
a higher state of being. This was perceived by many as a
of creation, beliefs regarding the origin of the human race,
warning sign that UFO religions might be dangerous. Chen
its current problems and destiny, and spirituality, theology
Tao’s claim that God would speak over the television net-
has been confined to the planet Earth. Although theological
works and then come down in flying saucers to save people
speculations about the possibility of other worlds have been
created quite a stir and raised the fear that its members might
going on long before modern astronomy and its discoveries
follow in the path of those of Heaven’s Gate. Such fear
(O’Meara, 1999), Earth still remained the theological center
proved unfounded, and when the prophecy failed, many
of the universe. Speculations about the spiritual nature of be-
members abandoned the group, though some have remained
ings in other worlds, their need for salvation, and the possi-
loyal to Hon-Ming Chen’s teachings and prophetic utter-
bility of divine intervention were never considered in the
ances.
context of contact with extraterrestrials who visit Earth in
The view that UFO religious are dangerous has been
flying saucers. UFO religions offer a new worldview and pro-
buttressed by the fact that several UFO groups, including the
pose a novel vision of the future. Whether these will captivate
Raëlian movement, the Ground Crew, Unarius, and the Nu-
the human imagination further or not remains to be seen.
waubians, share the apocalyptic view that the arrival of extra-
S
terrestrials is imminent. In fact, however, most UFO reli-
EE ALSO Heaven’s Gate; I AM; New Age Movement; New
Religious Movements, article on New Religious Movements
gions are benign and pose no threat to their members or to
and Millennialism; Nuwabians; Raëlians; Theosophical Soci-
the public. Their predictions, no matter how far-fetched they
ety; Unarius Academy of Science.
might appear to be, are not of doom and disaster but of the
betterment of the human race on Earth.
BIBLIOGRAPHY
In late 2002 and in early 2003 the Raëlian movement
“The Aetherius Society.” Available from http://
made headlines by announcing that its scientists had suc-
www.aetherius.org/index.htm.
ceeded in cloning human beings. Cloning is considered by
Cook, Ryan J. “Nuwaubians” (2002). Available from http://
Raëlians as the first step in the human quest for eternal life,
home.uchicago.edu.
and although the scientific reactions to their claim have been
Lewis, James R., ed. The Gods Have Landed: New Religions from
negative, it still remains part of their agenda.
Other Worlds. Albany, N.Y., 1995.
Lewis, James R. UFOs and Popular Culture: An Encyclopedia of
During the last few years the Nuwaubians, who moved
Contemporary Myth. Santa Barbara, Calif., 2002.
from New York to the Georgia countryside in 1993, have
Lewis, James R., ed. Encyclopedic Sourcebook of UFO Religions.
become one of the most controversial UFO groups. They
Amherst, N.Y., 2003.
have been accused repeatedly of child abuse and of encourag-
Melton, J. Gordon. Encyclopedia of American Religions, 7th ed.,
ing Black Nationalism. Their leader, Malachi York, has spent
pp. 798–805. Farmington Hills, Mich., 2003.
three years in jail for assault, resisting arrest, and possession
O’Meara, Thomas F. “Christian Theology and Extraterrestrial In-
of weapons. In January 2004 he was convicted of sexual
telligent Life.” Theological Studies 60 (1999): 3–30.
abuse of children and sentenced to a long jail term. Other,
Partridge, Christopher, ed. UFO Religions. New York, 2003.
much less serious charges have been leveled at leaders of sev-
Rothstein, Mikael. “UFO Religions.” In Religions of the World: A
eral UFO groups. George Adamski and Eduard Meier of the
Comprehensive Encyclopedia of Beliefs and Practices, vol. 4, ed-
Semjase Silver Star Center were both accused of faking pho-
ited by J. Gordon Melton and Martin Baumann, p. 1325.
tographs and plagiarism, while William Ferguson of the Cos-
Santa Barbara, Calif., 2002.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9436
UGARITIC RELIGION
Stark, Rodney, and William Sims Bainbridge. The Future of Reli-
U
˘ ich’o˘n who was first able to establish the school as a fully
gion: Secularization, Revival, and Cult Formation. Berkeley,
viable, autonomous school; it is for this reason that he is re-
Calif., 1985.
garded as the founder of the Korean Ch’o˘nt’ae school. What-
Von Daniken, Erich. Chariots of the Gods?: Unsolved Mysteries of
ever his chances for success might have been, U
˘ ich’o˘n’s death
the Past. New York, 1969.
at the young age of forty-seven brought his efforts to a pre-
J
mature end, and Korean Buddhism remained divided until
OHN A. SALIBA (2005)
the similar endeavors of Chinul (1158–1210), some three
generations later.
Along with his efforts to unify the Korean church,
UGARITIC RELIGION SEE CANAANITE
U
˘ ich’o˘n was also an avid bibliophile and one of the first Bud-
RELIGION
dhist catalogers to recognize the importance to the tradition
of native East Asian treatises and commentarial writings. In
1073 U
˘ ich’o˘n made a vow to compile a complete collection
of such indigenous Buddhist literature, and dispatched
U
˘ ICH’O˘N (1055–1101), also known as National Master
agents to all areas of East Asia to obtain copies of texts not
Taegak; Buddhist cataloger and founder of the Ch’o˘nt’ae
then available in Korea. Many of these books were obtained
(Chin., Tiantai) school of Korean Buddhism. U
˘ ich’o˘n was
by exchange, as, for example, in the Khitan Liao region of
the fourth son of the Koryo˘ king Munjong (r. 1046–1083),
northern China, where Wo˘nhyo’s works were traded for
and one of the premier scholiasts of the Koryo˘ (937–1392)
twenty-nine books by Liao authors. On his own trip to
Buddhist church. Early in his life, he is said to have mastered
Southern Song-dynasty China, U
˘ ich’o˘n reintroduced a
all of the main currents of Buddhist philosophy as well as
number of seminal works by noted Chinese exegetes that
much of Chinese classical literature. Korean Buddhism dur-
were no longer extant in China, including treatises by the
ing his time was bifurcated between two increasingly hostile
Huayan patriarchs Zhiyan (602–668), Fazang (643–712),
traditions: the scholastic schools (kyo; Chin., jiao), dominat-
and Chengguan (738–840); these were exchanged for over
ed by Hwao˘m (Chin., Huayan) philosophy, and the Nine
three thousand fascicles (kwo˘n) of Chinese materials. Finally,
Mountains schools of So˘n (Chin., Chan), which were chiefly
in 1090 he published his renowned catalog of this collection,
concerned with meditative practices. U
˘ ich’o˘n deplored the
the Sinp’yo˘n chejong kyojang ch’ongnok (New compilation of
sectarianism that had infected the order and criticized adepts
a comprehensive catalog of the repository of the teachings of
of both the So˘n and scholastic schools for their intransigence.
all the schools; T.D. no. 2184), with listings of 1,010 titles
To resolve this conflict, U
˘ ich’o˘n proposed an approach
in a total of 4,740 kwo˘n. Xylographs were carved for each
to Buddhist religious training that placed equal stress on
of these texts, forming what was termed Sokchanggyo˘ng (Sup-
both scriptural study and meditation practice. U
˘ ich’o˘n de-
plement to the canon). Unfortunately, the woodblocks of the
veloped a curriculum based on such seminal texts as the
supplement were burned by the Mongols during their inva-
Abhidharmako´sa, Vijñaptima¯trata¯siddhi S´a¯stra, Dasheng
sion of the Korean peninsula in 1232, and many of the texts
qixin lun, and Avatam:saka Su¯tra, in order to engender a com-
so painstakingly collected by U
˘ ich’o˘n were lost to history.
prehensive understanding of the Buddhist teachings in his
Nevertheless, his catalog does survive, and remains one of the
students. While acknowledging the value of scriptural study
most valuable sources of information on the scholastic litera-
in conceptualizing the goal of practice and the course to be
ture of medieval East Asian Buddhism.
followed in reaching that goal, U
˘ ich’o˘n recognized its limita-
tions. Formal meditative training was also essential if the
SEE ALSO Buddhism, article on Buddhism in Korea;
Chinul; Tiantai.
adept were to achieve any personal experience of what was
learned in Buddhist doctrinal writings. Hence, a viable Bud-
B
dhist vocation would maintain a careful balance between
IBLIOGRAPHY
Buswell, Robert E., Jr. trans. “Preface to a New Catalog of the
both learning and meditation.
Teachings of All the Schools.” In Sourcebook of Korean Civili-
U
˘ ich’o˘n seems to have anticipated drawing upon his
zation, volume 1: From Early Times to the Sixteenth Century.
royal prerogative as a means of reconciling the rift between
edited by Peter H. Lee, pp. 424–425. New York, 1993.
the So˘n and kyo schools. In order to effect his vision of a uni-
Cho Myo˘ng-gi. Koryo˘ Taegak kuksa wa Ch’o˘nt’ae sasang. Seoul,
fied Buddhist tradition in which equal stress was placed upon
1962; reprint 1982. The only comprehensive treatment in
both study and practice, U
˘ ich’o˘n traveled surreptitiously to
any language of U
˘ ich’o˘n’s life and thought.
China in 1085, where he received transmission in the Tiantai
Munjip P’yo˘nch’an Wiwo˘nhoe, ed. Taegak kuksa munjip. Seoul,
lineage, one of the more ecumenical of the Chinese Buddhist
1997.
schools. After returning to Korea the following year U
˘ ich’o˘n
O
¯ ya, Tokujo¯. Korai zokuzo¯ cho¯zo¯ ko, 2 vols. Kyoto, 1937; reprint-
then attempted to merge the So˘n and Kyo branches of the
ed as O
¯ ya Tokujo¯ chosaku senshu¯, vol. 7. Tokyo, 1988. The
Korean church into a new Ch’o˘nt’ae school, which he felt
definitive study of U
˘ ich’o˘n’s supplement to the Buddhist
provided a banner under which both branches could unite.
canon.
While Ch’o˘nt’ae was known in Korea before his time, it was
ROBERT EVANS BUSWELL, JR. (1987 AND 2005)
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UKKO
9437
UIGHUR RELIGION SEE INNER ASIAN
Zhiyan’s congregation. The poem is arranged in a wavelike
RELIGIONS
form, the “ocean seal diagram” (Sa¯garamudra¯ Man:d:ala),
which symbolizes the Hwao˘m teaching of the “six marks”
(yuksang)—that is, of universality and particularity, identity
and difference, and integration and disintegration. The en-
U
˘ ISANG (625–702), also known as the National Master
tire structure of the diagram represents the marks of univer-
Taeso˘ng Wo˘n’gyo; founder of the Hwao˘m (Chin., Huayan)
sality, identity, and integration, while its curves designate the
school of Korean Buddhism. U
˘ isang, one of the most impor-
particularity, difference, and disintegration marks. The chart
tant scholiasts of the Unified Silla period (688–935), helped
is woven into one continuous line to show that all phenome-
to forge the doctrinal perspectives that would become char-
na are interconnected and unified in the dharma-nature; the
acteristic of the mature Korean Buddhist tradition.
fact that this line ends at the same place where it began illus-
Ordained as a monk at the age of twenty-nine at
trates the cardinal Hwao˘m doctrine of interpenetration. The
Hwangbok monastery in the Silla capital of Kyo˘ngju, he
diagram is divided into four equal blocks, indicating that the
soon afterward decided to travel to Tang China together
dharma-nature is perfected through such salutary practices
with his friend Wo˘nhyo (617–686) to study under Chinese
as the four means of conversion: giving, kind words, helpful-
masters. As U
˘ isang’s biography relates, on their first trip in
ness, and cooperation. Finally, the fifty-four corners found
650 (during the unification wars that were then raging be-
along the meanderings of the line of verse indicate the fifty-
tween the three kingdoms of early Korea) the two pilgrims
four teachers visited by the pilgrim Sudhana in his quest for
were arrested for espionage in the Liaodong area by Koguryo˘
knowledge as narrated in the Gan:d:avyu¯ha chapter of the
border guards and were only repatriated after several weeks
Avatam:saka Su¯tra. Hence, the diagram serves as a compre-
of incarceration. In 661 they tried again, this time traveling
hensive summary of all the teachings found in the sixty-
to a seaport in the Paekche region of southwestern Korea,
fascicle recension of the Avatam:saka Su¯tra. Besides U
˘ isang’s
which had been conquered by Silla the preceding year, where
autocommentary to this poem, his only other extant work
they hoped to board a ship bound for Tang China. Prior to
is the short Paekhwa toryang parwo˘n mun (Vow made at the
their embarkation, however, Wo˘nhyo is said to have gained
White Lotus enlightenment site), which combines
enlightenment and returned home to Silla, leaving U
˘ isang
Avalokite´svara piety with Hwao˘m philosophy.
to continue on alone.
Although U
˘ isang may not have been a prolific writer,
his mastery of Huayan thought was highly regarded through-
Arriving in Yangzhou on the lower Yangtze River,
out East Asia. Fazang, for example, continued to correspond
U
˘ isang made his way to Zhixiang monastery on Mount
with U
˘ isang even after the latter’s return to Korea and, in
Zhongnan, where he studied under Zhiyan (602–668), the
one of his letters to U
˘ isang in 692, he asks for corrections
putative second patriarch of the Chinese Huayan school.
and suggestions on one of his manuscripts. Indeed, an exami-
U
˘ isang’s arrival at Zhixiang monastery is said to have been
nation of Fazang’s writings reveals that the Korean exegetes
anticipated by Zhiyan, and he quickly became one of his
U
˘ isang and Wo˘nhyo exerted strong influence on the devel-
chief disciples along with Fazang (643–712), who would
opment of his own thought, and, by extension, on the evolu-
eventually be recognized as the third patriarch of the school.
tion of Chinese Huayan philosophy.
After Zhiyan’s death in 668, U
˘ isang became one of the
leaders of the developing Chinese Huayan tradition. In 670,
SEE ALSO Buddhism, article on Buddhism in Korea; Fa-
zang; Huayan; Wo˘nhyo.
U
˘ isang learned from two Korean envoys detained in the
Tang capital that a Chinese invasion of Silla was imminent.
BIBLIOGRAPHY
U
˘ isang returned to Korea to warn King Munmu (r. 661–
Cho˘ng, Pyo˘ng-sam. U
˘ isang Hwao˘m sasang yo˘n’gu. Seoul, 1998.
680), and, thanks to his monition, Silla was able to forestall
Forte, Antonino. A Jewel in Indra’s Net: The Letter Sent by Fazang
the attack. Partially out of gratitude, the king sponsored the
in China to U
˘ isang in Korea. Italian School of East Asian
construction of Puso˘k monastery on Mount T’aebaek and
Studies Occasional Papers 8. Kyoto, 2000.
installed U
˘ isang as its abbot. This monastery became the
Odin, Steve. Process Metaphysics and Hua-yen Buddhism: A Critical
center of the Hwao˘m school, from where the new teachings
Study of Cumulative Penetration vs. Interpenetration. Albany,
that he had brought from China were propagated through-
1982.
out the peninsula. His fame was so widespread in Korea that
“U
˘ isang and the Flower Garland School.” In Sourcebook of Korean
more than three thousand students are said to have congre-
Civilization, volume 1: From Early Times to the Sixteenth
gated there to hear his lectures. Due in large part to U
˘ isang’s
Century, edited by Peter H. Lee, pp. 159–166. New York,
efforts, Hwao˘m philosophy came to dominate Korean Bud-
1993.
dhist scholasticism.
ROBERT EVANS BUSWELL, JR. (1987 AND 2005)
U
˘ isang’s Hwao˘m thought is epitomized in his Hwao˘m
ilsu˘ng po˘pkyedo (Diagram of the Avatam:saka one-vehicle
realm-of-reality), a short poem of 210 logographs in a total
UKKO. Finnish incantations dating from the Middle Ages
of 30 stanzas written in 668 while he was still a member of
call upon Ukko, the supreme god or the god in heaven. Typi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9438
EULAMA¯D
cal is the following such invocation: “O Ukko, god supreme,
on the roof in a birchbark container. Food was also served.
old man in heaven, god of the skies.” His name, which means
The site of the festival was often the organizer’s farm, a lake
“old man,” and other of his epithets, Isä (“father”) or Vaari
shore, or, in inland areas, on “Ukko’s hill” (Ukon vuori), a
(“old man, grandfather”), reveal the dominant character of
hill to which Ukko’s share of the beer and sacrifices was
this deity. On the other hand, ukko and its diminutive form,
brought. A ritual poem performed at festivals in Ukko’s
ukkonen, also mean “thunder.” Ukko is in fact most often
honor and asking him to increase the crop has been preserved
connected with thunder; like Jupiter, he was thought to drive
in Ingria and Karelia.
a chariot that caused the sound of thunder during storms.
Above all, Ukko is described in incantations as ruler of the
SEE ALSO Finnish Religions.
weather and giver of rain. His protection was also sought in
healing and at births, on behalf of cattle or humans against
BIBLIOGRAPHY
evil spirits, and in hunting. It seems that Ukko, originally the
Haavio, Martti. Heilige Heine in Ingermanland. Folklore Fellows
god of thunder and rain, gradually emerged under the influ-
Communication, no. 144. Helsinki, 1963.
ence of the Christian concept of God to become the supreme
Harva, Uno. Suomalaisten muinaisusko. Porvoo, Finland, 1948.
god, helping humans in all their worldly needs.
Honko, Lauri. “Finnische Mythologie.” In Wörterbuch der
Ukko’s attributes are widely known symbols of light-
Mythologie, edited by H. W. Haussig, vol. 2, pp. 261–371.
Stuttgart, 1973.
ning: a golden club, hammer, ax, sword, and arrow. “Ukko’s
wedges,” ax-shaped stones found in the ground, have often
New Sources
been ascribed to the god of thunder as the implements with
Jauhiainen, Marjatta. The Type and Motif Index of Finnish Belief
which he smote a tree or carved off shavings. Stones thought
Legend and Memorates. Translated by Laura Stark-Arola.
to belong to Ukko were used to protect their owners from
Helsinki, 1998.
fire or from evil spirits. Ukko’s characteristics are reminiscent
Siikala, Anna-Leena. Myth and Mentality: Studies in Folklore and
of the Scandinavian god of thunder, Þórr (Thor); Viking
Popular Thought. Helsinki, 2002.
pendants depicting Þórr have also been found in Finland. In
Virtanen, Leea, and Thomas DuBois. Finnish Folklore. Seattle,
eastern and northern Finland thunderstones are called
2000.
“Ukko’s claws,” suggesting that in the oldest Finnish beliefs
ANNA-LEENA SIIKALA (1987)
thunder was represented as a giant bird with stone claws, as
Translated from Finnish by Susan Sinisalo
in northern Asia and America.
Revised Bibliography
The list of Finnish deities given by the Finnish prelate
Michael Agricola in the preface to his psalter (1551) notes
that a toast was drunk to Ukko when seeds were sown in
EULAMA¯D (“the learned”), the religious scholars of Islam,
spring. Various later sources also describe village beer festi-
are the guardians, transmitters, and interpreters of its sci-
vals, Ukon Vakat, held in Ukko’s honor in spring or summer
ences, doctrines, and laws and the chief guarantors of conti-
whenever there was threat of drought. In Karelia these rites
nuity in the spiritual and intellectual history of the Islamic
merged with the worship of Saint Ilja, or Elias. The rites in
community. The term is a generic one and embraces all who
question were performed to bring rain and to ensure a suc-
have cultivated the religious disciplines or fulfilled certain
cessful crop. Agricola mentions that women drank during
practical functions such as judgeship. [See figure 1 for individ-
the festival, following which “many shameful deeds took
ual titles given to Eulama¯D.]
place.” Ukon Vakat has in fact been connected with the rites
reenacting the holy alliance of the god of fertility and his
It is an axiom that the scholars are the heirs of the
wife, the god of the earth, known, for example, to the farm-
prophets; the emergence of the Eulama¯D as a distinct group
ing cultures of eastern Europe. Agricola further mentions
had, therefore, to await the passing of the prophet
Rauni as Ukko’s wife. The Saami (Lapps) also knew of
Muh:ammad and the completion of revelation. However, the
Ukko’s wife Ravdna, a childless deity to whom rowan berries
QurDa¯n itself indicates the necessity and excellence of a
are dedicated. The names Rauni and Ravdna are derived
learned class, quite apart from extolling, in numerous verses,
from the Scandinavian word meaning “rowan” (Swedish,
the virtue of knowledge ( Dilm). The word Eulama¯D appears in
rönn; Old Icelandic, reynir). The rowan is mentioned in
su¯rah 35:28, although obviously not in the precise sense later
Scandinavian mythology as being Þórr’s “castle,” his savior
usage conferred on it, and the expressions “those well rooted
in times of danger. No mention is made of Ukko’s wife in
in knowledge” (3:7), “the people of remembrance” (16:43),
later descriptions of rites, but the Earth Mother is sometimes
and “those who have been given knowledge” (58:11) have
mentioned alongside Ukko in eastern Finnish incantations
also been interpreted as referring to the Eulama¯D. Numerous
in which he appears as the Sky Father.
utterances attributed to the Prophet define the purpose and
status of the Eulama¯D: in addition to being “the heirs of the
According to accounts written between the seventeenth
prophets,” they are described as “the best of my community,”
and nineteenth centuries, the beer for the festivals held in
“the trustees of the prophets” (in the sense of being reposito-
honor of Ukko was sometimes made from malt germinated
ries of the laws promulgated by the prophets), “the trustees
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
EULAMA¯D
9439
of God over his creation,” “the lamps of the earth” (in that
Akhund: Originally a title given to scholars of unusual merit, primarily in
through their knowledge they dissipate the darkness of igno-
Iran, it was subsequently devalued and became a pejorative term for the
rance), and “equivalent to the prophets of the children of Is-
lowest stratum of ‘ulama’. From it is derived the Chinese ahung, meaning
rael” (in stature and authority). The authenticity of some of
any Muslim religious functionary.
these utterances has been questioned, but their content has
Ayatullah (anglicized Ayatollah; “sign of God”): A title of recent origin given
shaped the self-image of the Eulama¯D and their role in Mus-
to the highest ranking Sh ‘ scholars in Iran.
lim society.
Faq h: Originally one who had a broad and complete understanding of
religion as a whole; it occurs in this sense in several of the traditions of the
The antecedents of the learned class of Islam may per-
Prophet that delineate the general rank of the ‘ulama’. It later came to
designate a specialist in Islamic jurisprudence (fiqh).
haps be sought in the ahl al-s:uffah (“the people of the
bench”), a group that customarily gathered outside the
Hujjat al-Islam (“proof of Islam”): Originally a title reserved for scholars of
quite exceptional status, it is now applied in Iran to scholars beneath the
mosque in Medina for the cultivation of religious knowledge
rank of mujtahid.
and from whom lines of transmission went forth to the great
Imam Jum‘ah: Leader of the congregational prayers performed at midday
early authorities in Qur’anic exegesis, prophetic tradition,
on Friday.
and law. Antecedents may be found also in certain individu-
Khat b: The scholar who delivers the Friday sermon (khutbah).
als who excelled in a particular branch of learning (such as
Marja‘-i taql d (“source of imitation”): A mujtahid whom the ordinary Sh ‘
Ibn EAbba¯s, described by the Prophet as “the foremost of the
believer is obliged to follow in the details of religious law.
exegetes”). It was not until the ninth century that a distinct
Mawlana (“our master”): A title of respect for a senior scholar.
class of learned men crystalized, bearing the title of Eulama¯D.
Mawlaw : A variant form of the preceding, used in South Asia and
This development went together with the elaboration and
Afghanistan to designate any religious functionary.
differentiation of the various branches of religious knowl-
Muft : A jurisconsult; one who delivers binding opinions on a matter of
edge, with the vast expansion of the Islamic realm beyond
religious law.
the Arabian Peninsula, and with the accelerating conversion
Mujtahid: One who exercises ijtihad, that is, the search for a correct opinion
of non-Arab peoples to Islam (the high proportion of Irani-
in deducing the specific provisions of the law from its principles.
ans among the Eulama¯D of what has been called the formative
Mulla (anglicized Mullah): In origin probably a corrupt form of the Arabic
mawla (“master”), it has had the same semantic history as akhund.
period of Islamic thought cannot be overlooked). But the
most important single impetus to the emergence of the
Qad : Judge of the religious law.
Eulama¯D class was the desire of the Islamic community to
Shaykh (“elder”): A title of respect used particularly in the Arabic-speaking
lands and not implying the exercise of any particular function.
codify the provisions of Islamic law, for the Eulama¯D were pri-
marily concerned with law, of which other subjects were the
Shaykh al-Islam: The main religious dignitary of a Muslim city in Iran and
Central Asia; in Ottoman usage, the head of the entire scholarly hierarchy.
virtual adjunct. Jurisprudence has remained the core of the
Wa‘iz: Preacher.
Eulama¯D curriculum down to the present.
Various explanations have been offered for the emer-
gence of the madrasah, the institution for the training and
F IGURE 1 . Glossary of titles given to Eulama¯ D.
formation of the Eulama¯D, but once the madrasah appeared
and spread throughout the Islamic world, it remained re-
markably stable, and its resistance to change became one of
edge. An entire worldview and distinct method of thought,
the most important elements in the ability of the Eulama¯D to
as well as a sense of corporate identity, were also passed on.
function as guarantors of continuity. The madrasah had a hi-
Accordingly, dealings between teachers and students were
erarchy of posts ranging from the mubtadi D, or beginning stu-
regulated by ethical and behavioral norms that were codified
dent, to the mudarris, or fully qualified professor of law; in-
in a number of handbooks. These twin elements, the text and
termediate stages were the mutawassit: (“intermediate”), the
the teacher, were recorded in a document known variously
muntah¯ı (“terminal”), the muf¯ıd (“docent”), the mu E¯ıd
as the sanad and the ija¯zah, in which the competence of the
(“repetitor”), and the na¯ Dib mudarris (“deputy professor”).
student to teach various books was attested and the entire
Two elements lay at the heart of the madrasah educa-
chain of authorities, to which his name was added as the
tion: the study of texts and the personal relationship between
most recent link, was enumerated.
student and teacher. Particularly from the eleventh century
Although the Eulama¯D were defined as a social unit by
onward, when all major developments in the field of juris-
their cultivation and transmission of religious learning (to-
prudence had been completed, it was texts rather than the
gether with the application of that learning in their own lives:
subjects they treated that defined the madrasah syllabus. The
Eilm had always to be complemented by Eamal, “practice”),
text was made the object of assimilation, discussion, elabora-
they also exercised a variety of practical functions that made
tion, commentary, and criticism, so that an important part
them indispensable to traditional society. Apart from preach-
of Eulama¯D writing came to consist of glosses and commen-
ing and leading congregational prayers in the mosque (a task
taries on curricular texts.
that, outside the largest and most prestigious mosques, was
The relationship between teacher and student consisted
often delegated to junior members of the class), they acted
of far more than the transmission of a fixed body of knowl-
as judges, notarized and witnessed all important civil and
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9440
EULAMA¯D
commercial transactions, served as trustees for the estates of
clude harmoniously the concerns of both groups. Theoretical
minors, and arbitrated popular disputes. All of these activi-
S:u¯f¯ısm was often taught in the madrasahs, and the S:u¯f¯ıs rec-
ties created a closeness between them and the rest of society
ognized the authority of the Eulama¯D in matters of law. From
(particularly the mercantile and artisan classes of the cities)
the fifteenth century onward, it was even common for many
that was singularly lacking in the relations of the state with
of the Eulama¯D, especially in India and the Ottoman empire,
its subjects.
to be affiliated with one of the S:u¯f¯ı orders, often the Naqsh-
bandiyah. One who combined formal scholarship with Su-
Early Eulama¯D (like early S:u¯f¯ıs) appear not to have
fism in this way would be designated as “the possessor of two
drawn salaries or charged fees for the functions they fulfilled,
wings” (dhu¯ al-jana¯h:ayn).
and down to the present some Eulama¯D, particularly in the
countryside, have continued to earn their livelihood from the
In modern times, the authority of the Eulama¯D in Mus-
practice of a trade. But despite initial misgivings, it soon be-
lim society has generally declined. The increasing seculariza-
came normal for the Eulama¯D to charge fees for exercising no-
tion of law and education has deprived them of many of their
tarial functions and issuing legal opinions (fatwa¯s) and to ac-
most important functions, so that in some cases they have
cept stipends from the endowments that were settled on the
become little more than state-supported dignitaries with
learned institutions. Because the stipends were not always
purely cultic and ceremonial responsibilities; vigorous and
generous, it was often necessary to supplement them with in-
ambitious minds have found little stimulus to join the ranks
come from other sources; Eulama¯D biographies are replete
of the Eulama¯D. In addition, the emergence of Islamic move-
with stories of material hardship. But certain Eulama¯D are re-
ments that bypass the Eulama¯D and even criticize them for al-
corded to have accumulated great wealth, particularly when
leged failings, such as intellectual stagnation and political
religious learning and prestige became hereditary in some
passivity, has undercut their standing with the believing
families.
masses. In some cases, however, the Eulama¯D have collaborat-
ed with these movements, as in late twentieth-century Syria,
Islamic political theory, especially as elaborated by the
where prominent Eulama¯D were involved in the Muslim
Sunn¯ı segment of the community, quickly came to an ac-
Brotherhood. Independent Eulama¯D ventures in politics with
commodation with the dynasties (often of military origin)
parties such as the Nahdatul Ulama in Indonesia and the
that seized rule over the Islamic lands from the tenth century
Jam¯ıEat al-EUlama¯D in Pakistan have not been notably suc-
on; rebellion was generally equated with irreligion. Despite
cessful. The case of Iran, where the Eulama¯D not only defied
this, the Eulama¯D sometimes acted as the spokesmen for pop-
the secularizing bent of the state but led a revolution to victo-
ular grievances. In addition, there was the lasting conviction
ry and founded an Islamic republic, is an exception to the
that the Eulama¯D should shun close association with the state
prevailing trend of diminishing influence, owing to a num-
and its officers in order to maintain the superior degree of
ber of special factors such as the organizational autonomy of
piety that was meant to undergird their learning. A frequent-
the Iranian Eulama¯D in the prerevolutionary period and the
ly quoted tradition made the successorship of the Eulama¯D to
charismatic appeal of Ima¯m Khomeini. It is nonetheless pos-
the prophets conditional on their “not associating with the
sible that the present current of Islamic renewal may ulti-
sultan.” Those who did associate were designated by the cele-
mately enhance the prestige and position of the Eulama¯D in
brated al-Ghaza¯l¯ı (d. 1111) as “scholars with worldly moti-
other countries.
vation” ( Eulama¯D al-dunya¯) or “scholars of evil” Eulama¯D
al-su¯ D) by contrast with “scholars of otherworldly motiva-
SEE ALSO Ijtiha¯d; Madrasah; Mosque, article on History
tion” ( Eulama¯D al-a¯khirah), that is, those who shunned such
and Tradition; Qa¯d:¯ı; Shaykh al-Isla¯m.
association. Tangential association with the state was, how-
ever, inevitable in the case of posts—above all, judgeships—
BIBLIOGRAPHY
that were at its disposal, and in Ottoman times the entire
There is no single work describing the origins, development, func-
corps of Eulama¯D became in effect part of the state bureaucra-
tions, and present status of the Eulama¯ D. The formation of
cy and thus lost its autonomy.
the madrasah and the salient features of the pedagogical tra-
dition have, however, been expertly discussed in George
It is often supposed that a fundamental and consistent
Makdisi’s The Rise of Colleges: Institutions of Learning in Islam
opposition existed between the Eulama¯D and the S:u¯f¯ıs, the
and the West (Edinburgh, 1981). Developments in the ma-
other great class of religious specialists in Muslim society,
drasah system under the Ottomans are the subject of Hüsey-
and certainly cases of mutual hostility are to be encountered.
in Atay’s Osmanlilarda yüksek din eg˘itimi (Istanbul, 1983).
The overall historical record suggests, however, that a symbi-
Among the many works delineating the ethical norms that
otic relationship existed between the Eulama¯D and the S:u¯f¯ıs:
surrounded the cultivation of learning mention may be made
of Ibn Jama¯Eah’s Tadhkirat al-sa¯mi E wa-al-mutakallim f¯ı
while the Eulama¯D cultivated Eilm, formal knowledge acquired
adab al- Ea¯lim wa-al-muta Eallim (Beirut, 1974). Relations be-
through mental exertion, the S:u¯f¯ıs pursued ma Erifah, inward
tween the Eulama¯ D and the state, with particular reference to
knowledge resulting from the purification of the heart. The
E
E
ulama¯ D defiance of injustice, have been surveyed by EAbd
ulama¯ D were designated as “scholars of the exoteric”
al-EAz¯ız Badr¯ı in Al-Isla¯m bayn al- Eulama¯ D wa-al-h:ukka¯m
( Eulama¯D al-z:a¯hir) and the S:u¯f¯ıs as “scholars of the esoteric”
(Medina, 1966). The organization and functions of the Ot-
( Eulama¯D al-ba¯t:in); the purview of religion was seen to in-
toman learned hierarchy are described by Ismail Hakkı
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ÜLGEN
9441
Uzunçar¸sili in Osmanlı devletinin ilmiye te¸skilâti, 2d ed. (An-
eign ideas, owing to Russian Orthodox missionary work and
kara, 1984). Two collective works that contain essays on the
contact with Buddhist neighbors. Nevertheless, Ülgen’s form
Eulama¯D in different periods and lands are The EUlama¯D in
and functions are sufficiently clear, in spite of discrepancies
Modern History, edited by Gabriel Baer (Jerusalem, 1971),
and contradictions in detail.
and Scholars, Saints and Sufis, edited by Nikki R. Keddie
(Berkeley, 1972). See also my study Religion and State in
Hovering over the primeval ocean, Ülgen and the first
Iran, 1785–1906: The Role of the Ulama in the Qajar Period
man, in the form of two ducks, create the earth from mud
(Berkeley, 1969).
taken from the bottom of the sea. In other traditions Ülgen
H
uses mud to create the first human. Both motifs are indige-
AMID ALGAR (1987)
nous conceptions. Christian influence may be evident in two
other motifs: Ülgen makes the first woman from two ribs of
one of the first seven men, who then becomes her husband;
ÜLGEN, sometimes called Bai Ülgen (“rich Ülgen”), is a
the woman, seduced by a snake, eats forbidden food from
deity venerated by the Turkic peoples living in the Altai and
the first tree and then gives it to her husband.
Sayan mountains in southern Siberia. Ülgen is also known
Having attempted to become like Ülgen, the first man
to the east, among the Mongol Buriats.
is expelled to the lower world by the deity, who names him
In Altai-Sayan Turkic mythology Ülgen figures as the
Erlik—a figure also well known in Buddhist mythology. The
highest deity. He created earth and heaven and all living be-
second man, Mangdyshirä, the Buddhist bodhisattva
ings. He is the master of the good spirits, the lord of the
Mañju´sr¯ı, directs the three fish that support the earth, using
upper world, the realm of light; he is the protector of human-
a leash that is fastened to heaven. Thereby he controls heaven
kind. After him stands Erlik Khan, the lord of the lower
and earth. Having created the first parents of humankind,
world, the realm of darkness; Erlik is the master of the evil
Ülgen retreats into his castle on the top of the cosmic moun-
spirits. Both Ülgen and Erlik Khan determine the fate of
tain. He entrusts the supervision of humans to the third
human beings, who live in the middle world.
man, Maitärä, the Buddha Maitreya.
In the Buriat pantheon Ülgen plays a secondary but re-
Ülgen is described as an old man with a long beard.
vealing role: the deity is regarded as female, a goddess of
Thus he becomes identical with White Old Man, a fertility
earth. The Buriats call her Ülgen Ekhe (“mother Ülgen”) and
god who is also known among other peoples. Ülgen also pre-
consider her the female counterpart of Ünder Tengeri (“high
serves distinct characteristics of a tribal deity. He has a wife,
heaven”). Ülgen becomes directly equated with earth in the
sons, daughters, and servants; many of his sons are spirits of
expression ülgen delkhei, which connotes both “wide earth”
Altaic clans.
and “mother earth.”
The fact that Maitärä, the third man, is Ülgen’s repre-
The Buriat Ülgen seems to be a relic of an ancient
sentative on earth does not exclude people from direct con-
Turco-Mongol cult dedicated to Ülgen as a terrestrial deity.
tact with Ülgen and does not prohibit them from asking
Her character, however, has undergone an essential transfor-
him, for instance, for abundant cattle, for good crops, or for
mation in the religion of the Altai-Sayan Turkic people.
protection against all kinds of evil. The means that can be
Ülgen has gradually usurped functions of the male deity
used for this purpose are prayer and sacrifice, which are also
Tengere Kaira Khan (“heaven, the gracious khan”), the high-
offered to other good gods and spirits, including Erlik Khan.
est god of heaven, thus changing herself into a male deity.
The animals used for sacrifice seem primarily to be horses
But Ülgen has not been able to supplant Tengere Kaira Khan
and sheep. Sacrifices can (but need not) be made with the
completely. Thus Ülgen sometimes figures as the first of
help of a shaman, as in the famous horse offering described
Tengere Kaira Khan’s sons, not residing, as he does, on the
by Wilhelm Radloff. The shaman kills a horse and, accompa-
seventeenth level of heaven, but on the sixteenth.
nying its soul, penetrates through all the layers of heaven
Nevertheless, in some of the myths, as well as in popular
until he reaches Ülgen. The deity informs the shaman
belief, Ülgen has succeeded in attaining the rank of highest
whether or not the offering has been accepted favorably, and
deity. His name has been placed beside those of other deities
the shaman learns of impending dangers, such as bad har-
used by Turkic and Mongol peoples to designate their high-
vests. It is uncertain if the cult of Ülgen has survived to the
est being: Tengri (“heaven”; Türk); Köke Möngke Tengri
present day.
(“blue eternal heaven”; Mongols, Buriats); Esege (“father”)
and Malan Tengeri (Buriats); Khormusta (Mongols, Buriats,
SEE ALSO Buriat Religion; Erlik; Tengri.
Tuvin, and Altaic Turkic peoples); Iuriung A˘ıyy To˘ıon
(“white good lord”; Yakuts); Burkhan Bagˇsi (“teacher Bud-
BIBLIOGRAPHY
dha”; Tuvin); and Kudai (“god”; Altaic Turkic peoples).
Ülgen’s character, cult, and position in the religion of the Turkic
peoples of southern Siberia have been discussed in great
The various sources do not give a uniform description
detail by Wilhelm Schmidt in volume 9 of his classic Der
of Ülgen’s character. Several indigenous conceptions of dif-
Ursprung der Gottesidee (Münster, 1949). Schmidt gives
ferent historical and regional origin became mixed with for-
ample quotations from the works of Russian scholars, partic-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9442
ULTRAMONTANISM
ularly from Wilhelm Radloff’s Proben der Volksliteratur der
society. Thus he commenced the liberal Catholic movement
türkischen Stämme, vol. 1 (Saint Petersburg, 1866), and Aus
in the context of ultramontanism. The appeal made to Pope
Sibirien (Leipzig, 1893), and from A. N. Anokhin’s Materia-
Gregory XVI by Lamennais and his associates on the journal
ly po shamanstvu u altaitsev (Leningrad, 1924). Ülgen and the
Avenir was rejected (Mirari vos, 1832) by a papacy still seek-
horse sacrifice dedicated to him have also been dealt with by
ing safety in alliance with authoritarian monarchies. Lamen-
Mircea Eliade in his Shamanism: Archaic Techniques of Ecsta-
nais left the church. Nonetheless, his more moderate col-
sy, rev. & enl. ed. (New York, 1964). Brief but valuable eluci-
leagues, notably Count Charles de Montalembert and Henri
dations of Ülgen’s role in Turkic and Buriat religions have
been given in recent Soviet publications by such authors as
Lacordaire, were able to build a party, at once ultramontane
V. P. D’iakonova, T. M. Mikhailov, and S. Iu. Nekliudov.
and liberal, that supplanted Gallicanism as the political ex-
pression of French Catholicism. This party seemed to tri-
New Sources
umph during the revolution of 1848, securing its chief goal,
Rinchen. Les matériaux pour l’etude du chamanisme mongol. Wies-
freedom of Catholic education, with the passage of the Fal-
baden, 1959.
loux law in 1850.
Roux, Jean P. “Les Religions dans les Societes Turco-Mongoles.”
Revue de l’Histoire des Religions 201 (1984): 393–420.
The Falloux law brought to the surface a latent division
Urbanaeva, I. S., and Institut mongolovedeniia buddologii i tibe-
in the Catholic party, many of whose members had followed
tologii. Shamanskaia filosofiia buriat-mongolov: tsen-
Montalembert’s quest for liberty only as a means toward the
tral’noaziatskoe tengrianstvo v svete dukhovnykh uchenii: v
end of the ultimate dominance of the church in French life.
2-kh chastiakh. Ulan-Ude, 2000.
Louis Veuillot, editor of L’univers, led an intransigent group
K
that rejected the compromises inherent in the Falloux law
LAUS SAGASTER (1987)
Revised Bibliography
and advanced the most extreme claims on behalf of the
church and, within it, of the authority of the pope. This new
ultramontanism thus rejected liberal Catholicism, a product
of the older ultramontanism, and set itself against all forms
ULTRAMONTANISM is the tendency of Roman Ca-
of liberalism in church, state, and intellectual life.
tholicism that emphasizes the authority of the papacy in the
government and teaching of the church. Originally articulat-
The attitude of the papacy was decisive. Although Pope
ed in opposition to Gallicanism, ultramontanism stressed the
Pius IX (1846–1878) had flirted mildly with liberalism early
unity of the church centralized in Rome (“over the moun-
in his reign, he reacted sharply after the revolution of 1848,
tains”) and its independence from nations and states. Ultra-
which had driven him out of his temporal dominions. After
montane principles can be traced to the struggles of popes
1850, the church under his leadership regarded itself as be-
and councils in the fifteenth century. The papalist position
sieged and embattled, hostile to all liberalism in political and
received a full exposition by the Jesuit Roberto Bellarmino
intellectual life, and concentrating in the pope himself both
at the end of the sixteenth century. However, ultramontan-
the devotion of the faithful and the plenitude of authority.
ism acquired its definitive meaning in the conflict over the
This was the final meaning of ultramontanism. Having al-
Gallicanism of Louis XIV in the seventeenth and eighteenth
ready overcome Gallicanism, it now fought and defeated lib-
centuries. The term ultramontanism seems to date from the
eral Catholicism. Veuillot in France, the Jesuits associated
1730s, although ultramontane was used with various mean-
with the periodical Civiltà Cattolica in Italy, William George
ings in the Middle Ages. During the eighteenth century, ex-
Ward and Henry Edward Manning in England, Paul Cullen
ponents of ultramontanism waged a generally losing struggle
in Ireland, and, more moderately, the Mainz school led by
against Gallicanism and similar statist movements in other
Wilhelm von Ketteler in Germany were the leading expo-
countries, such as Febronianism and Josephism.
nents of a movement that rapidly triumphed among com-
mitted Catholics. The Syllabus of Errors (1864), a set of the-
The French Revolution dealt a fatal blow to Gallicanism
ses condemned by Pius IX, marked the height of
by destroying the monarchy on which it had rested. In the
ultramontane militancy. The definition of papal infallibility
ensuing age of uncertainty, the attractiveness of the papacy
by the First Vatican Council in 1870 set the seal on its victo-
as the only stable source of authority stimulated a Roman
ry. However qualified the wording of this definition, it was
Catholic revival, of which ultramontanism was the essence.
manifest that the ultramontane program of a centralized and
Count Joseph de Maistre forcefully expressed this position
authoritarian church under an irresistible pope had been
in Du pape (1819), proposing absolutism in state and church
achieved.
under the ultimate supremacy of the pope. The traditional-
ism of Viscount Louis de Bonald disparaged individual rea-
From the First to the Second Vatican Council, ultra-
son, for which Félicité de Lamennais (Essay on Indifference,
montanism was effectively synonymous with orthodox
1817) substituted the “universal consent” of humanity, as
Roman Catholicism. The movement in its final form had
embodied in the pope, as the ultimate test of truth. But La-
won so complete a triumph that the term itself fell out of use.
mennais, developing the democratic implications of “univer-
sal consent,” appealed not only to the pope but also to the
SEE ALSO Gallicanism; Modernism, article on Christian
people, seeking the freedom of the church in the freedom of
Modernism; Papacy; Pius IX; Vatican Councils.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UMA¯PATI S´IVA¯CA¯RYA
9443
BIBLIOGRAPHY
drevnikh tiurkov v svete etnograficheskikh dannykh,” Ti-
Encyclopedic or reference entries on ultramontanism tend to be
urkologicheskii sbornik (1972): 265–286, which contains
either partisan or unhelpful, but F. F. Urquhart’s essay “Ul-
many references to earlier, mostly inaccessible studies. Im-
tramontanism,” in the Encyclopaedia of Religion and Ethics,
portant observations are made on pp. 234–235 of S. V.
edited by James Hastings, vol. 12 (Edinburgh, 1926), is a
Ivanov’s Materialy po izobrazitel’nomu iskusstvu narodov Si-
solid brief sketch. Good extended treatments of nineteenth-
biri XIX-nachala XX v., “Trudy Instituta etnografii im. N. N.
century ultramontanism can be found in Wilfrid Ward’s
Miklukho-Maklaia,” vol. 22 (Moscow, 1954). S. M.
William George Ward and the Catholic Revival, 2d ed. (Lon-
Shirokogoroff’s Psychomental Complex of the Tungus (Lon-
don, 1912); Adrien Dansette’s Religious History of Modern
don, 1935) gives valuable Tunguz data. My article “‘Umay,’
France, vol. 1, translated by John Dingle (New York, 1961);
a Mongol Spirit Honored by the Türks,” in Proceedings of the
and especially Roger Aubert’s Le pontificat de Pie IX, 1846–
International Conference on China Border Area Studies, Na-
1878, “Histoire de l’Église,” vol. 21 (Paris, 1952).
tional Chengchi University (Taipei, 1984), shows the Mongol
origin of the cult.
JOSEF L. ALTHOLZ (1987)
DENIS SINOR (1987)
UMAI. The name Umai (Umay) first appears in the Old
UMA¯PATI S´IVA¯CA¯RYA (fourteenth century CE) was
Turkic inscriptions of Mongolia (mid-eighth century CE),
a Tamil S´aiva Siddha¯nta teacher, author, and theologian.
where it is borne by a feminine deity of unspecified but be-
Uma¯pati S´iva¯ca¯rya, who flourished in the South Indian tem-
nevolent functions. There is a gap of more than a thousand
ple city of Chidambaram during the early fourteenth centu-
years in the relevant documentation, but belief in Umai has
ry, was the last of the four santa¯na a¯ca¯ryas (“hereditary teach-
remained alive among some of the Turkic peoples of the
ers,” a term here referring to four theologians in teacher-
Altai region, and also among the Tunguz of northeastern Si-
disciple succession) of the Tamil S´aiva Siddha¯nta school of
beria. Here Umai may be male or female, or even androgy-
philosophy-theology. (The other three a¯ca¯ryas were
nous. In one set of beliefs, where Umai is personified, the
Meykan:t:a¯r, Arun:anti, and Maraiña¯na Campantar, all of
role of the spirit resembles that of a guardian angel of small
¯
¯
whom lived in the thirteenth and fourteenth centuries.) Ac-
children. Illness may signal Umai’s abandonment of her
cording to tradition, Uma¯pati was a Vais:n:ava brahman from
ward, and a shaman’s intervention may be sought to effect
Korravankut:i, near Chidambaram. One day, coming from
her return. Often Umai is thought of as the keeper of the
¯¯
¯
the temple, he encountered the S´aiva a¯ca¯rya Maraiña¯na
soul of unborn children.
¯
¯
Campantar. This meeting resulted in Uma¯pati’s conversion
Among the Turkic Sagays, Shors, and Beltirs, umai is
to S´aivism. Under the tutelage of Maraiña¯na Campantar,
¯
¯
the term applied to the soul of a child from the moment of
who became Uma¯pati’s guru, Uma¯pati studied S´aiva reli-
his birth until about the time when he walks freely and
gious texts and himself became a prolific contributor to the
speaks with some fluency. On occasion, the help of a shaman
Tamil S´aiva Siddha¯nta literature.
may be requested for the sinister purpose of transferring the
Fourteen theological texts are considered canonical in
umai of a healthy infant either into the body of one seriously
the Tamil S´aiva Siddha¯nta school and are collectively re-
ill, or into the womb of a woman thought to be sterile. As
ferred to as the Meykan:t:a´sa¯stra. Uma¯pati wrote eight of
a result of such an abduction, referred to as Umay (or Imay)
these treatises, the most important of which is the
tutargha, the donor will die. The term umai is applied also
Civapiraka¯cam (The Light of S´iva). The Civapiraka¯cam is a
to the umbilical cord, which, after being cut, is placed in a
hundred-stanza “supplementary treatise” (ca¯rpunu¯l) related
small leather pouch and attached to the child’s cradle.
both to Meykan:t:ar’s “root treatise” (mutanu¯l) the
¯
Civaña¯napo¯tam, the basic sutra of the Tamil S´aiva
The inconsistencies and contradictions shown by nine-
¯
Siddha¯nta, and to Arun:anti’s secondary treatise-commentary
teenth- and twentieth-century beliefs and practices suggest
(valinu¯l) on the Civaña¯napo¯tam, the Civaña¯nacittiya¯r. This
that these are but surviving fragments of an ancient cult no
¯ ¯
¯
¯
clearly situates Uma¯pati’s work and thought within a typical
longer definable. Since umai is the standard Mongol word
medieval Hindu sectarian lineage, scholastic in style and sub-
for “womb” or “placenta,” it can safely be assumed that, al-
stance. Uma¯pati shares with the other Tamil Siddha¯ntins a
though the name Umai first appears in a Turkic text and the
threefold ontology—pati (“the lord,” i.e., S´iva), pacu (“the
cult of Umai is strongest among Turkic peoples, originally
creature,” i.e., souls), and pa¯cam/malam (“bondage”/“dirt,”
the deity was part of a Mongol religious system.
i.e., phenomenal reality and consciousness). In the
S
Civapiraka¯cam he displays considerable psychological acu-
EE ALSO Turkic Religions.
men in delineating the various levels of knowledge-
experience that the soul passes through on its journey from
BIBLIOGRAPHY
an original benighted state of intimate connection with
Most works dealing with Siberian mythology in general, or with
malam to an ultimate illumination with the light of S´iva.
the spiritual civilization of the peoples of the Altai in particu-
lar, devote some space to Umai. By far the best and most up-
Other works by Uma¯pati in the Meykan:t:a´sa¯stra are
to-date study is that of L. P. Potapov, “Umai: Bozhestvo
briefly described as follows. The Tiruvarut:payan contains ten
¯
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9444
EUMAR IBN AL-KHAT:T:A¯B
sets of ten couplets in the style of the renowned Tamil ethical
of that city’s nascent Muslim community to Medina.
work known as the Tirukkural:. Since the Tirukkural: ’s max-
Muh:ammad later married his daughter H:afs:ah, whose name
¯
¯
ims treat only right conduct (dharma), wealth and power
is linked with the collation of the QurDa¯n. EUmar’s fame as
(artha), and eros (ka¯ma), Uma¯pati offers the Tiruvarut:payan
caliph (634–644) justly rests on his energetic leadership and
¯
to supply a section on moks:a, the fourth Hindu “aim of life”
shrewd counsel during the expansion of the Medinan com-
(purus:a¯rtha). The thirteen-quatrain Vina¯venpa records a dia-
monwealth, which was ultimately transformed into an impe-
¯
logue between the author and his guru concerning details of
rial structure displacing both Byzantine and Persian power
Siddha¯nta ontology and epistemology. The Porrippakrot:ai,
in the Middle East.
¯¯
¯¯
a ninety-five-stanza composition in the form of a hymn of
While traditional accounts attribute a great number of
praise, describes the soul’s transformation thanks to S´iva’s
“firsts” to EUmar, modern scholars have not always been able
grace. The Kot:ikkavi, a mere four quatrains, plays upon an
to distinguish EUmar’s achievements from those of a later pe-
analogy between the ascent of the soul to S´iva and the raising
riod. His adoption of the title Am¯ır al-MuDmin¯ın
of a flag at a temple festival. The 125-stanza Neñcuvit:utu¯tu
(“counselor of the believers”) rather than Khal¯ıfat Rasu¯l
casts the author’s heart as a messenger to her beloved (S´iva),
Alla¯h (“successor of the Messenger of God”), as his predeces-
who is described as a king, and expounds the soul’s transfor-
sor Abu¯ Bakr was called, indicates at least the emergence of
mation by him. The Un:mainerivil:akkam contains six qua-
¯
a selfconscious, permanent community, if not that of a well-
trains treating the soul’s development and enlightenment.
defined political office. It seems clear that he set the prece-
The Can˙karpanira¯karan:am consists of twenty stanzas refut-
¯
dent for religious endowments (awqa¯f, plural of waqf), first
ing other sectarian views, especially those of Advaita
on his own land and then on the conquered land of the
Veda¯nta.
Sawa¯d in Iraq, the revenue from which was to be used for
Besides the works in the Meykan:t:a´sa¯stra, Uma¯pati is
the benefit of future generations of Muslims. He probably
also the traditionally ascribed author of a number of Tamil
also instituted the prayers (al-tara¯w¯ıh:) during the fasting
Puranic works: a condensation of Ce¯kkila¯r’s great hagiogra-
month of Ramad:a¯n, the obligatory pilgrimage (h:ajj), and the
¯
phy on the lives of the Tamil S´aiva devotional saints; a sacred
Hijrah as the commencement of the Muslim era (622 CE).
biography of Ce¯kkila¯r himself; the sthalapura¯n:a (“sacred his-
Of more doubtful origin are the specific punishments for
¯
tory of a place”) of Chidambaram; and a pura¯n:a on the ori-
drunkenness, adultery, and lampooning, and most contro-
gins of the Tamil S´aiva collection of sacred hymns the
versial of all is the so-called Covenant of EUmar, promulgat-
Tirumurai. Uma¯pati also wrote a Sanskrit commentary on
ing fiscal, religious, and civil regulations with regard to the
¯
the Paus:kara¯gama and compiled an anthology of the
non-Muslim population. The document is almost certainly
S´aivA¯gamas, the S´ataratnasam:graha.
a conflation, with only the fiscal and religious provisions
properly belonging to EUmar’s time.
SEE ALSO Meykan:t:a¯r; S´aivism, article on S´aiva Siddha¯nta;
Tamil Religions.
BIBLIOGRAPHY
A fifteenth-century account of EUmar’s life is available in H. S. Jar-
BIBLIOGRAPHY
rett’s English translation of al-Suyu¯t:¯ı’s History of the Caliphs
Two of Uma¯pati’s Tamil works have been more or less adequately
(1881; reprint, Karachi, 1977). A modern account, useful al-
translated into English: the Civapiraka¯cam in Henry R.
beit brief, is the biographical entry by Giorgio Levi della Vida
Hoisington’s Tattuva-kat:t:al:ei, Siva-gna¯na-po¯tham, and
in the Shorter Encyclopaedia of Islam (1953; reprint, Leiden,
Siva-piraka¯sam (New Haven, Conn., 1854); and the
1974). Daniel C. Dennett’s Conversion and the Poll Tax in
Tiruvarut:payan translated by G. U. Pope in the introductory
¯
Early Islam (Cambridge, Mass., 1950) summarizes various
“appendix” of Pope’s The Tiruva¯çagam (1900; reprint, Ma-
views on and details of the Covenant of EUmar. Also of inter-
dras, 1970), pp. xxxix–lxxxvii. There is a translation with
est is Hava Lazarus-Yafeh’s “EUmar b. Al-Khat:t:a¯b—Paul of
commentary on the anthology of the A¯gamas: Periyaperumal
Islam?” in Some Religious Aspects of Islam: A Collection of Arti-
Thirugnanasambandhan’s S´ataratnasan˙graha of S´r¯ı Uma¯pati
cles. (Leiden, 1981), published as a supplement to Numen,
S´iva¯ca¯rya (Madras, 1973). For an extended summary and
vol. 42.
discussion of Uma¯pati’s contributions to the Meykan:t:a´sastra,
see Mariasusai Dhavamony’s Love of God according to S´aiva
DAVID WAINES (1987)
Siddha¯nta (Oxford, 1971), pp. 260–324. On Uma¯pati’s Pu-
ranic works, see Kamil V. Zvelebil’s Tamil Literature (Lei-
den, 1975), pp. 200–201, 221.
EUMAR TA¯L (1794/7–1864), known in Fu¯ta as al-H:a¯jj
GLENN E. YOCUM (1987)
EUmar ibn SaE¯ıd ibn EUthma¯n of Gede, was an intellectual
and military leader in the central and western Sudanic re-
gion. Born in Fu¯ta To¯ro, a Fulbe state in the middle valley
EUMAR IBN AL-KHAT:T:A¯B (assassinated AH 23/
of the Senegal River, EUmar first achieved prominence dur-
644 CE), second caliph and founder of the Muslim Arab em-
ing the pilgrimage to Mecca and Medina, which he complet-
pire. Born in pagan Mecca, he accepted the mission of
ed three times in the years 1828–1830. At the same time he
Muh:ammad as God’s prophet before the emigration (hijrah)
obtained an appointment as the chief representative
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
EUMAR TA¯L
9445
(khal¯ıfah) in West Africa for the Islamic order called the
He fought against people who could be generally classified
Tija¯n¯ıyah, which had been founded in North Africa in the
as non-Muslims and who blocked the emergence of Islam in
eighteenth century. With these credentials EUmar returned
the western Sudan. The Segu Bambara were regarded as par-
to West Africa, visited the capitals of the principal Islamic
ticularly notorious “pagans.” The campaign against
states, attracted a following of disciples, wives, and slaves,
Hamdulla¯hi was not part of the original design of the jiha¯d.
and established a reputation as a brilliant scholar, miracle
When EUmar decided to undertake it he wrote a long apolo-
worker, and military strategist. Much of his reputation
gia to justify his actions, and the dissension produced by the
emerged during a stay of seven years in Sokoto, the capital
conflict of Muslim against Muslim, and Fulbe against Fulbe,
of the Islamic confederation of northern Nigeria. In 1839
helped produce the revolt of 1863–1864.
EUmar traveled through the inland delta of the Niger River,
The basic structure of the Umarian jiha¯d contrasts with
where another Fulbe-dominated Islamic state called the ca-
the experience of earlier Fulbe-led jiha¯ds and the states
liphate of Hamdulla¯hi held sway. In 1840 he settled in Fu¯ta
(Sokoto, Hamdulla¯hi, and the two Fu¯tas) that resulted from
Jalon, yet another Fulbe polity in the mountains of Guinea.
them. The earlier pattern consisted of internal revolutions
In the small town of Jegunko he taught, formed his growing
against “pagan” or nominal Muslim ruling classes, followed
community, and completed his major work, Rima¯h:, which
by expansion to the exterior. This pattern was codified in the
serves an an important guide for Tija¯n¯ıyah clerics today.
writings of the Sokoto leadership and adopted by EUmar
Beginning in 1846 EUmar moved in the direction of a
himself in his own writings. EUmar could not, however, lead
military jiha¯d, or war against unbelievers. He recruited in his
a second internal revolution in his native land, and he decid-
original homeland of Fu¯ta To¯ro. He moved his rapidly ex-
ed to recruit in the west and fight to the east. He was highly
panding community to Dingiray, a settlement east of Fu¯ta
successful militarily, but he laid little basis for an Islamic ad-
Jalon under the control of the Mandinka king of Tamba. In
ministration or for the incorporation or conversion of his
Dingiray the Umarian forces collected arms, built fortifica-
new subjects. His twelve years of war have left decidedly dif-
tions, and created the conditions of conflict with the
ferent impressions in today’s Senegal and Mali: In the first
Mandinka. Their victories over Tamba in 1852–1853
he is the crusading Islamic hero; in the second he is the in-
launched the jiha¯d, established EUmar’s reputation as a mili-
vader who used Islam as a pretext.
tary leader, and attracted thousands of new recruits.
EUmar left one lasting precedent to Muslims of all per-
EUmar subsequently directed his forces to the north, to
suasions in West Africa: the example of emigration (hijrah
the upper valley of the Senegal River. With an army of about
in Arabic, fergo in Fulfulde) away from European expansion.
15,000 he defeated the Bambara kingdom of Ka¯rta, which
In his desperate recruiting drive of 1858–1859, he called on
had dominated the upper valley for decades. In 1857 EUmar
Senegalese Muslims to leave a land that had become “pollut-
laid siege to Medine, a new post established by the expanding
ed” by French expansion. His son Amadu followed his exam-
French, but he suffered heavy casualties when Governor
ple in the 1890s at the time of French conquest of the interi-
Louis Faidherbe arrived with new troops from the coast.
or, and other Muslim leaders, such as the caliph of Sokoto
EUmar then led his survivors to the east to regroup, then back
in 1903, did the same thing. They journeyed to the east,
to the west in 1858–1859 in a bold recruiting campaign
along the old pilgrimage routes, in search of places where the
along the river valley. With his predominantly new army he
faithful could preserve Islamic state and society.
defeated the renowned Bambara kingdom of the Middle
Niger, Segu, and made the city of the same name the capital
BIBLIOGRAPHY
of his far-flung but poorly organized state.
The most complete work on the holy war of EUmar Tal is my own
book The Holy War of Umar Tal: The Western Sudan in the
In 1862 EUmar led most of his troops against the caliph-
Mid-Nineteenth Century (Oxford, 1985). The most complete
ate of Hamdulla¯hi in retaliation for Hamdulla¯hi’s assistance
account of the state after EUmar is B. O. Oloruntimehin’s
to Segu against the jiha¯d. He achieved an initial victory, but
The Segu Tukulor Empire (London, 1972). Sidi Mohamed
the Hamdulla¯hi Fulbe, aided by the Kunta clerics of Tim-
Mahibou and Jean-Louis Triaud have produced an excellent
buktu, revolted in 1863, destroyed the Umarian forces, and
annotated translation of EUmar’s apologia for his campaign
killed EUmar in 1864. The Umarian jiha¯d ended at this
against Hamdullahi in Voilà ce qui est arrivé: Baya¯n ma¯
point, but the fragile polity it created endured until the
waqa Ea d’al-H:a¯gg EUmar al-Fu¯t¯ı (Paris, 1983), while John
Ralph Willis has studied EUmar’s earlier works in “Jiha¯d f¯ı
French conquest some thirty years later. The principal leader
sab¯ıl-Alla¯h: Its Doctrinal Basis in Islam and Some Aspects of
of the state was EUmar’s oldest son, Ah:mad, commonly
Its Evolution in Nineteenth Century West Africa,” Journal
called Amadu Sheku, and its principal capital was Segu.
of African History 8 (1967): 395–415.
The basic structure of the Umarian jiha¯d consisted of
New Sources
recruitment of men and weapons in the west, in the regions
Hanson, John M. Migration, Jihad and Muslim Authority in West
of Senegal and Fu¯ta Jalon, to wage war in the east, against
Africa: The Futanke Colonies in Karta. Bloomington, Ind.,
the Mandinka and Bambara. EUmar relied particularly on the
1996.
Muslims of the west who, like himself, were dissatisfied citi-
Oumarou Watta. Rosary, Mat and Molo: A Study in the Spiritual
zens of the Fulbe states of Fu¯ta Jalon, Bundu, and Fu¯ta To¯ro.
Epic of Omar Seku Tal. New York, 1993.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9446
UMBANDA
Robinson, David. The Holy War of Umar Tal: The Western Sudan
ISLAMIC LAW AND PRACTICE. Islamic law does not define
in the Nineteenth Century. Oxford and New York, 1985.
the ummah in a direct sense, but it does outline in detail the
Willis, John Ralph. In the Path of Allah: the Passion of al-Hajj
structure of Muslim society. Human actions are divided into
Umar: An Essay into the Nature of Charisma in Islam. Lon-
two types: rituals (Eibada¯t) and social acts (mu Eamala¯t). In
don, 1989.
general, rituals define a relationship between God and indi-
DAVID ROBINSON (1987)
viduals, or between God and the ummah, as a whole. Laws
Revised Bibliography
relating to social acts govern relations among individuals
within a society, and between different societies or nations,
and vary according to different Muslim schools of law in cer-
UMBANDA SEE AFRO-BRAZILIAN RELIGIONS
tain respects.
Laws defining purity do not make social distinctions
outside of allowing for certain variations in practice based
UMMAH is an Arabic term denoting a grouping of indi-
upon natural differences. For example, menstruation re-
viduals constituting a larger community with a single identi-
quires women to perform certain purification rituals, but
ty. The term is often translated as “community” or “people,”
men are also required to purify themselves from blood flow-
and the plural (umam) is commonly used in Arabic with the
ing from their own bodies, such as from the nose or a wound.
meaning “nations.” Other Semitic languages also employ
The causes of impurity include both substances (urine, feces,
this root ( DMM) to designate social groups that share a com-
semen, vomit, blood, pus) and activities (sleep and uncon-
mon language, ethnicity, or set of laws and customs.
sciousness, sex, menstruation, parturition, touching of cer-
QURDA¯N AND ISLAMIC EXEGESIS. The term ummah and its
tain body parts). Those substances and activities that require
plural occur numerous times in the QurDa¯n, referring to
ablution (wud:u¯ D) are natural occurrences necessary to human
groups of animals (QurDa¯n 6:38) and people. According to
life. Activities and substances that require washing (ghusl) are
QurDa¯n 7:34 and 15:5, each ummah has an appointed time,
all related to sexual reproduction and are thus necessary to
which is fixed and cannot be delayed. To every ummah is
the continued existence of human society.
sent a messenger (QurDa¯n 10:47) or warner (35:24), calling
each ummah back to the worship of God. Muslim exegetes
Other rituals, such as prayer, offering, fasting, and pil-
relate that on the Day of Judgment the prophet Muh:ammad
grimage, do make social distinctions. For example, in certain
will intercede on behalf of all the ummahs to whom prophets
legal texts women are not to attend the group prayer (jumEah)
had been sent.
on Fridays and are not allowed to pray in mixed groups with
men, nor are virgins allowed to perform any prayers or fast-
Perhaps this is reflected in QurDa¯n 16:120, where Abra-
ing during the month of Ramad:a¯n. The qualifications of the
ham is said to be an ummah obedient to God, being h:an¯ıf,
prayer leader are based upon social standing according to age,
and not one of those who associate things with God. In
piety, and learning. Thus, the free person is better suited
QurDa¯n 2:124, God tells Abraham that he is making him an
than the slave, the city dweller than the nomad, the healthy
example (ima¯m) for people. The terms ima¯m and ummah are
than the handicapped, the heir than the bastard. Similarly,
derived from the same root, and are sometimes understood
the standing order for the group prayer places the pure before
as being a necessary pair. The ima¯m shows by example and
the impure, the literate before the illiterate, and the clothed
the ummah follows that example. Muslim exegesis on QurDa¯n
before the naked. Other rituals are restricted to certain seg-
3:94 equates the religion (millah) of Abraham with the
ments of society. Zaka¯t is only required of relatively wealthy
ummah of the prophet Muh:ammad, and QurDa¯n 4:125 refers
people with extra income over and above that required for
to the millah of Abraham, being h:an¯ıf, whom God took as
their regular upkeep, just as the h:a¯jj and jiha¯d is not required
a friend (khal¯ıl). QurDa¯n 43:22–23 also uses the term
for a person who does not have the means to both perform
ummah, as millah, to refer to a religion or a community fol-
the duty and provide for his family during that time.
lowing a particular religion.
Certain rituals are made responsible upon the ummah
QurDa¯n 10:19 states that all people are a single ummah
as a whole. Islamic law distinguishes between individual ritu-
(ummah wa¯h:idah), but the people disagreed. According to
al requirements (fard: Eayn) and communal requirements
several early exegetes, this refers to the primordial existence
(fard: kifa¯yah). Individual daily prayers, for example, are in-
of all humanity as a single ummah with a single religion, a
cumbent upon each individual. Those rituals that are incum-
state that was ruined by sin as exemplified by the murder of
bent upon the community as a whole, such as the group
Abel by Cain. In QurDa¯n 2:128, Abraham and Ishmael ask
prayer (jum Eah) on Fridays and defense of the ummah (jiha¯d)
God to make their offspring an ummah submitting (ummah
are not obligatory on each individual. The ummah is re-
muslimah) to God. In QurDa¯n 3:103, God says that there will
quired to provide a group prayer on Fridays, which would
be an ummah that commands right and forbids wrong. Exe-
necessitate a certain number of individuals to attend, but not
getes interpret this to be a reference to the faithful remnant
all eligible members of the ummah must attend.
of the original single ummah that, on the Day of Resurrec-
tion, will demonstrate the righteousness of those who sub-
Spatial and temporal distinctions are also demarcated
mitted to God.
through ritual. For example, when traveling outside of a
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UMMAH
9447
civilizational center (mis:r), people are not allowed to perform
fice of the ima¯m is required by revelation and necessary to
the congregational prayer. Nor is purification without water
the proper functioning of the ummah, but the legitimacy of
(tayammum) allowed within the confines of a civilizational
any individual ima¯m is based on his adherence to the well-
center. People traveling more than three days distance from
being of the ummah. Ibn Khaldu¯n (1332–1406) similarly ar-
their home are only required to pray three daily prayers.
gued that God created human beings so that they would be
These rituals parallel commercial and criminal laws, such as
required to work together as a society and develop civiliza-
the prohibition against a city dweller selling goods for a de-
tion in order to survive on the earth after the fall from Eden.
sert dweller, or a bailed defendant being deposited in a mar-
This requires a state that provides individuals with food,
ket (su¯q) but not in open country.
shelter, and the opportunity to abide by God’s com-
mandments.
Laws regulating social acts differentiate a number of so-
cial spheres within the ummah. The most localized are indi-
Some contemporary Muslim theorists contend that the
viduals and their interactions with other individuals. In com-
ummah can still only be constituted with an ima¯m or caliph,
mercial law, exchanges are regulated between specific
and must be inclusive of all Muslims regardless of ethnic or
individuals. Jurists hold that the basic principle underlying
national origin. Some older theorists, such as Ibn Jama¯Ea
commercial law is establishing equity between the two indi-
(1241–1333) argued that any effective leader could be con-
vidual parties. Criminal law also regulates activity between
sidered an ima¯m. Others, such as Ibn Taym¯ıyah (1263–
individuals. Punishment for murder, for example, takes the
1328) and the ayatollah Khomeini (1902–1989), main-
form of an exchange between the murderer and the individu-
tained that jurists could take the place of an ima¯m even when
als affected by the murder. The payment of wergild is a com-
the ummah already had an otherwise de facto ruler. The Ira-
pensation for the loss of the life. In adjudicating such ex-
nian-born Jama¯l al-D¯ın al-Afgha¯n¯ı (1839–1897) proposed
changes or punishments, the role of the state is to facilitate
a pan-Islamic ummah to replace the fragmentation of mod-
the establishment of this “balance” ( Eadl) between indi-
ern states. The Ottoman sultan Abulhamid II (r. 1876–
viduals.
1909) attempted to reestablish the caliphate and the notion
of a pan-Islamic ummah.
The second major social sphere within the ummah is
that of the family. According to jurists, personal law regulates
Modern reformist movements, such as the H:izb
the balance among family members. Laws of marriage, di-
al-Tah:r¯ır, have called for the return to a caliphal state as a
vorce, maintenance, and inheritance are designed to main-
means to reconstitute the ummah and defend Islam against
tain the fundamental structures of the ummah. Fornication,
colonialist and imperialist incursions. Reformist political
which is defined as specific types of sexual activity outside
theorists include Sayyid Qut:b (1906–1966) from the Mus-
of marriage, is punishable by death because it threatens the
lim Brotherhood in Egypt, Mawdu¯d¯ı (1903–1979), founder
balance of the family and the relation of the family to the
of the Jama¯Eat-i-Isla¯m¯ı in Pakistan, and EAl¯ı ShariEat¯ı (1933–
larger society. The laws of slavery, and particularly those con-
1977), a leader in the Iranian revolution. According to these
cerning concubines, found in classical Islamic law are also
theorists, Islam is in the midst of a new age of ignorance
based upon the principle of social balance.
(jahil¯ıyah), which requires the reformation of the ummah
under the aegis of an Islamic state upholding the principles
The third major social sphere is that of the society as a
of Islamic law.
whole. This includes laws relating to land reclamation, which
would affect productivity and ownership rights of large areas
Other groups define the ummah in more restrictive
pertinent to the ummah as a whole. It also includes the laws
terms. EAlid or Sh¯ıE¯ı political theorists define the ummah
of jiha¯d or siya¯r, which require certain segments of the
more restrictively, based on its allegiance to an ima¯m who
ummah (capable adult men) to defend the ummah in case of
is chosen because he possesses special attributes. Non-Sh¯ıE¯ı
attack. Jurists conceptualize two realms: the “Place of Islam”
groups, such as the so-called Five Percenters, also restrict the
(Da¯r al-Isla¯m) and the “Place of War” (Da¯r al-H:arb). The
ummah to an elect and narrowly construed group of believ-
Da¯r al-Isla¯m designates civilized area in which Islamic law
ers, possessed of secret knowledge or other special character-
is practiced, whereas the Dar al-H:arb is the place of barba-
istics. Early Kharij¯ı leaders denied membership in the
rism, lacking law and order.
ummah to any Muslim who refused to follow the strict inter-
pretation of the QurDa¯n laid down by acknowledged Kharij¯ı
POLITICAL THEORY AND PRACTICE. Medieval Muslim polit-
authorities. The Nation of Islam under Elijah Muhammad
ical theorists defined the ummah vis-à-vis the relation of the
(1897–1975) delineated the ummah in exclusivist historical
ummah to its ruler and the relation of both to God through
ties and racial terms.
the law as formulated by jurists on the basis of revelation. Ac-
cording to the political theorist al-Ma¯ward¯ı (974–1058), the
In the modern period, nationalists have tied the defini-
ummah is constituted by its allegiance to the ima¯m in a sort
tion of the ummah to ethnic and national identities. The
of contractual relationship. The responsibility of the ima¯m
Egyptian writer Rifa¯Eah al-T:aht:a¯w¯ı (1801–1873) argued for
is twofold: to enforce laws pertaining to social relations
a national ummah based on patriotism for a homeland
(mu Eamala¯t), and to ensure that the ummah can fulfill its rit-
(wat:an). Muh:ammad EAbduh (1849–1905) broadened this
ual obligations ( Eibada¯t). Ma¯ward¯ı maintained that the of-
national ummah to include all Arabs in a capacity that would
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9448
UNARIUS ACADEMY OF SCIENCE
allow Arabs to purify and establish a more international Is-
UNARIUS ACADEMY OF SCIENCE. Ernest
lamic ummah. Muslim thinkers in East and Southeast Asia
Norman (1904–1971) and Ruth Norman (1900–1993)
have called for a recognition of the Arab roots of the ummah
founded in 1954 the Unarius Science of Life, which began
while championing their own cultural and regional identities
with a small circle of students and clients who requested psy-
as the flowering of a true international ummah.
chic readings. Members refer to their practice as the “Sci-
In 1924 Mustafa Kemal Atatürk (1881–1938) abol-
ence” and to themselves as “students.” Ernest Norman pur-
ished the caliphate and founded the secular state of Turkey.
portedly possessed clairvoyant abilities that he used to read
Political movements in Arab states, such as the Ummah
the past lives of people who requested the service and to con-
Ans:a¯r or Sudanese Ummah Party founded in 1945 by sup-
tact ascended masters living in other realms of existence. Be-
porters of the son of the founder of the Mahdist movement,
lieving himself to be the reincarnation of Jesus Christ and
sought to rally support for political causes with an ideology
other cosmic dignitaries, Ernest Norman channeled messages
of the ummah. Many Arab states, especially in the 1960s,
about his trips to Mars and Venus (Norman, 1956). He also
have legislated separate religious and national identities in an
channeled extended lessons in “highly advanced” Unarian
attempt to create a secular society distinct from and overrid-
Science that is sometimes called interdimensional physics.
ing religious allegiances. Some contemporary states with
These basic lessons of Unarian Science are delineated in Er-
large Muslim populations sanction an official Islamic identi-
nest Norman’s early work, The Infinite Concept of Cosmic
ty as a means to gain legitimacy and protect against threats
Creation (1970). Ruth served as Ernest’s helpmate as they
from nonsanctioned religious groups. Certain forms of Is-
built the small organization out of their series of homes in
lamic expression are considered subversive to the state and
different locations throughout southern California. In 1971,
are outlawed as expressions of allegiance with an ummah that
Ernest Norman died, leaving Ruth in charge. Mrs. Norman
represents a different political order.
carried on the “mission” with the help of two early followers,
Thomas Miller and Charles Spaegal. Together they chan-
BIBLIOGRAPHY
neled messages from the cosmos, which they compiled into
For a historical overview of the concept of ummah, see Rid:wa¯n
a book series called Tesla Speaks.
al-Sayyid, Al-Ummah wa al-jama¯ Ea wa al-sulflah: Dira¯sa¯t f¯ı
al-fikr al-siya¯s¯ı al- Earab¯ı al-Isla¯m¯ı (Beirut, 1984). This can
Ruth Norman and her followers opened a storefront
be supplemented with Na´s¯ıf Nas:s:a¯r, Mafha¯m al-ummah
center in 1975 in El Cajon, California. This center includes
bayna al-d¯ın wa al-ta Dr¯ıkh (Beirut, 1978), and his
its own classrooms, library, offices, and print shop, and con-
Tas:awwura¯t al-ummah al-ma Ea¯s:irah (Kuwait, 1986). On
tinues to serve as the spiritual hub of Unarian Science. Al-
ummah in the QurDa¯n and exegesis, see Fred Denny, “The
though Mrs. Norman claimed many distinguished incarna-
Meaning of Ummah in the QurDa¯n,” History of Religions 15
tions, she is best known for her persona of Uriel the
(1975): 34–70, and his “Ummah in the Constitution of Me-
Archangel, or her higher self—the Goddess of Love and the
dina,” Journal of Near Eastern Studies 36 (1977): 26–59. For
Healing Archangel from what Unarians believe is the planet
studies on Islamic practice within the ummah, see Louis Gar-
det, La cité musulmane: Vie sociale et politique (Paris, 1954;
Aries. In order to display her divine nature as Uriel, Mrs.
4th ed., 1976). An introduction to Islamic political thought
Norman would pose in an elaborate costume, complete with
with an emphasis on the ummah can be found in Erwin
a glittering tiara, as she waved some type of a scepter. Fre-
Rosenthal, Political Thought in Medieval Islam: An Introduc-
quently photographed and interviewed by news organiza-
tory Outline (Cambridge, U.K., 1958). On the contractual
tions, she promoted her prophecy of the coming of thirty-
relationship of the leader and the ummah, see Fazlur Rah-
three spaceships that would save the earth in 2001.
man, “The Principle of Shura and the Role of Umma in
Islam,” American Journal of Islamic Studies 1 (1984): 1–9.
According to Unarian millenarian prophecy, the Space
Specific issues are treated in Louis Massignon, “L’Umma et
Brothers, as the extraterrestrials are called, would usher in a
ses synonymes: Notion de communauté sociale en Islam,”
new age of logic, reason, love, and peace for all the beings
Revista des études Islamiques (1947): 152; Elias Giannakis,
in the universe. They would solve all social and ecological
“The Concept of Ummah,” Graeco-Arabica 2 (1983): 99–
problems by ending privation and want with their spiritual
111; and H. A. R. Gibb, “The Community in Islamic Histo-
science. The large spaceships (usually depicted in Unarian art
ry,” Proceedings of the American Philosophical Society 107
as flying saucers) would land on top of one another in order
(1963): 173–176. On modern and contemporary thought,
to form a towering university that would serve humankind.
see Albert Hourani, Arabic Thought in the Liberal Age, 1798–
1939 (London, 1962; reprint, Cambridge, U.K. 1983), and
Using the construction materials brought by the ships, the
Leonard Binder, Islamic Liberalism: A Critique of Develop-
Space Brothers would build a “Power Tower” that could sup-
ment Ideologies (Chicago, 1988). For studies of nationalism
ply every earthly energy need from a nonpolluting cosmic
and the ummah, see Abdullah al-Ah:san, Ummah or Nation?
source. The planets of the Interplanetary Confederation that
Identity Crisis in Contemporary Muslim Society (Leicester,
would supposedly send spaceships are called: El, Rey, Basis,
UK, 1992), and Hans Kruse, “The Development of the Con-
Yessu, Luminus (once called Severus), Valneza, Osnus,
cept of Nationality in Islam,” Studies in Islam 2, no. 1
Idonus, Vixall, Earth II, Vidus, Anzea, Po, Deva, Endinite,
(1965): 7–16.
Dollium, Ballium, Dal, Shunan, Brundage, Kallium, Delna,
BRANNON WHEELER (2005)
Farris, Serena, Vulna, Emil, Sixtus, Eneshia, Glenus, Din,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UNARIUS ACADEMY OF SCIENCE
9449
Zeton, Jena, and Myton. Each ship would contain one thou-
lifting heavy objects, when men are usually called upon to
sand Space Brother scientists, who could teach the people of
do the job.
earth how to use their advanced technology.
HEALING. Unarian philosophy focuses strongly upon healing
through past-life therapy. Healing comes from the recogni-
In anticipation of this prophesied landing, Unarius pur-
tion of past-life imbalances and indiscretions that surface
chased acreage for the ships in nearby Jamul, California, dur-
through feelings, visions, or dreams. Unarians welcome these
ing the 1970s. Despite the fact that no ships landed in 2001
so-called memories of past lives, a phenomenon called recov-
as predicted, Unarians believe that the landing will take place
ered memory in modern psychology. As a recommended heal-
“when earth people are ready.” Unarians frequently receive
ing process, members act out “memories” of past lives in psy-
clairvoyant channeled messages from the spaceships and their
chodramas, which are often videotaped. Historically and
deceased leaders, which are published in their literature. An
contemporaneously, Unarian films have recorded many sto-
annual celebration that honors the prophecy and features a
ries of past lives that are available to the general public when
parade of the banners of the planets occurs every October.
they play on local cable access stations in many American
CURRENT ORGANIZATION. Ruth Norman headed the Unari-
cities.
us Academy of Science until her death in 1993. Charles
The Unarius Academy of Science remains significant
Spaegal, whose spiritual name was Antares, succeeded her by
because it is one of the oldest and most enduring UFO reli-
running the center until he passed away in 1999. Thereafter
gions. The history of Unarius exemplifies a typical feature of
Unarius was guided by a board of directors composed of
such religions inasmuch as it initially functioned around
long-term committed students of the Science. All jobs that
charismatic leaders who telepathically communicated with
entail the daily running of the Unarian center are unpaid vol-
supernatural extraterrestrials. Despite the eventual loss of
unteer positions. Current local members attend classes at the
both Ernest and Ruth Norman, Unarius continued to oper-
center, where they study Unarian literature and give testimo-
ate, and it even withstood a failed prophecy in 2001 without
nial accounts of the benefits of their spiritual science. Al-
any appreciable loss of membership. Like other such groups,
though some followers expressed a deep prior interest in
it considers the advent of extraterrestrials as a millenarian act
UFOs, adherents more frequently report a familiarity with
of spiritual salvation, and this belief persistently gains adher-
beliefs in the paranormal before joining Unarius. The local
ents in the postmodern age.
core membership ranges from forty to sixty dedicated stu-
dents, while considerably more people are in contact with the
SEE ALSO UFO Religions.
organization through various types of correspondence, such
as phone, email, and letters. Unarius has translated some of
BIBLIOGRAPHY
their works into Spanish in an attempt to reach out to Ameri-
Norman, Ernest. The Voice of Venus. El Cajon, Calif., 1956. Nor-
can Latinos and those in Central and South America. Thou-
man narrates his astral trip to Venus by describing life on the
sands of people remain on the Unarian mailing list after hav-
planet. See also The Truth about Mars (1956) by the same
author, published by Unarius.
ing either seriously or casually contacted the group. Through
mail-order supply, those interested in Unarian Science can
Norman, Ernest. The Infinite Concept of Cosmic Creation: Home
take correspondence lessons, read books, and watch video
Study Lesson Course. Glendale, Calif., 1970. This is the origi-
lessons.
nal, hard-to-find, large volume that explains Unarian Sci-
ence. Individual lessons can be ordered through Unarius.
Unarians insist that their pursuit is a science not a reli-
Norman, Ruth E. Tesla Speaks, Vol. 7: Countdown!!! To Space Fleet
gion. Unarius offers classes in past-life therapy, interdimen-
Landing, or George Adamski Speaks Again from Planet Venus.
sional physics, and art therapy. Trusted students who are
El Cajon, Calif., 1974. In this volume of the Tesla Speaks
considered advanced in the science facilitate the classes.
series, Mrs. Norman published one of the first predictions
When a person regularly attends classes and participates in
of a millenarian nature.
the volunteer activities that keep the group operational, he
Norman, Ruth E. Interdimensional Physics: The Mind of the Uni-
or she is considered a good student, or good member, of the
verse. El Cajon, Calif., 1989. Channeled messages from outer
group. More responsibility falls to those students who are
space explain the physics of the universe.
able to channel messages from the Space Brothers. In addi-
Spiegel, Louis (Antares). I, Bonaparte: An Autobiography. El
tion, Unarian channelers contact Ernest and Ruth Norman
Cajon, Calif., 1985. Charles Spaegel, or Antares, explains his
as part of the “Spiritual Hierarchy” that communicates with
past lives, including one as Napoleon.
the group.
Tumminia, Diana. “How Prophecy Never Fails: Interpretive Rea-
son in a Flying-Saucer Group.” Sociology of Religion 59
Although there is no tendency toward androgynous
(1998): 157–170. This theoretical and historical examina-
clothing or expression, gender roles tend toward an egalitari-
tion of the Unarian unfulfilled prophecies is supplemented
an model partly because of the strong belief in reincarnation.
by ethnographic information about the ways members ratio-
Members believe they have lived as both sexes in their past
nalize away the evidence that does not support their beliefs.
incarnations. They share tasks and cooperate without mak-
Tumminia, Diana G. “In the Dreamtime of the Saucer People.”
ing reference to any gender specificity, except in the case of
Journal of Contemporary Ethnography 31 (2002): 675–705.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9450
UNCTION
This ethnographic work describes how knowledge in Unari-
Underhill’s book Mysticism (1911) is her most impor-
us is constructed through dreams, visions, and psychic
tant work. It is a decidedly nonacademic study of mystical
readings.
experience. In part historical and primarily comparative, its
Tumminia, Diana G., and R. George Kirkpatrick. “Unarius:
lasting significance lies, however, in the psychological insight
Emergent Aspects of a Flying Saucer Group.” In The Gods
of Underhill’s commentary. The experiences of mystics from
Have Landed: New Religions from Other Worlds, edited by
a wide range of disciplines and cultures are presented. Un-
James R. Lewis, pp. 85–104. Albany, N.Y., 1995. This chap-
derhill, emphasizing their similarity of expression, asserted
ter in a popular anthology about UFO religions details some
the essential kinship of mystical experience wherever it is
of the many beliefs held by Unarians; it also contains demo-
found. Early editions of Mysticism depict Christianity as ex-
graphic information from an earlier study of Unarius
ceptional only in its greater facility for fostering this experi-
students.
ence. The appearance in 1930 of the revised twelfth edition
Uriel and Unarius students. The Proof of the Truth of Past Life
revealed a significantly greater awareness of the differences
Therapy. El Cajon, Calif., 1988. Unarius students give testi-
between the Christian and non-Christian experience. The
monials about their healings that resulted from the use of
clarity and depth of understanding with which Mysticism was
Unarian Science, and they explain how memories of their
past lives surfaced.
written have given it an unsurpassed value and accessibility
as a guide to the mystical tradition.
DIANA G. TUMMINIA (2005)
Subsequent work was taken up in the midst of a grow-
ing preoccupation with the contemplative life. Prayer, public
service, and guidance from devout and intelligent people
UNCTION SEE SACRAMENT, ARTICLE ON
such as von Hügel served to deepen Underhill’s already sub-
CHRISTIAN SACRAMENTS
stantial appreciation for the uniqueness of the Christian way.
This is borne out in her revision of Mysticism. In general such
changes in Underhill’s perspective tended to move her work
toward the center of the Anglican faith to which she had re-
UNDERHILL, EVELYN (1875–1941) was an En-
turned. This tendency is manifest in her last major work,
glish poet, novelist, and writer on mysticism. Born in Wol-
Worship (1936). This book deals with more orthodox forms
verhampton, England, the daughter of barrister Arthur Un-
of Christian practice. It stresses the practical virtues of prayer
derhill, Evelyn Underhill supplemented her secondary
and the great importance and centrality of the Eucharist in
education by studies at King’s College, London, and by trav-
Christian life.
el abroad. Underhill’s early letters show some precocity for
self-study and her personal and literary career may be regard-
ed in light of this capacity. Her marriage in 1907 allowed
BIBLIOGRAPHY
Underhill the kind of financial support and unencumbered
In addition to the works cited above, see The Mystic Way: A Psy-
chological Study in Christian Origins (London, 1913) in
way of life necessary for her both to seek personal guidance
which Underhill describes the unique character of Christian
essential to her spiritual growth and to undertake the volumi-
mysticism, distinguishing it from its Greek predecessors.
nous research that her work would demand.
Practical Mysticism (1914; reprint, New York, 1948) is a
Underhill was both beneficiary and catalyst in the reviv-
shorter introductory companion to Mysticism (1911; 12th
al of the metaphysical discussion current in the early years
rev. ed., New York, 1961). Underhill’s novels produced be-
of her career. She was influenced by Arthur Waite, a figure
tween 1903 and 1909 are best represented by The Column
of Dust (London, 1909). For selections of verse as well as rep-
of manifold interests in the occult, magic, and religion, asso-
resentative prose excerpts see An Anthology of the Love of God,
ciating herself for some time with the Hermetic Order of the
edited by Lumsden Barkway and Lucy Menzies (1953; re-
Golden Dawn. Later, and in another vein, Underhill shared
print, Wilton, Conn., 1976). A very balanced and lucid in-
in the enthusiasm aroused by the ideas of contemporaries
troduction is Christopher J. R. Armstrong’s Evelyn Underhill
Henri Bergson and Rudolf Eucken and fell briefly under the
(1875–1941): An Introduction to Her Life and Writings
influence of Hindu poet Rabindranath Tagore. More signifi-
(Grand Rapids, Mich., 1976).
cant influences, however, were William Ralph Inge, the emi-
New Sources
nent dean of Saint Paul’s Cathedral in London, and the
Griffin, Emilie, ed. Evelyn Underhiil: Essential Writings. Mary-
Roman Catholic scholar Friedrich von Hügel, whose erudi-
knoll, N.Y., 2003.
tion and sensitivity had the most profound and lasting effect
Hogan, Kevin. “The Experience of Reality: Evelyn Underhill and
on her.
Religious Pluralism.” Anglican Theological Review 74 (Sum-
Underhill’s work reveals her deep personal commitment
mer 1992): 334–347.
to spiritual development. It reflects, for the most part, her
Jantzen, Grace M. “The Legacy of Evelyn Underhill.” Feminist
conviction that Christianity provides an exceptionally vital
Theology no. 4 (September 1993): 79–100.
medium for mystical communion. Although the focus of her
Miles, Margaret R. “Fragments from an Inner Life: The Note-
work does not exclude the pagan experience, her insights are
books of Evelyn Underhill.” Anglican and Episcopal History
developed primarily within the Christian tradition.
64 (June 1995): 246–247.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UNDERWORLD
9451
Underhill, Evelyn Radiance: A Spiritual Memoir of Evelyn Un-
The hero is submitted to a test or an ordeal in which
derhill. Edited by Bernard Bangley. Brewster, Mass., 2004.
he must either prove himself capable of overcoming the ob-
stacles that lie in his path or prove himself capable of defeat-
GREGORY F. PORTER (1987)
Revised Bibliography
ing the enemy that blocks his passage. The descent into the
underworld is also a quest for special, esoteric knowledge or
wisdom that is denied all other living beings who have not
undertaken such a journey. As the possessor of this secret
UNDERWORLD. The term underworld refers to the
knowledge, the hero often serves as a mediator between the
subterranean region inhabited by the dead. It is often the
living and the dead or as a psychopomp who personally con-
place of punishment of the wicked, the unrighteous, the un-
ducts the souls of the deceased to the underworld.
redeemed, the unbelieving, or the lost. The concept of an un-
The typical shamanistic story of the descent into the un-
derworld is an ingredient in most belief systems in the history
derworld is exemplified in a tale of the Goldi peoples of Sibe-
of religions, but there is no definite evidence indicating that
ria. A shaman traps the soul of the deceased in a sacred pillow
the idea was present in the earliest stages of human culture.
by beating his sacred drum. After mounting a notched tree
In the oldest strata of Egyptian and pre-Vedic Indian cul-
in order to get a preview of the journey to follow, he sum-
tures, however, there exists a rich store of archaeological ma-
mons two tutelary spirits to assist along the way and then,
terial suggesting that the aristocratic segments of society, at
with the deceased and his ghostly companions, sets off on
least, believed in some kind of an afterlife. But even in these
a specially prepared dogsled, furnished with a basket of food
early records of postmortem existence, there does not seem
for nourishment. After encountering numerous obstacles
to have been a distinction between heaven, the realm of the
along the way, the travelers arrive in the underworld. Using
blessed, and hell, the realm of the damned.
a fictitious name to protect his identity, the shaman deposits
Later, when the two realms came to be differentiated,
the deceased with his relatives in the underworld. He then
each religion appealed to its own set of criteria when deter-
returns immediately, armed with warm greetings and small
mining the fate of an individual after death, whether blessed
gifts for the living from their subterranean kinsmen.
or damned. These criteria could be defined by birth, by ritual
A prototypical example of the story in which the descent
initiation into the community, by the performance of pre-
into the underworld is symbolically identified with the re-
scribed sacramental rites, by belief in a deity or in a set of
turn to the mother’s womb is found in the religious lore of
teachings, and so on. Such standards were commensurate
the Maori of New Zealand. Maui, the heroic representative
with the way the religion defined the proper relationship to
of the Maori, returned at the end of his life to the hut of his
the sacred.
ancestress, Hine-nui-te-po, the Great Mistress (of the
P
Night). He leapt into her body as she slept, made his way
RIMITIVE AND ARCHAIC RELIGIONS. Tales of heroic jour-
neys to the underworld, often undertaken on behalf of the
without difficulty through the various channels within her
entire community, are extremely widespread among tribal
body, and had just emerged halfway from her open mouth
peoples throughout the world. Particularly notable for such
when the birds that had accompanied him burst into laugh-
lore are the Maori of New Zealand; the Algonquin, the Ojib-
ter. Aroused by the screech of the birds’ laughter, the ances-
wa, and various Plains tribes of North America; the Zulu, the
tress abruptly clamped her mouth shut and cut the hero in
Ashanti, and the Dogon of Africa; and numerous other socie-
two with her sharp teeth. Because of this misfortune, humans
ties in North Asia (especially Siberia and Mongolia), Central
ever since have been mortal; had Maui successfully escaped
America, and South America.
his ancestress’s body, they would have become immortal.
Many tribal peoples situate the land of the dead in the
If one disregards for the moment the detailed differ-
west, on the western side of the world, or simply at some dis-
ences among the various accounts of the postmortem journey
tance west of the village. Many scholars (most notably E. B.
to the underworld, one can observe a common theme among
Tylor and F. Max Müller) have argued that this practice is
many such stories. A heroic figure undertakes a descent into
confirmation that most myths and rituals pertaining to the
the belly of a chthonic or marine monster, a creature often
journey to the underworld are elaborations of a core solar
identified as Mother Earth, the Mother of Death, or the
myth.
Queen of the Night. He pursues a strenuous journey through
her body, during which he encounters numerous obstacles
While there no doubt is a kernel of truth in this view,
and dangers. He finally reemerges into the world of the liv-
there are other equally significant layers of meaning invested
ing, either through a natural orifice in the monster’s body
in these stories and practices. One important theme concerns
or through an opening that he himself creates. As numerous
the descent of a hero into the belly of a ferocious marine crea-
scholars have convincingly demonstrated, the ordeal of being
ture and his reemergence through the mouth or anus of the
ingested by a theriomorphic creature and of passing through
beast in an effort to conquer death and gain immortality. A
the various channels of its body is symbolic of an initiatory
second theme is of an arduous journey through wild and
ordeal whereby the hero conquers death or the fear of death
monster-infested areas in search of a precious object (magical
and, in some cases, wins the prize of immortality.
ring, sacred fruit, golden vessel, elixir of immortality, etc.)
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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UNDERWORLD
that will benefit the hero or his people. In a third theme, a
living with food, clothing, and other accoutrements required
tribesman submits himself to a deadly ordeal in order to pass
for the journey to the other realm.
from a lower to a higher stage of existence and thereby
One name for the netherworld is Kigal (“the great sub-
achieves a superhuman or heroic state of being. In yet anoth-
terranean realm”). Kigal is an element in the name of Eresh-
er theme, a hero shoulders the onerous task of traveling to
kigal, the “queen of the underworld” and sister of Ishtar.
the subterranean regions where the Mother of Death or the
This domain was also known as Kutu, the sacred city of Ner-
Queen of the Night reigns supreme, thereby gaining knowl-
gal, a chthonic deity who was lord of the netherworld. The
edge of the route to the shadowy realm and of the fate of
gateway through which each soul is required to pass is situat-
those who reside there.
ed in the west, where the Babylonians watched the descent
ANCIENT EGYPT. The afterlife of the Egyptian nobility is de-
of the sun. All graves provide entrance to this shadowy realm.
scribed in the Pyramid Texts. Royalty were believed to as-
Having entered the main gate, the dead are then ferried
cend at death to the Blessed Lands, or Fields of the Blessed,
across the river Hubur by a four-handed, fierce-faced ferry-
in the heavens. According to the Pyramid Texts, members
man to “the Great City.” This city is a gigantic metropolis,
of the aristocracy traveled to the celestial spheres to dwell
encircled by seven walls, each wall surmounted by a gate and
there like gods, often traveling on the ship belonging to Re,
each gate guarded by a demon. At the very center of the com-
the sun god. Highly elaborate and expensive mortuary rites,
plex is the lapis lazuli of Ereshkigal. Befitting her position
charms, and incantations were offered for the nobility to
as queen of the realm, she is surrounded by numerous atten-
guarantee that the soul of the deceased would enjoy a blissful
dants: a plague god who executes her orders, a scribe who
existence in the world beyond. The life in that world is large-
announces the names of the new arrivals, and seven fierce,
ly similar to this one but is free of the difficulties and misfor-
iron-willed judges called the Anunnaki. There are a host of
tunes that plague the lives of even the powerful and wealthy.
demons who spread pestilence and suffering throughout hu-
The afterlife of the common people is outlined in the Coffin
manity and keep the queen plentifully supplied with new res-
Texts. Commoners were believed either to remain near the
idents.
tomb after death or to travel to the netherworld.
GREECE AND ROME. In ancient Greece the belief in the post-
The dead traveled to many different realms, some to the
mortem survival of the soul stretches back to earliest times,
east but most to the west. It is now believed that the dead
as is suggested by evidence of food, drink, clothing, and en-
went in different directions because the disembodied spirits
tertainment provided in the grave. Already in Homer a clear
were thought to move about with the sun and the stars. The
distinction between the corpse and the ghost was made. The
west was the primary destination of the souls (ka) of the
Iliad (3.278-279, 19.259) contains the belief that the gods
dead. Darkness and night were identified symbolically with
punished or rewarded souls at death. It was thought that the
death and postmortem existence. The realm of the dead was
souls of the living are supplied from the stock of souls in
located sometimes in the sky and sometimes beneath the
Hades.
earth. This region was ruled by Osiris, the king of the dead.
Despite the rich stock of ideas native to the Greek is-
While still a mortal, Osiris was murdered by his brother Seth
lands regarding the dead and the underworld, from the time
and then resurrected by his sister-wife Isis. He subsequently
of Homer Greek writers showed no hesitation in drawing
became the chief ruler of the nether realm.
freely from other religious traditions and in synthesizing
ASSYRIA AND BABYLONIA. In the views of the ancient Akka-
these foreign elements with indigenous material. Most of the
dians and Babylonians, the underworld is a dreadful place.
borrowed elements were derived from Egypt (particularly the
To get there one has to pass through seven gates and remove
Osiris cult and the Book of Going Forth by Day) and from
a piece of clothing at each. The realm is organized on the
Mycenae. From Crete they adopted the idea of elusion
order of a political state under the tyrannical rule of a king
(“paradise”) and the figure of Rhadamanthys (one of the
and a queen, Nergal and Ereshkigal. In the text entitled “De-
three infernal judges). From Mycenae they received the idea
scent of Ishtar to the Nether World” (Pritchard, 1969,
of weighing the soul in the balance.
p. 107), this realm of the dead is described as
The earliest Greek accounts of the postmortem journey
the Land of no Return . . . the dark house . . . which
of the soul to the underworld are to be found in the Iliad
none leave who have entered it . . . the road from
(1.595, 3.279, 5.395–396, 15.187–188) and in the Odyssey
which there is no way back, the house wherein the en-
(11). At the moment of death, the soul (psuche) is separated
trants are bereft of light, where dust is their fare and clay
from the body, transformed into a ghostly double of the per-
their food. Where they see no light, residing in dark-
son (eido¯lon), and transported down to Hades, an enormous
ness, where they are clothed like birds, with wings for
cavern below the surface of the earth (Odyssey 11.204–222).
garments, and where over the door and bolt is spread
Here the souls of the dead are capable only of “flitting
dust.
around as shadows while exuding shrill chirping sounds.”
Once in the underworld, the fate of the deceased is improved
This dismal domain is the very antithesis of the realm of the
or worsened depending on whether the body is buried ac-
“blazing sun”; it is a place where one sees only “the cold
cording to the prescribed funeral rites and is provided by the
dead” and is an altogether “joyless region.” The shades of the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UNDERWORLD
9453
dead are unconscious and incommunicative until they have
Not until the time of Plato does one encounter the no-
imbibed a quantity of blood, the essence of life. So morally
tion that the righteous will be feted with sumptuous ban-
neutral is the life of the dead that all distinctions pertaining
quets “with garlands on their heads,” or that the wicked will
to social station, political position, and religious latitude are
be plunged into a pit filled with mud, “where they will be
obliterated, thus rendering even a mean and destitute exis-
forced to carry water in a sieve” (Republic 2.373c–d). Plato
tence in the world highly preferable (Odyssey 11.487–491)
may have believed that the earthly experience of the fear of
to the office of rulership over Hades.
Hades is equivalent to being there already and that the suffer-
In ancient Greek cosmology, Hades lies within the
ing inflicted by a guilty conscience is sufficient punishment
ocean, perpetually shrouded in clouds and mist. Here there
for the wicked act committed. This view coincides with the
is no sunlight, only eternal darkness. The shades are depicted
theory that Plato adopted many primitive beliefs about the
as being weak and extremely melancholy, always in search
fate of the soul and gave moral and psychological interpreta-
of escape from their sufferings and finding none. Especially
tions to allegorical tales (see Gorgias 493a–c). Similarly, for
painful are the sufferings of those who were either not prop-
the poet and philosopher Empedocles the psuche (“soul”) is
erly buried on earth or not suitably nourished with sacrificial
the bearer of guilt, and the world of the senses is the Hades
food offerings. The dire nature of the torments suffered by
where the individual suffers for that guilt (frags. 118, 121).
the inmates is graphically depicted in the story of Tantalos.
Also, Plato, who perhaps more than any other ancient think-
Standing in water up to his chin, he found to his chagrin that
er shows a genuine concern for the immortality of the soul
the water mysteriously evaporated each time he sought to
and the judgment it undergoes after death, presents divine
quench his thirst; surrounded by flowering fruit trees, he
rewards and punishments in terms of reincarnation into a
found that the wind blew the fruit away as he reached out
better or worse earthly life, rather than in terms of heaven
to grasp it (Odyssey 11.582–592). Hades is separated from
and hell. In the Laws (904d) he suggests that Hades is not
the realm of the living by a treacherous body of water, made
a place but a state of mind and adds that popular beliefs re-
up of five rivers (Lethe, Styx, Phlegethon, Acheron, and Co-
garding Hades should be invested with symbolic value only.
cytus). The entrance is guarded by Kerberos, a ferocious dog
JUDAISM. References to the underworld in the Hebrew scrip-
with three (earlier poets said fifty or one hundred) heads
tures are vague and derive largely from beliefs common
whose necks are encircled by venomous serpents. Here
throughout the ancient Near East (especially Egypt and Bab-
Minos judges the deeds of the deceased and provides the laws
ylonia). Numerous terms are used to designate this shadowy
that govern them in the underworld. But the evidence seems
realm, the two most popular names being She Dol (a word that
to indicate that none of the laws meted out justice in the
seems peculiar to Hebrew) and Gei D Hinnom (Gr., Geenna;
form of rewards for the righteous and punishment for the
Eng., Gehenna). Some euphemistic substitutes for the latter
wicked.
are erets (“earth” or “underworld,” 1 Sm. 28:13, Jb. 10:21–
According to Vergil, Rhadamanthys presides over a
22), qever (“grave,” Ps. 88:12), Eafar (“dust,” Is. 26:5), bor
court of justice in which a variety of corporeal, mental, and
(“pit,” Is. 14:15), and shah:at (“pit,” Ps. 7:16; “the land of
spiritual retributions are distributed according to the nature
darkness,” Jb. 10:21).
of sins committed in the upper world. Nowhere in all of
The historical Gehenna, or GeiD Hinnom—“Valley of
world literature is the drastic distinction between the two
ben Hinnom,” or “Valley [of the son(s) of] Hinnom”— was
destinies after death presented in more painfully dramatic
located near the city of Jerusalem at the site of a cult in which
terms than in his Aeneid:
children were sacrificed (2 Kgs. 23:10, Jer. 7:31); it was
This is the place where the road divides and leads in two
known popularly as the “Valley of Slaughter” (Jer. 19:5–6).
directions: one way is to the right and extends under the
Even before this time, the valley was used as a site for human
ramparts of Dis [i.e., Pluto] to Elysium [i.e., Paradise],
sacrifices to the god Moloch (2 Chr. 33:8), and afterward,
but the left path leads to the evil realms of Tartarus,
as a place where the city’s rubbish was burned. In mythology,
where the penalties for sin are exacted. To his left Aene-
Gehenna was located beneath the earth or at the base of a
as spots a deep cave enclosed by a triple fortification
mountain range (Jon. 2:7) or beneath the waters of the cos-
around which flows Phlegethon, seething with flames
and tossing rocks about in its tumultous torrents.
mic ocean (Jb. 26:5). This realm is sometimes pictured
(6.540–579)
as a horrifying monster with mouth agape (Is. 5:14), a
realm where persons of all classes are treated as equals
Aeneas encounters a gargantuan door that even the gods are
(Ez. 32:18–32).
powerless to penetrate, guarded by the ever-wakeful Tisi-
phone (one of the Furies). From inside, he hears horrifying
She Dol is another term used to designate the realm of the
groans and wailings from victims being lashed with whips
dead or the subterranean spirit world, where the destinies of
and chains. Within this dismal kingdom of darkness and
the righteous and the wicked are the same. Heaven and
death reside a host of personifications of abstract entities:
SheDol are thought to be the two farthest extremities of the
Grief and Cares, Diseases, Senility, Fear, Hunger, Toil, War,
universe (Am. 9:2). SheDol is positioned at the nadir of a dark
Discord, and countless other forces that afflict the life of
pit at the very base of the universe, into which the blasphem-
every creature with misfortune and distress.
er who aspires to be equal with God will fall. But the term
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9454
UNDERWORLD
also refers simply to the state of death or to the grave (see
derstanding of the destination of the damned. Gehenna was
Prv. 23:13–14, Ps. 89:49). The viability of this interpretation
imagined to be an enormous, deep pit that perpetually ejects
of the term is further confirmed by the fact that the Sep-
clouds of putrid-smelling smoke from burning garbage, a pit
taugint frequently translates she Dol as thanatos (“death”).
where bodies of criminals and lepers are disposed of. Two
significant alterations in the Hebraic concept of hell deserve
The Hebrew scriptures place the domain of the dead at
mention: (1) there is a much sharper distinction between the
the center of the earth, below the floor of the sea (Is. 14:13–
realm of the blessed and the realm of the damned, and (2)
15, Jb. 26:5). Some passages locate the gates that mark the
the standard applied at the Last Judgment is defined by a per-
boundary of SheDol in the west. This realm has been depicted
son’s attitude toward the person of Jesus and his teachings.
as a place pervaded by dust and darkness (Jb. 10:21–22), as
In the Gospels the prevailing concept of the underworld is
it was in Mesopotamian thought. In contrast to the Babylo-
epitomized in the story of the rich man and Lazarus (Lk.
nian netherworld, which boasted a large company of demon-
16:19–31). It would appear that the rich man is sent to Hell
ic creatures, both the Hebraic underworld and heaven are
merely on account of his great wealth in this realm, whereas
ruled over by one and the same God whose sovereignty ex-
Lazarus is transported to “the bosom of Abraham” (Heaven,
tends throughout the universe (Ps. 139:7–8, Prv. 15:11, Am.
Paradise) in recompense for his sufferings and poverty. Hell
9:2). There is a strong suggestion in Psalm 73 that God will
is imagined as an invisible world, situated beneath the realm
manifest his grace to the righteous by taking them to heaven,
of the living, a blazing inferno of such intensity that even a
where they will exist eternally with him. The people of God
drop of water applied to the tip of the tongue could bring
will, therefore, be saved from SheDol to live with God forever,
welcome relief. It is also a distant land beyond a great gulf
but the unrighteous will face a deprived existence in the
across which no movement is possible in either direction.
chambers of the subterranean regions (Ps. 49).
Whereas Hades remains at a great remove from the
According to the Ethiopic Apocalypse of Enoch (22:9–
realm of the living, Paradise is situated in the immediate
13), SheDol is not an abode of all the dead, where the souls
presence of God. The wicked in Hades and the righteous
merely exist as vague shadowy figures devoid of individual
dead “at home with the Lord” await the final resurrection.
characteristics, but is a spacious realm with three subdivi-
sions: One realm is allotted to the righteous who have been
According to the eschatology of the Book of Revelation,
vindicated in life, one to sinners who were not submitted to
a millennial reign is followed by the resurrection of the
divine judgment before death, and one to those whose deeds
saints, and then by a period of universal conflict at the end
were judged during life and found wanting. in time, SheDol
of which Satan will be cast into a lake of fire and brimstone,
came to be identified with Gehenna, the pit of torment, an
preparatory to the resurrection of the remaining dead and the
idea that, in turn, informed the Christian concept of Hell
Last Judgment. Both Death and Hades are hypostatized as
(Hb. 2:5).
subterranean vaults that surrender the dead to be judged,
after which Death and Hades themselves are thrown into the
In the postbiblical Jewish apocalyptic tradition, among
lake of fire, thus actualizing “the second death,” that is, con-
the seven heavens that extend above the earth, sinners are
demnation to the eternal fires of Hell (Rv. 20:11–15, 21:8).
confined to the second heaven to await final judgment.
The remarkable feature of this account of “final events” is
North of Eden lies Gehenna, where dark fires perpetually
that Hell is homologized with the lake of fire to which the
smolder and a river of flames flows through a land of biting
wicked are condemned, and it is itself punished by being cast
cold and ice. Here the wicked suffer numerous tortures (2
into the same lake of torment. Supposedly the cosmic cata-
En. 3–9).
clysm that signals the termination of the current world order,
Elsewhere within the same book, the Angel of Death in-
the final defeat of Death and Satan and the Last Judgment,
quires of Jehoshua whether there are any gentiles (or “descen-
is a preview of the fate of the wicked in Hell. The nature of
dants of Esau”) in Paradise or any Children of Israel in Hell.
Hades can be inferred from the depiction of the realm of the
Included in the reply is the observation that those descen-
blessed as a perpetually sunlit land in which the righteous are
dants of Esau who performed righteous deeds on earth are
never discomfited by the blazing sun. There they are faithful-
rewarded here but sent to Hell after death; Israelites on the
ly fed by the divine shepherd, refreshed by ever-flowing
other hand receive punishment while living and inherit the
fountains, and relieved of their tears of grief.
joys of Paradise after death. According to Josephus Flavius
Augustine (354–430
(37–100
CE), the father of early medieval
CE), historian of the Jewish War of 66–70, the Es-
theology, perpetuated the concept of Hell as a bottomless pit
senes of the Dead Sea area believed that the righteous retire
containing a lake of fire and brimstone where both the bodies
to the western region, where their lives are undisturbed by
and the souls of humans and the ethereal bodies of devils are
rain, cold, or heat and where they enjoy cooling breezes con-
tormented (City of God 21.10). Thomas Aquinas (1225–
tinuously. The wicked, however, are condemned to a dark,
1274) laid much of the foundation for the philosophical con-
chilly hell where they suffer eternal torments.
cept of Hell that shaped and informed the idea of Hell in
CHRISTIANITY. New Testament writers drew upon the post-
the minds of poets, painters, sculptors, and novelists for cen-
exilic Hebraic picture of Gehenna in formulating their un-
turies to come. For him, Hell never lacks space to accommo-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UNDERWORLD
9455
date the damned. it is a place where unhappiness infinitely
to the damned become more painful and severe with each
exceeds all unhappiness of this world, a place of eternal dam-
level of descent.
nation and torment where the suffering of the damned is in-
At the partition between Paradise and the Fire stands
tensified by recalling the glory of the blessed while no longer
Zaqqum, a tree that exudes a stifling odor and has blossoms
able to perceive the glory firsthand.
composed of demons’ heads. Eating the fruit of Zaqqum
Dante (1265–1321) derived the theological framework
burns the stomach like molten metal (surah 7:46–50). The
for his notion of the underworld from the Old and New Tes-
tree separates the two worlds, yet provides a point from
taments and Thomas. In the third chapter of the Inferno he
which a person can see both realms simultaneously. Beside
describes the descent into Hell. Accompanied by his guide
it is a wall or barrier that divides humanity into separate
Vergil, Dante approaches the Inferno and sees the gate of
classes according to the moral quality of their deeds in the
Hell, the entrance to the city whose inhabitants live in suffer-
temporal world.
ing and eternal pain. Dante is conducted along a circular
Each of the seven fiery realms is assigned a specific
pathway leading from the gateway to the bottommost zone
name. An inventory of these names reflects the Muslim atti-
of Hell. He passes in succession through nine separate circu-
tude toward nonbelievers: ha¯wiyah (abyss for hypocrites),
lar zones, each of which contains smaller cells where individ-
jah:¯ım (fierce fire for idolators), sa E¯ır (blazing fire for Sa-
uals or groups of the damned live. Charon waits on the near
baeans), jahannam (purgatorial fire for Muslims), laza¯ (flam-
bank of the river Styx, ready to ferry his miserable passengers
ing fire for Christians), saqar (scorching fire for the Magi),
across the waters. As Dante and his guide move from circle
and h:ut:amah (raging fire for Jews).
to circle they encounter a variety of types of sinners sorted
into groups according to their chief vices. On reaching the
The QurDa¯n depicts Gehenna in highly pictorial and ter-
fourth ring of the ninth circle, the two travelers are confront-
rifying terms. It is referred to as the “Fire of Hell” (89:23)
ed by Dis (Lucifer), who with his three mouths devours
and is depicted as a kind of four-legged beast. Each leg is
Judas, Brutus, and Cassius. The arduous journey of Dante
composed of seventy thousand demons; each demon has
and Vergil through the Inferno is completed with a horrify-
thirty thousand mouths. Each of the seven layers of the Fire
ing descent into the interior of the body of Lucifer. Finally
is punctuated by a gate manned by a guardian who torments
they arrive at a spot situated directly beneath the place of
the damned. The term Gehenna refers both to the topmost
Christ’s crucifixion on Mount Golgotha from where they
sphere and to the entire realm of seven spheres. Whenever
once more see the stars.
this beast of hell is transported to the place of final judgment,
it sends forth a buzzing, groaning, and rattling noise, along
The history of Christianity is dotted with periodic ex-
with sparks and smoke that shrouds the entire horizon in
pressions of heretical dissent concerning the existence of
total darkness (15:43–44, 39:71).
Hell, notably by Origen, Erigena, Voltaire, and Nietzsche.
The realms of the blessed and the damned are separated
But it was not until the seventeenth and eighteenth centuries,
by a towering wall. Those who inhabit the heights of this
when rationalism began to find its voice, that a widespread
partition can view the inhabitants of both worlds and recog-
decline of belief in Hell developed in Western culture. The
nize each group by their distinguishing marks. The blessed
concept of Hell as an actual spatial domain has virtually dis-
are recognizable by their smiling countenances; the damned,
appeared or been reduced to the level of allegorical interpre-
by their black faces and blue eyes (57:13). There is also a hint
tation. This transformation of the idea is exemplified in The
of the existence of a purgatory or limbo for beings whose
Fall in Camus’s warning “Don’t wait for the Final Judgment.
deeds are neither extremely good nor extremely bad.
It takes place every day” and in Sartre’s declaration in his play
No Exit that “hell is other people.”
Both the QurDa¯n and the h:ad¯ıth present a wide variety
of reasons why a person may be condemned to a life of tor-
ISLAM. Cosmology appears to have been a matter of interest
ment. The fundamental cause is lack of belief in God and
in early Islam not for its own sake but “only as a doctrinal
in the message of his prophet, Muh:ammad. Other reasons
framework for understanding the cosmic field of divine prov-
include the following: lying, corruption, lack of faith, blas-
idence and human accountability” (Smith, 1981, p. 9). Mu-
phemy, denial of the advent of the judgment day and of the
hammad himself does not seem to have held to a clearly de-
reality of the Fire, and lack of charity. Leading a life of luxury
fined and detailed picture of a realm of the dead.
and believing that wealth brings immortality also lead to
condemnation.
According to the QurDa¯n, there are seven layers of heav-
en extending above the earth toward the celestial abode of
The postmortem journey of the soul of the redeemed
God. Corresponding to the layers of heaven are seven de-
or the blessed through the various layers of Heaven in the
scending depths of a vast funnel-shaped fire (alna¯r). The top-
company of the archangel Gabriel is contrasted with the dif-
most level of the netherworlds is Gehenna. This realm of
ficult and painful journey of the souls of the damned down-
death and torment is connected to the world of the living
ward through the many spheres of Fire. The victims of the
by a bridge that all the souls of the dead must traverse on
torments of Gehenna are represented as sighing and wailing
the day of judgment. The varieties of punishment meted out
in their wretched condition (11:106). Their skins are alter-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9456
UNDERWORLD
nately scorched to a black crisp and then renewed so that
consequence of an unrighteous past life. In the Yama-
they can suffer the torments of Fire over and over again.
Naciketas episode in the Kat:ha Upanis:ad, the young man
They are compelled to wear garments made of fire or scald-
Naciketas receives instruction on the postmortem state from
ing pitch, and boiling water is poured onto their heads, melt-
Yama, the lord of the dead. Rather than directly addressing
ing their insides and skins. Iron hooks are used to retrieve
a matter so subtle that not even the gods understand it, Yama
them every time they try to escape (22:19–22).
informs Naciketas of two paths leading to different ends: the
way of pleasure and the way of goodness. Yama recommends
In time, Muslim theologians began to emphasize God’s
that Naciketas choose the latter, thereby avoiding rebirth.
grace and mercy and to downplay his anger and wrath. The
belief arose that after a certain period of purgation the angel
But in the Pura¯n:as (collections of classical Hindu my-
Gabriel would intercede on the sinner’s behalf and release
thologies), hells are depicted in terrifyingly graphic terms as
him from the Fire. It was later believed that in time the Fire
places of extreme suffering and deprivation. In the Ra¯ma¯yan:a
would be extinguished and all sinners pardoned.
(7.21.10–20), Ra¯van:a, the ten-headed demon, witnesses a
HINDUISM. Vedic references to an underworld are so few in
scene of indescribable wretchedness on entering Yama’s
number and so vaguely conceived that many scholars have
abode. He hears the agonizing cries of the wicked being
argued that Vedic religion lacked a concept of hell. More re-
gnawed by dogs and devoured by worms. Pitiful screams
cent studies (see Brown, 1941) have demonstrated that refer-
shoot across the Vaitarani River from parched people on hot
ences to a realm of postmortem suffering do signal a genuine,
sand who are being sawed in half. The thirsty cry out for
if relatively undeveloped, conception of hell in the Vedic lit-
water; the hungry, for food. Pale, emaciated specters run to
erature.
and fro. The righteous, on the other hand, inhabit grand pal-
aces and dine on sumptuous meals, surrounded by beautiful,
According to R:gveda 7.104 and Atharvaveda 8.4, the
sweet-smelling maidens dressed in exquisite garments. In the
Vedic Hell is situated beneath the three earths, below the cre-
Maha¯bha¯rata (12.2.25) Yudhis:t:hira is ushered into an enor-
ated order. It is characterized as a gigantic, bottomless chasm
mous dark chamber that is cluttered with foul-smelling hair,
or abyss, a place of no return. In this infinitely deep pit, there
heaps of raw flesh, and countless pools of blood, corpses,
is no light, only deep darkness (cf. R:gveda 2.29.6). In the
worms, deformed animals, hideous monsters of incompara-
very deepest realm lies the cosmic serpent, the archdemon
ble ugliness, and ghosts of terrifying presence. As will become
Vrtra (R:gveda 1.32.10), who fell there after Indra slew him.
standard in the later Pura¯n:as, a specific form of punishment
Some texts describe the Vedic Hell as insufferably hot
is assigned to each of the subterranean chambers. In the un-
or unbearably cold. It is a realm of absolute silence (R:gveda
derworld called Kumbh¯ıpa¯ka (“cooked victuals”) the wicked
7.104.5) and of total annihilation, a state that is depicted
are boiled alive in giant vats of boiling oil; in S´almali, thorns
semi-anthropomorphically as lying in the lap of Nirr:ti, the
from a silk-cotton tree are used to torture the wicked.
destroyer. This region of eternal torment is populated not by
those who committed wrongs inadvertently but by those
The Agni Pura¯n:a (chaps. 340 and 342), one of the eigh-
who consciously and intentionally pursued unrighteous
teen major collections of classical mythology, perpetuate a
ends: Vr:tra, antidivine forces (asuras and dasyus), demonic
theme that blossomed in the Upanis:ads. This is the idea that
powers (ra¯ks:asas), and sorceresses (yogin¯ıs) dwell here. The
the course of a person’s life in this world is governed by the
inhabitants of Hell are those who live at cross-purposes with
ritual and moral quality of his deeds. One’s experience in the
the universal law (r:ta).
next world is governed by the fruits of those deeds. Yama de-
termines the infernal region to which each wicked soul re-
Hell stands in an antithetical relation to the ordered
pairs or the womb into which it is to be born, according to
universe, based not on r:ta but anr:ta. Here there is no order,
the deeds of the previous existence. The terrifying members
no gods, no sun, no warmth, no fecundating waters, nor any
of Yama’s retinue usher the soul to a place where they prepare
of the elements vital to the creation and maintenance of crea-
an account of its good and evil deeds. The soul initially reaps
turely existence. Here in the lap of destruction (nirr:ti), there
the benefits of its good deeds in the form of physical and spir-
is only death and nonexistence (asat). It is the opposite of
itual delights, after which it is returned to hell for a period
the created, ordered, and illuminated realm.
of suffering in order to purge the residual effects of its evil
Later, in the Veda¯nta, hell came to be conceived in more
deeds. If the number of merits outweighs the demerits, the
strictly philosophical terms as the realm of pure nonbeing.
person is reborn into a pure and prosperous family; if the ob-
Contrasted with this was the realm of being (sat), the realm
verse is the case, he may be committed to a lengthy life of
of living beings and of life itself that came to be referred to
suffering in one of the hells or be reborn as an animal, insect,
as brahman, the limitless and indefinable fulcrum of being.
or other base form of life.
In the Upanis:ads, the paths leading to the realms of the
The pathways connecting this world with the various
blessed and the wretched are envisioned as the way of the an-
hells are dreadful to behold and extend for a total of 164,000
cestors and the way of the gods, respectively. Little impor-
human miles. According to most classical cosmologies, there
tance is accorded to the idea of hell as the destiny of the un-
are a total of 28 major infernal regions situated below the
righteous. The emphasis is rather on rebirth as the
lowest stratum of another 7 netherworlds. Each region lies
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UNDERWORLD
9457
along a vertical line of descent and is subdivided into 144
Ginzberg, Louis. The Legends of the Jews (1909–1928). 7 vols.
smaller chambers, to each of which is assigned an appellation
Translated by Henrietta Szold et al. Philadelphia, 1946–
describing its definitive characteristics, for example: Ghora
1955.
(“horrifying”), Taralatara (“trembling”), Bhayanaka
Graves, Robert, and Raphael Patai. Hebrew Myths. New York,
(“terrifying”), Ka¯lara¯tri (“dark night of devouring time”),
1966.
and D¯ıpta (“the blazing realm”).
Christianity
Each chamber is presided over by five guards with the
Dante Alighieri. Inferno. Translated by Allen Mandelbaum.
terrifying faces of carnivorous animals and birds, who ad-
Berkeley, 1980.
minister the form of punishment appropriate to the place.
Jeremias, Joachim. “Hades.” In Theological Dictionary of the New
The guards cast their condemned wards into dreadful places
Testament, vol. 1, edited by Gerhard Kittel. Grand Rapids,
of punishment. Some souls are cast into gigantic frying skil-
Mich., 1968.
lets or into caldrons filled with boiling oil, molten copper,
Mew, James. “Christian Hell.” In his Traditional Aspects of Hell
or iron, while others are tossed onto the upturned tips of
(Ancient and Modern) (1903). Ann Arbor, 1971.
sharp pointed lances. Others are submitted to severe lashings
Walker, Daniel P. The Decline of Hell: Seventeenth Century Discus-
with leather straps or heavy bastinados or are forced to drink
sions of Eternal Torment. Chicago, 1964.
beverages of boiling metals or noxious solutions of animal
Islam
urine and human excreta. Still others are broken physically
Asín Palacios, Miguel. Islam and the Divine Comedy. Translated
on the rack, dismembered, and then parceled out to vultures,
by Harold Sunderland. London, 1926.
hyenas, and other avaricious creatures of the infernal regions.
Smith, Jane I., and Yvonne Y. Haddad. The Islamic Understanding
Each of these dreadful realms is filled with the sounds of
of Death and Resurrection. Albany, N.Y., 1981.
screaming, wailing, and moaning.
Morris, James W. The Wisdom of the Throne: An Introduction to
SECULAR VISIONS. Among a growing number of religious in-
the Philosophy of Mulla Sadra. Princeton, 1981.
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Hinduism
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Brown, W. Norman. “EThe Rigvedic Equivalent for Hell.” Journal
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trialized countries who claim to retain a belief in an
pp. 110–142. London, 1975.
underworld of some description have, in practice, largely
Jacobi, Hermann. “Cosmogony and Cosmology (Indian).” In En-
transposed many of the ideas and themes previously associat-
cyclopaedia of Religion and Ethics, vol. 4, edited by James Has-
ed with the underworld (e.g., divine judgment, suffering,
tings. Edinburgh, 1914.
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Hopkins, E. Washburn. Epic Mythology (1915). New York, 1969.
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Macdonell, A. A. Vedic Mythology. Strassburg, 1897.
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larly associated with the more dangerous aspects of cyclonic
Moraldi, Luigi. L’aldilà dell’uomo, nelle civiltà babilonese, egizia,
rain and lightning) are also at times used to refer to both
greca, latina, ebraica, cristiana e musulmana, con il testo
wandjina and wunggurr. One further term, Wanjad, is used
dell’Apocalissi di Paolo. Milano, 1985.
to refer to an aspect of wunggurr that becomes incarnate in
Murray, [Sister] Charles. Rebirth and Afterlife. A Study of the trans-
the Rock Python. Representations of wandjina and wunggurr
mutation of some pagan imagery in early Christian funerary art.
often occur together, alongside depictions of various natural
Oxford, 1981.
species, in the painted cave galleries of this region. It is be-
Park, Joseph S. Conceptions of Afterlife in Jewish Inscriptions. Tü-
lieved that Wandjina came to dwell eternally in the caves, in
bingen, 2000.
which they painted themselves. An oneiric mirroring be-
Rohde, Erwin. Psyche. Seelenkult und Unsterblichkeitsglaube der
tween wandjina and wunggurr was noted by Andreas Lom-
Griechen. Tübingen 18982.
mel, who reported on the neighboring Wunambal’s belief
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UNGARINYIN RELIGION
9459
that “Ungud [wunggurr] finds the soul of a Wondschina
of markings, such as the footprints said to be visible in the
[wandjina] in a dream in the water” (Lommel, 1997, p. 16).
rock at Aynggulura. Paddy Neowarra, a senior Ngarinyin
man, tells how “wandjina walked through that flat ground,
D. Mowaljarlai explained the relationship between
through the opening and made his print behind him for us
wandjina and wunggurr in this way:
to see” (Redmond, 1998, p. 24). At the painting site known
Every man or girl they come out from each wunggurr
as Yalgi andi, on the central Kimberley Plateau, the qualities
water. Wandjina gives us back. Then we know where
of this primordially soft world are still said to be clearly evi-
that child come from. Everybody know. And that is
dent. Here an extensive series of cup-shaped markings appear
where the land is because all the power connected. We
in both vertical and horizontal rock faces. These small hol-
find children from water. That’s why we’re water peo-
lows, dagula or bindingarri, are said to have been created by
ple. We spirits hide in the water come out in the open.
the action of the “sweat of wandjina” falling onto the soft
We all belong water because wandjina belong water. He
rock in the Larlan (Redmond, 1996, p. 35).
not a dry wandjina. He belong rain. (Doring, 2000,
p. 238)
The painted wandjina images, then, are regarded not as
Wandjina are usually depicted as mouthless, anthropomor-
the artistic work of the ancestors of present-day people but
phic figures representing the body of an apical clan ancestor
rather as actual ancestors, autochthonous creations whose
(or rarely an ancestress). They occur as polychromatic paint-
images have merely been maintained by human agency:
ings in sandstone caves and in stone arrangements through-
“kept bright” by ritual repainting. This periodic repainting
out the region. Wandjina are also identified in other features
is believed to have profound consequences as far as maintain-
of the landscape, in various animal and plant (especially
ing the natural and social balances of the cosmos (Mowaljar-
aquatic) species, in pools of freshwater and sometimes salt-
lai and Malnic, 1993; Rumsey and Mowaljarlai, 1994; Craw-
water, and most importantly in the cumulonimbus rain-
ford, 1968; Blundell and Layton, 1978). Persons of both
bearing clouds (gulingi or angguban) that move across the
genders feel a ritual obligation to countries where they have
Kimberley landscape in the cyclone season, Winjin (Decem-
a strong connection deriving from one of a number of poten-
ber through to April). The actions of moving and then laying
tial links (i.e., patrilocality, mother’s country, conception
down performed by the wandjina in their travels in the cre-
site). It seems that socially mature persons other than patri-
ative epoch, Larlan, by the rain clouds (also known as “the
clan members could be invited to repaint an image in anoth-
travelers”) each wet season, and by the flowing rivers gradual-
er person’s clan country. Such persons would then be given
ly contracting to isolated pools are all perceived as processual
gifts (ngurli), such as kangaroo meat or wild honey. Paddy
moments in the continual reanimation of Dreaming forces
Neowarra explained, “In Winjin [Cyclone Season] time
that works toward everything in the country becoming yayi-
when that wilmi [mist] come out from the stone in early
yurru (also transcribed as yorro yorro), “standing up together
morning, jurri we call it, the ‘smoke’ goes into the paint and
in a bunch” (Redmond, 2001, p. 227; also Mowaljarlai and
renews it and it’s just like it paint up again so we can go al-
Malnic, 1993).
ways go back and renew it” (Redmond, 1995, p. 98).
Wandjina are most often represented only with head
In this sense even the act of retouching is not seen as
and shoulders, though occasionally an entire anthropomorph
being initiated by humans but by the saturated air emanating
(usually with no gender marking) is depicted. In such cases
from the sun-warmed rocks that gives a new life to the paint-
the torso, arms, and legs are often filled in with a series of
ed images. There is indeed a noticeable glow in the paintings
parallel red ochre lines representing falling rain. The head is
at this time of year because the kinds of ochre used in the
generally encircled with radiating lines said to be both feath-
paintings (the white huntite, particularly) absorb moisture
ered head decorations and lightning. The head commonly
readily, enriching the colors, restoring to them something of
shows a horseshoe-shaped red-ochre band said to be the en-
the vividness these paints display when wet (cf. Crawford,
circling body of wunggurr, the Rock Python.
1968).
Ngarinyin use the term we awani for the “laying down”
Wandjina cave paintings are regarded by the Ngarinyin
of the wandjina as they pressed themselves into the soft jelly-
people as the imprint or “shadow,” anguma, left by the wand-
like surface of the earth in the Larlan. They speak of the rock
jina after their creative travels across the landscape in the Lar-
caves (tight niches into which painters often had to squeeze
lan. The word anguma also denotes a person’s “spirit” or
themselves) as actually being cloud formations, stating un-
“soul,” linking wandjina closely to beliefs about conception
equivocally “that stone is a cloud” (cf. Mowaljarlai and Vin-
(see below). Wandjina are said to be visible in the present be-
nicombe, 1995: 236; see also Crawford, 1968).
cause they pressed their bodies into the rock faces of this
landscape during the earth’s formative period, while its sur-
The annual wet-season deluge finds its earliest mythic
face was still soft. The apparent absence of a mouth has been
archetype in the focal story of Wanalirri. This story and its
explained by some senior Ngarinyin men as resulting from
associated painting site and songs tell of a primordial flood
the fact that the mouth is located on the inner side of the
of cataclysmic proportions that submerged the world and all
visible image, facing in toward the rock upon which the
within it. In this saga a boab tree (Adansonia gregorii), actual-
image appears. Wandjina sometimes left behind other sorts
ly a disguised wandjina, “opened its legs” and swallowed up
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two juvenile miscreants who had originally provoked the
used by women for carrying vegetable foodstuffs, babies, and
wrath of the wandjina by plucking the feathers from Dumbi
the bones of the dead (cf. Love, 1936, p. 158). The curved
the Owl, an animal highly favored by wandjina (Redmond,
outside surface of angga are usually decorated with the same
1995, p. 89). The boys were then trapped inside the boab
kind of striated red lines carved into the wood. J. R. B. Love
body forever despite the efforts of their relatives (who then
noted that at Kunmunya “the mother will often paint her
appeared to be saved from the flood) on the outside of the
child with stripes of red ochre” (Love, 1936, p. 118).
boab tree. These two boys who were trapped in the boab
DEATH AND FUNERARY PRACTICES. The relationship of con-
were said to be the only survivors of the great flood, but hav-
tinuity between living persons and the wandjina of their clan
ing grabbed a kangaroo by the tail to escape the floodwater,
was traditionally underscored by the practice of interring the
they were tricked into a premature burial. As in the various
skulls and femur bones of deceased men in the main wand-
Arnhem Land versions of the swallowing myths and rites
jina cave of their patriclan. Most modern burials take place
given by L. R. Hiatt “as a substitute for the natural model
in township or community graveyards following a Christian
of female generation,” the two boys of the Wanalirri story
service accompanied by country gospel singing interspersed
were imprisoned, but the other people of the world were re-
with the intense keening of the women in a maternal kinship
gurgitated after the flood (Hiatt, 1975, p. 157).
relationship to the deceased. These funerals are marked by
This cosmogonic event is replicated in the floods of the
strict observance of avoidance relationships that prescribe
wet season and in the radical contraction of the river systems
that the widow of a deceased man (but not vice versa) enters
as the dry season moves in. Thus there is an annual recur-
a lengthy period of seclusion from other members of the
rence of the “breaking up” of the visible body of wunggurr
community. The occasional performance of precolonial
into distinct pools. The long ribbons of the river courses,
burial practices, in conjunction with the narratives of senior
which are visible from the elevated rock ledges in which
Ngarinyin people about these practices when they were more
many of the wandjina caves are located, slowly break up into
widespread, permits considerable insight into Ngarinyin be-
large, relatively isolated rock pools, the ngawan or “living
liefs about death.
water” that never disappears, no matter how dry the season.
Once the bones of the deceased were regarded as suffi-
ciently “clean and dry,” after perhaps a year or more exposed
The night sky is also said to be replete with pools of
to the elements in a stone cairn, they were gathered and given
freshwater that are made most visible in the body of the origi-
a final scrub in water by people in a maternal kinship catego-
nary wandjina, Walanganda, the Milky Way. This galaxy is
ry to the deceased (Redmond, 1997, p. 34). The skull and
said to be the body of Walanganda lying across the heavens,
long-limb bones were anointed with a mixture of fat and red
with his head in the north and feet in the south. Within this
ochre before being wrapped in sheets of wulun (paperbark).
body of swirling white mists are pools of “dark, sweet water”
The paperbark wrapping, particularly associated with femi-
that are pointed out in one dark hole in particular just to the
ninity, symbolically “restores” to the bones their fleshy enve-
east of the Southern Cross constellation (Redmond, 1996,
lope. In this regard it is important to note that babies were
p. 18). All freshwater on the earth is said to have come from
also usually rubbed with fat by the maternal kin in the early
water that originally “fell down” from these dark pools of
days of their lives (cf. Love, 1936, p. 113).
freshwater in the body of Walanganda.
Grieving relatives thus participate in ceremonies that
The whiteness of the body of Walanganda is said to
“return” the individual subject to the ancestral realm, reuni-
come from the smoke from the cooking fires of the two moi-
fying the deceased person with the enduring wandjina ances-
ety heroes: Jun.gun (Owlet Nightjar), who was cooking yali
tor and ancestral clan country. This wandjina identity en-
(female kangaroo), and Wodoy (Spotted Nightjar), who was
dures through various reincarnations of the ancestral being
cooking jebarra (emu) in the Larlan. These two totemic fig-
(through the abi relationship). A deceased person’s anguma
ures are central to the foundational myths of Ngarinyin soci-
(shadow or spirit) is believed to rejoin with the body of
ality. They are said, for example, to have come to blows over
wunggurr when his or her bones are lodged in the cave. The
the issue of primordial incestuous desire, leading to the intro-
person’s spirit travels to Dulugun, an island in the western
duction of the all-important law of moiety exogamy through
sea (Numenbu, Champagny Island) and, after some indefi-
daughter exchange. At the Walanganda wandjina painting
nite interval, resurfaces through a water hole and attaches it-
in Jibilingarri clan country, the wandjina and a smaller sec-
self to the person it has chosen as its new father, thus enact-
ond figure, identified as his son, are represented on the roof
ing the abi identity of a person with his or her father’s
of a cave. In the burnished rock floor immediately below
father’s brother or sister. Each of these reciprocal relationship
them is a dark, well-polished depression said to be the wung-
categories are glossed in English simply as “brother” and “sis-
gurr pool visible in the Milky Way itself. Here the wandjina
ter.” Afterward, one part of the anguma is said to remain in
and his son are perpetually “mirrored” in the “water” that
the rock cave where the bones are deposited. In Dulugun,
forms part of Walanganda’s own body. Parallel red lines em-
spirit children are said to be mired in jalad-gu, a green water
anating from the wandjina body are said to be the swirling
grass in the water holes where the anguma reside. It is said
mists making up the galaxy. Importantly, these lines of celes-
that this water grass acts as a kind of sponge that absorbs the
tial mist also formed an angga (or coolamon), traditionally
anguma in Dulugun until they are ready to be reborn.
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9461
The identification of the sandstone caves in which the
punched a hole there with his heel, with foot, and he made
bones of the dead are placed with an.guban (rain clouds) is
a window . . . hollow ground, it just went down in a door”
a crucial element in the understanding of the cosmography
(Lommel and Mowaljarlai, 1994, p. 285).
of this region—it is in these “watery” recesses that the wand-
The process of “dreaming” songs requires a composer
jina, as the living part of a person’s patri-identity, continues
to travel in a dream on the back of wunggurr through the air
to dwell (Mowaljarlai and Vinnicombe, 1995; Mowaljarlai
or deep beneath the water to Dulugun, the land of the dead.
and Malnic, 1993; cf. Lommel, 1997; Crawford, 1968). The
The composer’s mortal body meanwhile remains on the
symbolic equivalence of cloud and stone highlights the series
ground, where it is cared for by the composer’s assistants.
of transformations that link living persons, their wandjina,
The sleeping body remains connected to the wunggurr self
and the more universalizing aspect of the creative forces be-
by buyu, a long, thin, invisible thread connected to the body,
lieved to be immanent in the figure of wunggurr.
now colloquially known as “radar” or “fishing line.”
CONCEPTION BELIEFS. Wunggurr also embodies yarri,
Miriru (or mururu) is a name for the wunggurr power
dreaming activity in a general sense. This is most evident in
possessed by the barnmarn. D. Mowaljarlai has explained
the reciprocity of “dreaming” child spirits between the fa-
that mururu is the “clear vision, no longer blind” imparted
ther-son dyad in the Ngarinyin social world, in which a per-
from wunggurr. Others have described it as “strong wunggurr
son is identified as a reincarnation of an abi (father’s father’s
dreams” and also as the “blood, juice of kangaroo” (Red-
brother or sister, depending on the gender of the child) from
mond, 1995, p. 25). There are a number of senses in which
whom one’s name is taken. Wandjina are thus personified
the wunggurr power of the composer-healer is comparable to
in contemporary living persons, who identify with a particu-
that which comes from a person’s dreaming of a spirit child.
lar wandjina by referring to him as “I” or “me,” or as the
Both are referred to by the same term in Kimberley Aborigi-
speaker’s abi when narrating stories of that personage in the
nal English: “finding” a song or “finding” a spirit child, re-
Larlan. The association of wandjina and wunggurr with fer-
spectively. Both require a penetration of the screen that nor-
tility is clearly apparent in the affectionate calling of newborn
mally shields humans from the spirit realm. Composers take
babies “wandjina,” and in the practice of divining where a
the journey through the bottom of the water hole to
fetus’s wunggurr (conception place) is by family discussions
Dulugun, where bundles of green leaves are held in front of
about where the mother first knew herself to be pregnant,
their eyes so they will not be too frightened to look at the
what happened on that day, where the husband was, and
emerging dancing spirits. In the case of a man finding a
what he might have caught hunting or fishing that day, thus
child, the anguma itself takes the journey out of the water
conferring the name of that place upon the child.
hole and lands on the body of the prospective father.
The senior Wunambal man W. Goonack stated, “We
Beliefs about wandjina and wunggurr continue to have
born from water, from wulu” (Redmond, 1995, p. 28). Wulu
a powerful salience in contemporary Kimberley Aboriginal
is a polysemous Ngarinyin term that Paddy Neowarra glosses
communities, despite great changes in economic and social
as the “colour seen in water when a man finds dream for
circumstances. The people of this cultural domain continue
baby” or simply “dreams in the water” (Redmond, 1997,
to place these images and beliefs at the very heart of their so-
p. 72). This color, the spectral dispersion of light in water,
cial and cultural identity vis à vis other Aboriginal groups of
is regarded as having “strong wunggurr” just as the rainbow
the region and the encompassing non-Aboriginal world. In
is regarded as a powerful embodiment of wunggurr. In the
everyday discourse and the interpretation of events, wandjina
latter case the shimmering spectral light is as important to
and wunggurr figure prominently for all age groups, even
the image of wunggurr as the snakelike shape it forms arching
though the differences in levels of knowledge and specificity
across the sky from one point on the earth to another.
are marked. One of the ways in which all participate in this
WUNGGURR AND BARNMARN. Beneath the wunggurr pools
shared body of beliefs is in the attribution of “uncanny” and
it is said that there are entire “worlds—big dry ground” in
troubling events to the actions of wandjina, wunggurr, and
which wandjina dwell, worlds that are mirrors of the airy
the host of other supernatural beings in this cosmology. The
world above the rock pools but are contained in world-sized
practice of depicting wandjina and wunggurr on canvases for
caves complete with kin, game, and vegetation. These
sale in the contemporary art world is another means by
worlds, also identified with Dulugun, the realm of the dead
which the salience of these images is transmitted across gen-
(see below), are believed to have something like “trap-doors
erations.
with lid” or “windows” that allow entry and exit for those
ADOLESCENT MALE INITIATION. Another continuing aspect
with the knowledge to do so, such as the barnmarn, a tradi-
of Ngarinyin religious life is the annual performance of cere-
tional healer and composer. A human being can enter and
monies at which boys who have reached adolescence are cir-
exit this realm through these “windows” or “trapdoors” as
cumcised. This may take the form either of the local tradi-
though in a “lift” (i.e., an elevator). The sensation of vertigi-
tion of walungarri (a circle dance performed over three nights
nous descent was said to be similar (Redmond, 1996,
accompanied by a long and intricate song cycle and clapping
pp. 56–59). According to D. Mowaljarlai, “A man who had
sticks) or wangga (imported to the Kimberley in the 1930s
healing powers came to that wunggurr place, snake place,
from the Daly River area of Northern Territory in which the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9462
UNIATE CHURCHES
didjeridu is employed as an accompaniment to singing in a
Elkin, Adolphus P. “Rock Paintings of North-West Australia.”
Murin-patha language).
Oceania 1 (1930): 257–279.
The practices of walungarri are said to have come from
Elkin, Adolphus P. “The Rainbow-Serpent Myth in North-West
the ancestral bird personages, Gwion Gwion (Doring, 2000;
Australia.” Oceania 1 (1930): 349–352.
cf. Lommel, 1997, and Crawford, 1968, where their role is
Hiatt, Lester R. “Swallowing and Regurgitation in Australian
understated). The local origins of circumcision are also given
Myth and Rite.” In Australian Aboriginal Mythology: Essays
in myths such as the Worrorra story of Ngayanggananyi
in Honour of W. E. H. Stanner, edited by L. R. Hiatt,
(Mount Trafalgar) and the Wunbangguwa people, told by
pp. 143–162. Canberra, Australia, 1975.
Elkin Umbagai as “the Mountain of Initiation” (McKenzie,
Lommel, Andreas. The Unambal: A Tribe in Northwest Australia
1980, p. 76). Here the Ancestral Beings first dug a trench
(1952). Translated by Ian Campbell. Carnavon Gorge, Aus-
around a mountain so it was cut off from its surrounding
tralia, 1997.
stone matrix. To celebrate their achievement they instituted
Lommel, Andreas, and D. Mowaljarlai. “Shamanism in North-
“the first initiation ceremony for young men” (McKenzie,
west Australia.” Oceania 6, no. 4 (1994): 277–287.
1980, p. 76). Here the walungarri circle dance is an emula-
Love, J. R. B. “Rock Paintings of the Worrora and Their Mytho-
tion of digging around the base of the mountain. Flying Fox
logical Interpretation.” Journal of the Royal Society of Western
and several other ancestral animals, including Ring-Tail Pos-
Australia 16 (1930): 1–24.
sum, Crab, and Shovel-Nose Shark, “change their shapes”—
Love, J. R. B. Stone-Age Bushmen of To-day: Life and Adventure
that is, attained their present animal morphology through
among a Tribe of Savages in North-Western Australia. London
the process of digging out the trench around the mountain
and Glasgow, 1936.
(McKenzie, 1980, p. 76). Flying Foxes, the first initiates
McKenzie, Maisie, ed. Visions of Mowanjum. Adelaide, Australia,
(said to show circumcision marks on their penises), play a
1980.
particularly prominent role in this story. The whirling flight
Mowaljarlai, D. and Jutta Malnic. Yorro Yorro: Everything Stand-
of flocks of flying foxes when roused from sleep is said to be
ing up Alive: Spirit of the Kimberleys. Broome, Australia,
a re-enactment of the walungarri circle dance. The walungar-
1993.
ri, says Umbagai, “goes on all night. When the first streak
Mowaljarlai, D., and Patricia Vinnicombe. “That Rock Is a
of daylight shows, the lads are taken away from the fami-
Cloud: Concepts Associated with Rock Images in the Kim-
lies—from the women and children” (McKenzie, 1980,
berley Region of Australia.” In Perceiving Rock Art: Social and
p. 76). The women then “wail and sometimes beat their
Political Perspectives, edited by Knut Helskog and Bjo⁄rnar
heads with stones” (in the manner of widows at the deaths
Olsen, pp. 228–246. Oslo, 1995.
of their husbands), and the initiate is entrusted to the care
Petri, Helmut. Sterbende Welt in Nordwest-Australien. Brunswick,
of a classificatory brother-in-law (a potential wife’s brother),
Germany, 1954.
who will nurse him through the circumcision and its after-
Radcliffe-Brown, A. R. “The Rainbow-Serpent Myth of Austra-
math. This relationship remains significant to both parties
lia.” Journal of the Royal Anthropological Institute 56 (1926):
throughout their lives.
19–25.
Extensive travels to gather initiation performers are an
Redmond, Anthony. “Places That Move.” In Emplaced Myth:
important part of the ceremonial process and foster close ties
Space, Narrative, and Knowledge in Australian Aboriginal and
of reciprocity between individuals and groups in far-flung
Papua New Guinea Societies, edited by Alan Rumsey and
settlements across the Kimberley. Other forms of exchange
James Weiner, pp. 120–138. Honolulu, 2001.
(wurnan) of both a ceremonial and mundane nature, the ar-
Redmond, Anthony. “Rulug Wayirri: Moving Kin and Country
rangements for which which tend to be all-consuming for the
in the Northern Kimberley.” Ph.D. diss., University of Syd-
participants, are instituted and perpetuated through these
ney, 2001.
visits, which in turn impart vitality and complexity to Kim-
Rumsey, Alan, and D. Mowaljarlai. Report on Survey of Painting
berley social and religious life.
Sites in the Roe and Moran River Areas of Western Australia.
Canberra, Australia, 1994.
SEE ALSO Rainbow Snake; Wandjina.
ANTHONY REDMOND (2005)
BIBLIOGRAPHY
Blundell, Valda. “Symbolic Systems and Cultural Continuity in
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UNIATE CHURCHES.
Art.” Culture 2, no. 1 (1982): 3–20.
Uniate is the name given to
former Eastern Christian or Orthodox churches that have
Blundell, Valda, and Robert Layton. “Marriage, Myth, and Mod-
els of Exchange in the West Kimberleys.” Mankind 11
been received under the jurisdiction of the Church of Rome
(1978): 231–245.
and retain their own ritual, practice, and canon law. The
Capell, Arthur. Cave Painting Myths: Northern Kimberley. Sydney,
term carries a strong negative connotation and is seldom used
Australia, 1972.
by these churches to describe themselves.
Crawford, Ian M. The Art of the Wandjina. Melbourne, 1968.
The term was first used by opponents to the Union of
Doring, Jeff, ed. Gwion Gwion. Cologne, Germany, 2000.
Brest-Litovsk (1595) to indicate a betrayal of Orthodoxy and
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UNIATE CHURCHES
9463
a yielding to political pressure enforced by alleged violence.
a reconciliation between the Orthodox and Catholic church-
The problem of this terminology emerged again in the new
es, their church should be reintegrated into the Orthodox Pa-
alignment of eastern Europe after communism. Many Or-
triarchate of Antioch. A bilateral commission for dialogue
thodox view these churches as an obstacle in the way of rec-
between the Melkites and Antiochene Orthodox was estab-
onciliation between the Catholic and Orthodox churches.
lished in 1995, and both sides expressed the firm intention
They feel that their very existence constitutes a denial by
to heal the schism of 1724. The Melkites have achieved the
Catholics of the ecclesial reality of the Orthodox Church and
closest union with their former counterparts in practice if not
that these unions grew from efforts to split local Orthodox
yet in name. Many Melkite Catholics immigrated to North
communities.
and South America at the beginning of the twentieth century
and formed two eparchies (dioceses) in Newton, Massachu-
Attempts at the reunion of the Christian churches of the
setts, and in Sa˜o Paulo, Brazil.
East and the West usually ended in failure, especially in the
centuries immediately after the mutual excommunications of
MARONITE CHURCH. The Maronite Church traces its ori-
1054. Later political necessity forced Emperor Michael VIII
gins to the fourth century CE and the monk Maron (d. c.
Palaeologus (1234–1282) to seek the help of the Western
423), who received a Greek and Syrian literary education and
powers for the support of Byzantium at the Council of Lyons
went to Antioch to complete his studies. In Antioch he met
(1274). Subsequently, this agreement was revoked by the
and befriended John Chrysostom (c. 347–407 CE), who soon
new pope in Rome, Martin V (r. 1281–1285). In the East
became the bishop of Constantinople. Centuries later a com-
its acceptance was forced, and it was soon repudiated by Mi-
munity of Maronites grew up around the monastery of Saint
chael’s son, Andronicus II (1260–1332). The Council of
Maron on the banks of the Orontes River in northern Syria.
Florence, after long negotiations, issued a bull of reunion,
Seeking to escape from the persecutions of the caliphates of
Laetentur coeli, on July 6, 1439, but the Greek signatories
Damascus and Baghdad, Maronites began to seek refuge in
began to deny the reunion as soon as they arrived in their
the mountains of Lebanon. Although the Maronite Church
home environment. Yet all these attempts at union were not
never rejected the primacy of the Roman See, communica-
futile because they kept the idea of union alive in Christian
tion between the two churches was interrupted for centuries,
consciousness. After the initial optimism of the post–World
and only after 1182 and the advent of the Crusaders was
War II ecumenical movement and the World Council of
Roman recognition of the Maronite rite restored. During the
Churches in the Protestant dialogue with the Orthodox and
time of the Crusades, Maronite priests and faithful were the
in the Catholic International Dialogue with Orthodoxy after
only Eastern Christians allowed to worship in Latin church-
the Second Vatican Council, a period of retrenchment set in.
es. Maronites had the same rights as Latins, and their own
magistrates judged them according to their own customs and
MELKITE CATHOLICS. The term Melkite refers to a Christian
laws. The head of the Maronite Church began to use the title
of the Byzantine rite—Catholic or Orthodox—from the pa-
“patriarch” during the fifteenth century. The title became
triarchates of Alexandria, Antioch, or Jerusalem. (The word
definitive in a bull of Pope Paul V (ruled 1605–1621) in
derives from the Syriac word malka and the Arabic word
1608.
melek, which mean “king” or “emperor.” These Christians
were given this name by the anti-Chalcedonian party because
The Maronite Church is one of two Uniate churches
they adhered to the Christological position of the Byzantine
that do not have a parallel Orthodox hierarchy. The other
emperor after the Council of Chalcedon in 451 CE.) Until
is the Italo-Albanian Catholic Church. The Maronite
the 1300s the Melkites used the Antiochene rite. In the
Church has undergone many influences tending to conform
countryside the liturgy was celebrated in West Syriac or Ar-
it to the Latin rite. The rite of the Maronite Church belongs
arnaic and in the cities in Greek. With the advent of Islam,
to a group of Antiochene rites, and its liturgical language is
Arabic gradually replaced Syriac. Over the course of the four-
West Syriac or Aramaic. The Maronites adopted more and
teenth century the Byzantine rite replaced the Antiochene
more the use of Arabic as that language became the vernacu-
rite.
lar. The words of institution in the canon of the liturgy are
usually sung in Syriac; the rest of the liturgy is usually recited
The Melkite faithful tried to preserve allegiance to both
in the vernacular language of the place. Political and eco-
Rome and Constantinople. By 1724, renewed communica-
nomic turmoil in the Middle East has caused the immigra-
tion with Rome had resulted in the creation of a Catholic
tion of a large number of Maronites to the United States,
Melkite Church alongside the Orthodox Melkite Church, al-
where they have established two dioceses.
though no formal written agreement of union was ever
drawn up. In the intervening history the Melkite Catholic
RUTHENIANS. The term Ruthenian designates former Ortho-
patriarch of Antioch, Maximos Mazloum (1833–1855),
dox who come from the region that is bounded on the north
added the sees of Alexandria and Jerusalem to his title. Patri-
by the Vistula and Neman Rivers and on the south by the
arch Maximos IV Sayegh (1947–1967) defended the tradi-
Danube and Dnieper, and that includes territories of pres-
tions of the East in his patriarchate and at the Second Vati-
ent-day Poland, the former Soviet Union, Czechoslovakia,
can Council. The Melkite bishops, including Patriarch
Hungary, and Romania. Ruthenian is derived from the Latin
Maximos IV, have supported the idea that, in the event of
Rutheni, meaning “Russian,” and is used by Western histori-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9464
UNIATE CHURCHES
ans to designate Catholic Slavs of the Polish-Lithuanian state
(b. 1911), died mysteriously in 1947. The abrogation of the
or of the Austro-Hungarian Empire. The Russian authorities
union with Rome was signed in August 1949 in the Monas-
preferred the term Little Russian to distinguish those people
tery of Saint Nicholas in Mukacheve. The underground
from the Russians to the north. The Ruthenians divided into
Ukrainian Catholic Church began to reemerge even before
two branches. To the north of the Carpathian Mountains
the fall of the Soviet regime.
under Polish or Russian control were the Galicians. The Sub-
carpathians lived on the southern side of the mountains and
The liturgy and ritual of the Ruthenian Catholics re-
were influenced by Austro-Hungarian political and social
mained conservative for centuries and followed the main
conditions. The Galicians rapidly formed a church as a result
lines of the Orthodox tradition. Ancient Greek melodies
of the Union of Brest-Litovsk (1595), which was signed by
were preserved in the Ruthenian prostopenie (plainchant) at
several bishops. The Union of Uzhgorod (1646) initiated a
the time that the Russian Orthodox Church introduced po-
series of unions through the course of the next 125 years be-
lyphony and Renaissance melodies into their church music.
fore Subcarpathian union was actually achieved and a see es-
The Synod of Zamo´sc´ (1720) introduced a number of inno-
tablished at Mukacheve in 1771.
vations as a result of pressure from the Polish government
to conform the Ruthenian usage to the Latin. These included
The subsequent political division of Galician territory
the addition of the phrase “and the Son” (filioque) into the
subjected Byzantine Catholics there to persecution by their
text of the creed; the commemoration of the pope; the teach-
Orthodox brethren, who thought they had changed their tra-
ing that the sacred moment of the liturgy, when the transfor-
ditions by allowing Latin rite deviations. The Catholics be-
mation of the elements occurs, was at the words of institu-
longed to the peasant classes and lived in the villages, whereas
tion (“This is my body”), and not at the epiklesis (the calling
the Orthodox for the most part belonged to the lesser landed
down of the Holy Spirit) as had been taught in the East; the
nobility. Catholics were obliged to pass over to Orthodoxy
prohibition of communion to infants; the prohibition
under threat of violence, despite the assurances of Russian
against using sponges to clean the diskos (paten); the prohibi-
officials. In 1805 the See of Kiev was abolished. The Ruthe-
tion against pouring hot water into consecrated wine; and
nians were placed under the protection of the Austro-
the use of only one priest as well as a shortened formula in
Hungarian Empire and the jurisdiction of the archbishop of
the administration of the anointing of the sick. Western
L’viv (Lemberg), who was recognized as the primate of the
types of Marian devotion and devotion to the Sacred Heart
Ruthenians of Galicia, Subcarpathia, Hungary, and Slovakia.
were introduced under the influence of the Polish Jesuits.
Popular hymnody was often Western-inspired or based on
Nascent nationalism began to divide the Galician
folk melodies.
Church. After 1848 the term Ukrainian designated the peo-
ple and nation to the north of the Carpathian Mountains.
Austro-Hungarian emigration in large numbers began
The term White (Byelo) Russian meant those inhabiting the
in the 1870s as a result of poor distribution of agricultural
northern regions around the Pripet Marshes. The remaining
land, rising expectations from industrialization, and political
Ruthenians slowly developed a national consciousness in the
and social pressures. A second wave of immigrants, consist-
Subcarpathian region and continued to refer to themselves
ing mostly of Ukrainian professionals and intellectuals,
as Greek Catholics, an ethnic as well as a religious term. Those
reached the United States after World War II, but large
Ruthenians who assumed Hungarian culture called them-
numbers of this group settled in Europe and other countries.
selves Hungarians. The creation of the Czechoslovak state
R
and the advent of the Soviet Union reinforced these divi-
OMANIANS. The Jesuits began to work as missionaries
sions. Ruthenian immigration to Yugoslavia in the sixteenth
among the Transylvanian Romanians in 1693. Their efforts,
century created a substantial community there that survived
combined with the denial of full civil rights to the Orthodox
persecution after World War II.
and the spread of Protestantism in the area, which caused
growing concern among the Orthodox clergy, contributed
After World War II the Soviet government actively per-
to the acceptance of a union with Rome by the Orthodox
secuted Ruthenian Catholics to force them into the Russian
metropolitan Atanasie of Transylvania (Atanasie Anghel
Orthodox Church. The major hierarchs of the Ukrainian
[1697–1713]) in 1698. He later convoked a synod that for-
Catholic Church were arrested in 1945 and 1946 and exiled
mally concluded the agreement on September 4, 1700. At
to Siberia or killed. In a council of reunion held at L’viv, the
first this union included most of the Romanian Orthodox
remaining faithful, whose families had been threatened with
in the province. But in 1744 the Orthodox monk Visarion
deportation, voted in March 1946 to abolish the union with
Sarai led a popular uprising that sparked a widespread move-
Rome. The metropolitan see of Galicia was placed under the
ment back to Orthodoxy. In spite of government efforts to
jurisdiction of the Patriarchate of Moscow. In the case of the
enforce the union with Rome, even by military means, resis-
Subcarpathian Ruthenians, the territory of the diocese of
tance was so strong that Empress Maria Theresa (1717–
Uzhgorod was ceded to the Soviet Union by Czechoslovakia
1780) reluctantly allowed the appointment of a bishop for
after its occupation by the Soviet army. The Orthodox began
the Romanian Orthodox in Transylvania in 1759. In the
to occupy Catholic churches under the protection of the civil
end, about half of the Transylvanian Romanians returned to
administration. The Ruthenian bishop, Theodore Romzha
Orthodoxy. It proved difficult for the new Greek Catholic
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UNIATE CHURCHES
9465
community, known popularly as the United Greek Catholic
Church, to obtain in practice the religious and civil rights
Membership of Uniate Churches
that had been guaranteed it when the union was concluded.
Rites And Churches
Members
Bishops
Bishop Ion Inochentie Micu-Klein (1692–1768), head of
Alexandrian
the church from 1729 to 1751, struggled with great vigor for
Coptic
197,000
7
the rights of his church and of all Romanians within the em-
Ethiopian
203,000
5
pire. He died in exile in Rome.
Antiochene
Malankar
327,000
4
COPTIC CHURCH. Despite attempts at union in the twelfth,
Maronite
3,220,000
42
thirteenth, fifteenth, sixteenth, and eighteenth centuries, the
Syrian
138,000 15
numbers of Uniate Copts remained small. Pope Leo XIII
Byzantine
(r. 1878–1903) created a Coptic Patriarchate of Alexandria,
Byelorussian
5,000
1
Egypt, in 1895, and a Catholic Coptic synod elected Cyril
Bulgarian
15,000
1
Makarios (1867–1909) as patriarch in 1898. The see re-
Greek
2,345
2
mained vacant from 1908 to 1947, when Mark II Khouzam
Hungarian
282,000
1
(1888–1958) was elected patriarch. Four dioceses were erect-
Italo-Albanian 64,000
3
ed, and the number of faithful began to increase dramatical-
Melkite
1,284,000
28
Romanian
1,119,000
6
ly. Upon the death of Mark II in 1958, Stephanos I Sida-
Ruthenian
533,000
7
rouss (1904–1987) was elected patriarch and subsequently
Slovak
222,000
1
was made the first Coptic cardinal. After that, great progress
Ukrainian
5,160,000
27
was made on the resolution of understanding of Christologi-
Yugoslav
49,000
3
cal differences between the Catholic and Oriental Orthodox
Chaldean
churches. In no other ecumenical relationship has a dogmat-
Chaldean
304,000
22
ic disagreement of this type been overcome so unequivocally
Malabar
3,886,000
25
and with such official approbation. This was achieved with-
Armenian
363,000
18
out any official bilateral dialogue. The interplay of unofficial
theological consultations and official pronouncements made
by church leaders proved to be an effective means of resolv-
T ABLE 1 .
ing a centuries-old problem. The solution of the ecclesiologi-
cal and ministerial differences remained much more elusive.
Further the creed was inserted immediately after the reading
MALABAR CHURCH OF INDIA. The Malabar Church, accord-
of the gospel; unleavened bread and communion of the faith-
ing to tradition, was founded by the apostle Thomas. Hence
ful under one species only was introduced; and a consecra-
the Malabarians refer to themselves as “Thomas Christians.”
tion prayer, translated from the Latin, was inserted at the
From remote times Malabar fostered relations with the
fraction rite instead of before the anamnesis and epiclesis.
churches of Persia and Seleucia. From the ninth century to
the sixteenth century the Syro-Chaldean patriarchs alone
Rome appointed Bishop Francis Roz (1557–1624), a
usually sent bishops to Malabar. Little is known about the
Jesuit, as Abraham’s successor in November 1599. His policy
Malabar Church before the sixteenth century. Portuguese
of Latinization met with great opposition. Archdeacon
missionaries arrived in India in 1498. The Malabarians, who
George, who had earlier been given the right of succession
did not consider themselves separated from Rome, welcomed
to Abraham by Rome, died in 1637. George’s nephew
the Portuguese as brothers in the faith, but they refused to
Thomas assumed the leadership of the opposition. In 1653,
allow Latin practices into their church. After 1552, two lines
when the Portuguese sent Ahattallah, a Syro-Chaldean
of Syro-Chaldean patriarchs sent bishops to Malabar, but
claiming authority from Rome, to Goa, the opposition swore
only the bishops of the line of Sulaqa were confirmed in of-
that they would never be under the control of the Jesuits.
fice by the pope of Rome.
This was called the Coonan Cross Oath. Four months later
When Mar Abraham, the last Chaldean bishop, died in
twelve priests ordained Thomas as their bishop. Rome made
1597, the Portuguese archbishop of Goa, Alexis de Menezes
efforts to heal this breach. Over the course of the next de-
(1559–1617), acted against what he thought were Nestorian
cade, eighty-four opposition congregations returned to
errors in the Malabar Church. He convoked and presided at
Rome, and thirty-two remained with Thomas. This party,
the synod of Diamper in 1599. At the synod the Malabar
now called the “new party,” accepted Jacobitism and the
liturgy was changed. The anaphoras of Theodore of Mop-
Syro-Antiochean rite, and from them descend the Malankara
suestia (c. 350–428 CE) and of Nestorius (d. c. 451 CE) were
Catholics. Attempts at reunion made by Mar Thomas IV
suppressed; the formula “mother of God” was introduced
and Mar Thomas V in the early eighteenth century were
wherever “mother of Christ” was discovered; the calendar of
fruitless. On September 20, 1930, Mar Ivanios George
saints was rejected; and many Latin practices were intro-
Thomas Panickerveetil (1882–1930), metropolitan of the
duced into the eucharistic liturgy and other sacramental rites.
Bethany congregation of Jacobite monks, Mar Theophilos
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9466
UNIFICATION CHURCH
James Abraham Kalapurakal (1891–1956), bishop of Tiru-
During the movement’s early days in Korea it met with
varur, and their whole community signed a union agreement
considerable opposition from both the established churches
with Rome. These Malankar Catholics retain the West Syri-
and government officials. Moon was imprisoned several
an liturgy but use the native dialect of Malayalam as their
times, and at one point spent two and a half years in a Com-
liturgical language.
munist labor camp. In the late 1950s Unification missiona-
ries went to Japan and the West, but it was not until the early
SEE ALSO Schism, article on Christian Schism.
1970s, when Moon himself moved to the United States, that
the movement became known to more than a handful of
BIBLIOGRAPHY
Westerners. Over the next ten years, however, Moon’s name
For an honest assessment of contemporary difficulties with Unia-
became a household word as he spoke on lecture tours and
tism see Robert Taft’s “The Problem of ‘Uniatism’ and the
at large rallies, and hosted leading academics at international
‘Healing of Memories’: Anamnesis, Not Amnesia,” Logos: A
conferences and local and national dignitaries at lavish din-
Journal of Eastern Christian Studies 41–42 (2000–2001):
ners. The movement also received considerable attention by
155–196. A good historical survey is Robert Roberson’s The
supporting U.S. president Richard Nixon during the Water-
Eastern Christian Churches: A Brief Survey (Rome, 1999). An
gate crisis.
in-depth study of the Slavic unions is Oscar Halecki’s From
Florence to Brest, 1439–1596 (Rome, 1958), in which the
Several valuable properties (including the New Yorker
Polish historian works almost exclusively with primary
Hotel and the Tiffany building in Manhattan) were acquired
sources to debunk some established positions about the mo-
by the organization. Businesses affiliated with the movement
tives of those who sought union. A good case study of an in-
(including fishing concerns and ginseng production compa-
dividual union is Michael Lacko’s The Union of Uzˇhorod
(Cleveland, Ohio, 1966). For a good treatment of Subcar-
nies) appeared to prosper. Cultural activities (including the
pathian nationalism, politics, and intellectual life see Paul
Little Angels dance troupe, the Go World Brass Band, and
Robert Magocsi’s The Shaping of a National Identity: Subcar-
the New Hope Singers) flourished. The Unification Theo-
pathian Rus D, 1848–1948 (Cambridge, Mass., 1978). A
logical Seminary was established in Barrytown, New York,
modern treatment of the complexities of Ukrainian national-
in 1975, Sun Moon University appeared in Korea (1993),
ism and religion is Serhii Plokhy and Frank E. Sysyn’s Reli-
and the University of Bridgeport, Connecticut, which had
gion and Nation in Modern Ukraine (Edmonton and Toron-
been founded in 1927 as the Junior College of Connecticut,
to, Canada, 2003).
was rescued from financial disaster by the Professors’ World
THOMAS F. SABLE (1987 AND 2005)
Peace Academy, an organization created and supported by
Moon, in 1992. Newspapers and other publications, includ-
ing the Washington Times (in 1982), were launched in
Tokyo, New York, Latin America, and elsewhere.
UNIFICATION CHURCH. The Unification
Church is a messianic, millenarian religion, dedicated to the
Clean-shaven, well-groomed Unificationists became a
goal of restoring the kingdom of heaven on earth. It was
familiar sight on the streets of North America and Europe,
founded in Korea in 1954 by the Reverend Sun Myung
selling candles, candy, cut flowers, potted plants, Unification
Moon (b. 1920) as the Holy Spirit Association for the Unifi-
literature—and the Unification Church itself. Those who
cation of World Christianity (HSA-UWC). Within a quarter
joined as full-time members in the 1970s and 1980s were
of a century it had become one of the best known and con-
disproportionately white, middle-class people in their early
troversial of the contemporary wave of new religious move-
twenties. As in Japan, they lived in communal centers, but
ments. In Korea it is known as the Tong Il movement; in
by the early 1990s most grass-roots members had been sent
the West it has been referred to by various names such as the
to their hometowns, where (like the Korean members) they
Unified Family, or the Moon Organization; then, during the
tended to live as nuclear families, no longer working full-
1990s, it was reconceived as the Family Federation for World
time for Unification-related businesses.
Peace and Unification (FFWPU), with the Unification
Partly because of a high drop-out rate, the number of
Church being merely the religious arm of the movement.
fully committed members has always been considerably
However, despite their attempts to be rid of the label, the
lower than the media (or the movement itself) have suggest-
movement’s members continue to be widely known as
ed; indeed, there have never been, at any one time, many
“Moonies.”
more than 10,000 full-time members in the West, where the
HISTORY. Moon was born in what is now North Korea in
movement has not grown substantially since the 1970s, but
1920. He claims that on Easter Day 1936 Jesus appeared and
has come to rely on second-generation members to sustain
asked him to assume responsibility for the mission of estab-
its membership (although, following the fall of the Berlin
lishing God’s kingdom on earth. During the next two dec-
Wall in 1989, a modest number of new converts were re-
ades Moon is said to have communicated with various other
cruited in Eastern Europe and the former Soviet Union). In
religious leaders (such as Moses and the Buddha) and with
Asia, full-time membership is unlikely to have exceeded two
God himself. This resulted in a body of teachings eventually
or three times that number. There is, however, a considera-
published in English as the Divine Principle (1973).
bly larger category of people who express support for Unifi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UNIFICATION CHURCH
9467
cation beliefs and/or other aspects of the movement while,
believed—that he was that messiah, he and his wife being the
perhaps, maintaining allegiance to another religious tradi-
True Parents of all humanity.
tion. Indeed, with the passage of years, it has become increas-
Unification teachings now extend well beyond the Di-
ingly difficult to distinguish between core Unificationists
vine Principle. In particular, there has been the development
(rather like priests or monks) and those who are more or less
of what might be termed Moonology, which elaborates on the
loosely associated members of the wider Unification congre-
achievements of Moon and his immediate family, both on
gation. As with many new religions, the aging of converts
earth and in the spirit world. In 1993 Moon announced that
and the arrival of second and subsequent generations has
the first True Family had been established (by him and his
been accompanied by a tendency towards “denominational-
wife, children, and grandchildren) and that the world had
ization,” or general accommodation to the wider society with
entered the Completed Testament Age (CTA). In 1997
a lessening of sharp dichotomies between “them” and “us.”
Moon instituted a new tradition, Hoon Dok Hae, meaning
BELIEFS. Unification theology is one of the most compre-
to meet for reading and disccusion, enjoining members to
hensive among the contemporary new religions. The Divine
read, from 6:00 to 7:00 every morning, passages from his
Principle offers an interpretation of the Bible that, it is
speeches, which now constituted the basic scriptures for the
claimed, can unite all religions. God is portrayed as a person-
CTA. On the first day of each week, month, and year, and
al being who created the world according to a few universal
on the movement’s holy days, members take the Pledge, a
principles. All creation consists of positive and negative (male
short statement in which they vow allegiance to God and
and female) elements; these unite into larger units, which in
“True Parents” (Moon and his wife), but on May 5, 2004,
turn unite to form still larger wholes. Adam and Eve were
Moon announced the change from the “era before heaven”
created so God could have a loving “give-and-take” relation-
to the “era after the coming of heaven,” and, henceforth, the
ship with them. The original plan was that they should ma-
pledge services would be observed every eighth day. The
ture to a stage of perfection when they would be blessed in
most important Unification rites are the mass weddings,
marriage; their children and their children’s children would
known as Blessings. In the movement’s early days, members
populate a sinless world in complete harmony with God.
were “matched” with a partner suggested by Moon, and were
This, however, was not to be. The fall is interpreted not as
expected to practice celibacy before and for some time after
the result of eating an apple, but as the consequence of a dis-
the Blessing. By the mid-1990s, however, Blessings were ex-
obedience that involved the misuse of the most powerful of
tended to include millions of couples, many of whom did
all forces: love. The archangel Lucifer, whom God had en-
not attend the ceremony and had little awareness of their
trusted to look after Adam and Eve, became jealous of God’s
being associated with a Unification practice, let alone the
love for Adam and had a (spiritual) sexual relationship with
practice’s spiritual significance.
Eve. Eve then persuaded Adam to have a (physical) sexual
Moon has always spoken of a close relationship between
relationship with her. As a result of this premature union,
activities in this world and the spirit world, but the connec-
which was Lucifer-centered rather than God-centered, the
tion became increasingly pronounced with two revivalist
fallen nature, or original sin, of Adam and Eve has been
movements. First, several members claimed to have received
transmitted to subsequent generations, and the whole of his-
messages from Moon’s son, Heung Jin Nim, following his
tory can be seen as an attempt by God and man, especially
death in 1984; then, in the late 1980s, Moon’s family recog-
key figures in the Bible, to restore the world to the state origi-
nized his embodiment in a young Zimbabwean member. For
nally intended by God.
several months “Black Heung Jin Nim” enjoyed a privileged
Ultimately, restoration is possible only through the per-
position, traveling the world and meting out punishments
son of a messiah, who with his wife will perform the roles
to members who confessed to having strayed. Eventually,
in which Adam and Eve failed—that is, those of True Par-
however, he was denounced and returned to Africa, where
ents. They (and those whom they bless in marriage) will have
he started his own movement. Another Unificationist reviv-
children born without original sin. But for this to happen,
al, associated with Chung Pyung Lake in Korea, dates from
humankind has to create a foundation ready to receive the
the mid-1990s and involves the channeling of messages from
messiah. In practical terms this involves the concept of “in-
Mrs. Moon’s mother (and others in the spirit world). Mem-
demnity,” whereby a good, sacrificial deed can cancel “bad
bers are expected to attend forty-day workshops for healing,
debts” accumulated by a person or his ancestors. The role of
contact with the spirit world, and participation in ceremo-
the messiah is seen as an office filled by a man born of human
nies to liberate their ancestors. According to the Unification
parents, but free of original sin. Jesus was such a man, but,
Church, billions of couples have been Blessed in the spirit
largely through the fault of John the Baptist, he was mur-
world, and in 2003 advertisements appeared in major news-
dered before he had a chance to marry. Thus, he was able
papers containing testimonies from religious and political
to offer the world spiritual but not physical salvation through
leaders (including Moses, Jesus, Muh:ammad, Karl Marx, Pol
his death. Numerous parallels between the period before the
Pot, and John F. Kennedy) declaring Moon to be the True
time of Jesus and the past two millennia are believed to indi-
Parent of humanity.
cate that the present is the time of the second coming. In
CONTROVERSIES. Throughout the world, the Unification
1992 Moon publicly declared what his followers had long
Church has attracted considerable hostility from the media,
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9468
UNION, MYSTICAL
cult-awareness movements, several government bodies, and,
In the Shadow of the Moons: My Life in the Reverend Sun
indeed, the general public. Among the many accusations are
Myung Moon’s Family (Boston, 1998) is one of the most criti-
that it uses brainwashing or mind-control techniques to re-
cal exposés, and the 600-page volume 40 Years in America:
cruit and keep its members; that it breaks up families; that
An Intimate History of the Unification Movement 1959–1999
its leaders live in luxury while the rank and file are exploited
(New York, 2000), by Michael Inglis and Michael L. Mick-
and oppressed; that it manufactures armaments; that it is po-
ler, provides an extremely useful overview of public and in-
ternal developments from the church’s own perspective. Se-
litically right-wing and has had connections with the South
bastian Matczak’s Unificationism: A New Philosophy and
Korean intelligence agency (KCIA); that it is merely a front
World View (New York, 1982) provides a theological critique
for a seditious organization that is attempting to take over
and comparison with other thought systems. For sociological
the world and establish a theocracy with Moon at its head;
approaches, see John Lofland’s Doomsday Cult: A Study of
and that it violates tax and immigration laws. (In 1982 a fed-
Conversion, Proselytization, and Maintenance of Faith, enl. ed.
eral-court jury convicted Moon of conspiracy to evade taxes
(New York, 1977); David G. Bromley and Anson D. Shupe
and sentenced him to eighteen months’ imprisonment.)
Jr.’s “Moonies” in America: Cult, Church and Crusade (Bever-
Other controversies have surrounded the financial situation
ly Hills, Calif., 1979); and Eileen Barker’s The Making of a
of Unification-related businesses and the church’s attempt to
Moonie: Choice or Brainwashing? (Oxford, 1984). Massimo
establish a large community, New Hope East Garden, in
Introvigne’s slim volume The Unification Church (Turin,
Italy and Salt Lake City, Utah, 2000) follows events up to
South America.
the end of the twentieth century.
Attacks on Moon’s personal behavior have come from
EILEEN BARKER (1987 AND 2005)
a variety of sources. In 1993 an early member, Chung Hwa
Pak, published The Tragedy of the Six Marys, claiming that
Moon had frequently indulged in the sexual “restoration” of
the world by having sex with women who would then be ex-
UNION, MYSTICAL SEE MYSTICAL UNION IN
pected to have “restoring” sex with six men. In 1995, howev-
JUDAISM, CHRISTIANITY, AND ISLAM
er, Pak publicly retracted his account. Another book, pub-
lished in 1998 by Nansook Hong, the estranged wife of
Moon’s eldest son, described how her husband was addicted
UNITARIAN UNIVERSALIST ASSOCIA-
to hard drugs, committed adultery, and beat her while she
TION.
was pregnant. The book also mentioned Moon’s illegitimate
The Unitarian Universalist Association is a reli-
son and suggested that, far from presenting the ideal example
gious denomination that is the result of the 1961 merger of
of a God-centered family, the Moons seem to constitute an
the American Unitarian Association and the Universalist
uncommonly dysfunctional unit, with several of their chil-
Church of America. Those two denominations derived from
dren deserting the movement. The movement has vehement-
different backgrounds.
ly denied the criticisms leveled against it, expressing particu-
UNITARIANISM. Unitarianism is a religious view that was or-
lar concern where such accusations have been used to justify
ganized in institutional form in Poland, Transylvania, En-
kidnapping members to make them renounce their faith (al-
gland, and the United States. Its emergence is primarily the
though, apart from Japan, few countries continue this prac-
result of indigenous factors in each country. The separate
tice of “forcible deprogramming”). Except for the occasional,
movements had common characteristics: affirmations of the
short-lived exposé, the media and cult-watching organiza-
unity of God, the humanity of Jesus, and human religious
tions for the most part have lost interest in the movement
responsibility, and rejections of the doctrines of the Trinity,
as it has matured and become less high profile than it was
the divinity of Jesus, and human corruption or total depravi-
in the 1970s and 1980s.
ty. Formulations of these views differed in each country.
In Poland, disputes in the Polish Reformed Church in
BIBLIOGRAPHY
1555 led to a schism and the formation of the Minor Re-
Unification theology exists in various versions. Exposition of the
formed Church of Poland in 1565. The physician and theo-
Divine Principle (New York, 1996). There have been many
logian Giorgio Biandrata (1515–1588) encouraged Gregory
versions of this text, and this is the most recent version. Basi-
Paul, Martin Czechowic, Georg Schomann, and other lead-
cally the theology is the same, though stresses and presenta-
ers of the new movement in their views. A central communi-
tion vary. The first full translation into English from the Ko-
ty was founded at Racow in 1579. Fausto Sozzini (1539–
rean is Divine Principle, New York: Holy Spirit Association
1604), who came to Poland in that year, became the recog-
for the Unification of World Christianity, 1973. Moon has
nized leader of the Polish Brethren, who adopted his name
not actually penned any of the versions; they were taken
by calling themselves Socinians. Sozzini’s theology empha-
down by his disciples from his talks/sermons and later pli-
shed/translated/interpreted by other Unificationists. English
sized prayer to Christ, as the man whom God resurrected and
version is is accessible at http://www.unification.net/dp96.
to whom God gave all power in heaven and earth over the
Numerous books, mostly partisan, have been written by
church. The Lithuanian Brethren, a sister group led by
members and close associates of the movement, ex-
Simon Budny, were nonadorantist in theology, which meant
Unifications, and conservative Christians; Nansook Hong’s
they rejected prayer to Christ. The Polish and Lithuanian
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UNITARIAN UNIVERSALIST ASSOCIATION
9469
movements flourished primarily from 1580 to 1620. Roman
English Unitarian congregation. Joseph Priestley (1733–
Catholic opposition resulted in the destruction of the Socini-
1804) was an outstanding Unitarian leader whose scriptural
ans’ famed school and printing press in Racow in 1632 and
rationalism, materialist determinism, and humanitarian
finally in a legislative decree in 1658 that required the Socini-
Christology influenced many Unitarians. Richard Price
ans to become Roman Catholics or go into exile or be execut-
(1723–1791) emphasized free will in opposition to Priest-
ed. A few Socinian exiles found refuge with the Transylva-
ley’s determinism. Priestley and Thomas Belsham, Lindsey’s
nian Unitarians in Kolozsvár (present-day Cluj-Napoca).
successor at Essex Street Chapel, made a humanitarian
Christology the dominant view, driving out Arian views.
Ferenc Dávid (1510–1579) was the outstanding leader
of Transylvanian Unitarianism. Dávid converted from
The British and Foreign Unitarian Association, founded
Roman Catholicism to Lutheranism after studying in Wit-
in 1825, was aided by the repeal of laws against nonconfor-
tenberg and then became a leader, with Biandrata’s encour-
mity and by parliamentary approval of the Dissenters’ Chap-
agement, of the Reformed Church in Transylvania after de-
els Act (1844), which assured Unitarians of their churches.
bates with Peter Mélius. Together, Dávid and Biandrata
published Two Books on the False and True Knowledge of the
James Martineau (1805–1900), who exercised great in-
One God the Father, of the Son, and of the Holy Spirit in 1568,
fluence among English Unitarians, challenged Priestley’s the-
an antitrinitarian book that contained Lelio Sozzini’s inter-
ology with his emphases on ethics and intuition. Martineau,
pretation of the prologue to John’s gospel. Sozzini, an uncle
who desired comprehension in a national liberal church, pre-
of Fausto Sozzini, denied that Christ’s person was that of the
ferred the name Free Christian to Unitarian. In 1928, En-
cosmological Logos.
glish Unitarian denominationalists and those who were in-
fluenced by Martineau’s Free Christian views united to form
In 1568 John Sigismund, the Unitarian king of Transyl-
the General Assembly of Unitarian and Free Christian
vania, granted religious freedom to Catholics, Lutherans,
Churches. The Non-Subscribing Presbyterian Church of Ire-
members of the Reformed church, and Unitarians. (The
land, which derives from the influence of Thomas Emlyn
name Unitarian gradually came into use after debates at
(1633–1741), and some Welsh and Scottish churches, are
Gyulafehérvár in 1568 and at Nagyvárad in 1569.) The
different expressions of English Unitarianism.
Transylvanian diet (legislature) gave these four Received Re-
ligions constitutional recognition in 1571, shortly before
American Unitarianism gradually emerged during the
Sigismund’s death. The next king, Stephen Báthory, forbade
eighteenth century within Congregationalism, largely be-
innovations, that is, religious beliefs that were different from
cause of the influence of Arminian theology, which stressed
those that had prevailed under Sigismund. Dávid became in-
the human capacity to respond to grace, and Arminian
creasingly insistent about his nonadorantist Christology, but
Christology. This gradual development resulted in conflicts
his view was an innovation, which could endanger legal pro-
that culminated in the appointment of a liberal, Henry
tection of the Unitarian church. Therefore Biandrata cooper-
Ware, as Hollis Professor of Divinity at Harvard College in
ated in the arrest, trial, and imprisonment of Dávid in 1579,
1805. The liberals were accused of covertly agreeing with
and Dávid died that year in prison. His nonadorantist theol-
Belsham’s humanitarian Christology. Boston minister Wil-
ogy eventually prevailed. The Transylvanian Unitarians still
liam Ellery Channing (1780–1842) replied that, instead,
survive in Romania and Hungary.
most of the liberal ministers were Arians, for they believed
In England, John Biddle (1615–1662) published
that Christ’s character included ethical, intellectual, and
Twelve Arguments Drawn Out of the Scripture (1647) and
emotional perfection, and that he was subordinate to God.
other works that based Unitarian beliefs on New Testament
Channing’s famous Baltimore sermon “Unitarian
texts. Thomas Firmin and others spread Biddle’s views. Uni-
Christianity” (1819) gave the liberals a coherent theological
tarians were excluded from the protection of the Act of Tol-
view that embraced assertions of the unity and moral perfec-
eration (1689), but their views lived on both in the Church
tion of God; of the unity of Jesus Christ, his inferiority to
of England and among Dissenting churches in the form of
God, and his mediatorial mission; and of human moral re-
an Arian Christology, which was named after the theologian
sponsibility. The American Unitarian Association (AUA), an
Arius (c. 256–336), who maintained the Son was inferior to
association of individuals, not of churches, was organized in
the Father, placing the Son among created things. When
1825. Ralph Waldo Emerson, in his Cambridge Divinity
Dissenting ministers met at the Salters’ Hall in London in
School address (1838), and Theodore Parker in his sermon
1719, they split into two groups. One group insisted on
“The Transient and Permanent in Christianity” (1841),
agreement with confessional statements, the other group re-
challenged the prevailing Unitarian emphasis on the authori-
quired only the use of biblical terms and conformity with
ty of rationally interpreted scripture. These addresses initiat-
biblical views. Members of the latter group and their congre-
ed a controversy over Transcendentalism within Unitarian-
gations gradually moved toward Unitarian views.
ism. Parker has influenced many Unitarians as an exemplar
Theophilus Lindsey (1723–1808) opposed the Anglican
of public ministry, for he expressed his theology in outspo-
church’s creedal restrictions, left that church’s ministry, and
ken sermons on social and economic issues, ceaseless efforts
founded Essex Street Chapel in London in 1774, the first
for social reform, and a willingness to disobey the Fugitive
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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UNITARIAN UNIVERSALIST ASSOCIATION
Slave Act of 1850, which he regarded as immoral, in obedi-
migrated to Pennsylvania in the eighteenth century. George
ence to a higher moral law.
de Benneville (1703–1793), who moved to Pennsylvania in
1741, maintained contacts with different groups in colonial
Henry Whitney Bellows led the effort to organize the
Pennsylvania whose members affirmed Universalism and
National Conference of Unitarian Churches (an association
thus prepared the way for Universalism’s later growth in
of churches) in 1865. The preamble to the constitution was
America.
almost a Christian creed, so Francis Ellingwood Abbot and
others withdrew in protest and formed the Free Religious As-
James Relly (1720–1778) left George Whitefield’s
sociation in 1867. In 1886 in the Western Unitarian Confer-
movement in England in 1750. He wrote Union, or A Trea-
ence, a regional organization founded in 1852, a similar con-
tise of the Consanguinity and Affinity between Christ and His
troversy emerged over whether the conference should be
Church (1759), in which he argued that a result of the indis-
limited to those who accepted a Christian, theistic religious
soluble union of Christ with his people is that there is no
belief. William Channing Gannett wrote a nonbinding state-
guilt and punishment for sins because Christ bore both the
ment, “Things Commonly Believed among Us,” which was
guilt and the punishment. All humans are among the elect,
adopted in the Western Conference in 1887. In 1894 the
for whom Christ suffered. John Murray (1741–1815)
National Conference revised its constitution in a manner
brought Relly’s universalized variation of Calvinist theology
that enabled many members of the Free Religious Associa-
to New England in 1770. He became minister of the first
tion to rejoin the conference. In 1925 the National Confer-
Universalist congregation in America at Gloucester, Massa-
ence, which had been renamed the General Conference, was
chusetts, in 1780.
merged with the AUA.
Elhanan Winchester (1751–1797), a Baptist minister,
In the early twentieth century, religious humanism ap-
was converted to Universalism by The Everlasting Gospel and
peared within Unitarianism under the leadership of John
by his friend de Benneville. Winchester argued in The Uni-
Dietrich and Curtis Reese, who were among those who
versal Restoration . . . (1794) that future punishment is both
signed the Humanist Manifesto (1933). A serious decline
finite and remedial in nature, to be followed by the ultimate
among the Unitarian churches during the depression led to
reconciliation of all, even of the devil and his angels, with
the creation of a denominational Commission on Appraisal
God.
(1934–1936), whose chair, Frederick May Eliot, reluctantly
agreed to become president of the AUA. Eliot’s leadership
Individuals in several European countries affirmed Uni-
revived the movement.
versalism, but they founded no effective organizations. In
England, however, Universalism survived within Unitarian-
UNIVERSALISM. Universalism is a religious view that affirms
ism after Winchester converted William Vidler (1758–
the ultimate salvation of all humans. In some formulations,
1816), a General Baptist minister, to Universalism. Vidler
that has meant the ultimate reconciliation of all, even Satan,
succeeded Winchester as minister of Parliament Court
with God. Acts 3:21 is one of the scriptural bases for the be-
Chapel, London, and then became, also, a Unitarian, togeth-
lief that some Universalists have in a universal restoration
er with some members of his congregation. This congrega-
(Gr., apokatastasis). Modern Universalism derives from radi-
tion and other English Unitarian congregations soon con-
cal Pietism and from dissenters from the Baptist and Congre-
tained as members former General Baptists and other
gational traditions.
persons who held universalist views.
In 1681, Jane Leade (1624–1704) became the recog-
The institutional growth of Universalism was to be in
nized leader of a Philadelphian Society of Pietists in London.
America, where Hosea Ballou (1771–1852) wrote A Treatise
The group’s name came from the sixth church mentioned
on Atonement . . . (1805), which made him the movement’s
in Revelation 3:7–13. In Germany, Johann Wilhelm Peter-
preeminent authority in the nineteenth century. Ballou ar-
sen, a follower of the founder of Pietism, Philipp Jakob
gued that sin is finite in nature, that its effects are completely
Spener, became a convinced chiliast, anticipating the reign
experienced in this life, and that therefore all will be saved.
of Christ after his second coming. Petersen led a group of
He rejected the doctrine of the Trinity and affirmed an Arian
German Philadelphian pietists. He reinterpreted Leade’s
view of Christ. These views were soon widely accepted by
views, gave them scriptural foundations, and published his
American Universalists.
reinterpretation in The Mystery of the Restoration of All Things
(2 vols., 1700–1710). Volume 1 contains a small treatise by
In 1803 at Winchester, New Hampshire, the General
one of Petersen’s disciples, Georg Klein-Nicolai, under the
Convention of Universalists in the New England States
pseudonym Paul Siegvolck. This effective treatise was re-
adopted a statement of agreement that is referred to as the
printed frequently, for both in the original German, Das von
Winchester Profession. The wording of the document em-
Jesu Christo . . . Evangelium . . . , and in English transla-
braced the varied Universalist views of the time. Between
tion, The Everlasting Gospel . . . , it converted many people
1831 and 1841, a temporary schism occurred when believers
to Universalism. The title was taken from Revelation 14:6.
in finite, future punishment founded the Massachusetts As-
Groups of German Philadelphian Pietists and people from
sociation of Universal Restorationists in opposition to Bal-
other groups took copies of the treatise with them when they
lou’s view. By the end of the nineteenth century, restoration-
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UNITARIAN UNIVERSALIST ASSOCIATION
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ism was the predominant view, at the time characterized by
illumination, and dedication. The hymns and worship mate-
movements attempting to transcend the divisions of denomi-
rials contained in Hymns of the Spirit (1937), jointly pro-
nationalism and to restore Christianity. In 1870 the Univer-
duced by Unitarian and Universalist commissions on hymns
salist General Convention approved a resolution that re-
and services, were predominantly liberal Christian in charac-
quired the Winchester Profession to be interpreted so as to
ter, with some expressions of religious humanism. Hymns for
affirm the authority of scripture and the lordship of Jesus
the Celebration of Life (1964), which was prepared by a new
Christ. This creedal period ended in 1899, when the restric-
commission after the merger of the two denominations, con-
tions were rescinded and a noncreedal statement was adopted
tained an increased proportion of materials expressive of reli-
in Boston. A revised noncreedal Bond of Fellowship, known
gious humanism, particularly through the hymns and read-
as the Washington Profession, was adopted in 1935 and re-
ings of Kenneth L. Patton, who portrayed humanist worship
vised in 1953.
in A Religion for One World: Art and Symbols for a Universal
Religion (1964) and Services and Songs for the Celebration of
Clarence Skinner (1881–1949), dean of Crane Theo-
Life (1967). In 1980 the UUA’s Commission on Common
logical School, was the leading spokesperson for Universalists
Worship continued the task of the preceding commissions,
in the twentieth century. His influence and that of others led
that of providing materials that will enable people holding
to a reinterpretation of Universalism as focused on the uni-
widely differing theological views to worship together.
ties and universals of human life rather than on an endless
life after death. Thus many Universalists no longer hold a su-
The UUA is one of forty-nine member groups of the
pernatural worldview.
International Association for Religious Freedom. In 2002,
adult membership in the UUA, including those in the affili-
THE UNITARIAN UNIVERSALISTS. Sporadic contacts between
ated Canadian Unitarian Council, totaled about 220,000 in
the Unitarians and the Universalists in the nineteenth and
1,051 churches and fellowships.
early twentieth centuries were followed in 1953 by organiza-
tion of the Council of Liberal Churches (Universalist-
SEE ALSO Emerson, Ralph Waldo; Sozzini, Fausto Pavolo.
Unitarian). Cooperation in this council’s departmental pro-
grams prepared the way for the churches’ merger in 1961
BIBLIOGRAPHY
into the Unitarian Universalist Association (UUA), of which
The basic history of Unitarianism can be found in Earl Morse
Dana McLean Greeley became the first president.
Wilbur’s A History of Unitarianism: Socinianism and Its Ante-
cedents (Cambridge, Mass., 1945) and A History of Unitari-
The churches and fellowships of the UUA are primarily
anism in Transylvania, England, and America (Boston, 1952).
located in the United States and Canada. (There are a small
An important companion volume for the seventeenth-
number of fellowships in other countries in Central and
century period is The Polish Brethren: Documentation of the
South America, Europe, Africa, and Asia.) Ministers and
History and Thought of Unitarianism in the Polish-Lithuanian
ministers of religious education who are granted associate or
Commonwealth and in the Diaspora, 1601–1685, 2 vols.,
full professional fellowship are required to have completed
translated and edited by George H. Williams (Missoula,
training at a theological school or through a supervised pro-
Mont., 1980). The English Presbyterians: From Elizabethan
gram of independent study. The UUA follows the practice
Puritanism to Modern Unitarianism, by C. Gordan Bolam,
of congregational ordination.
Jeremy Goring, H. L. Short, and Roger Thomas (London,
1968), is an illuminating description of English Unitarian-
Unitarian Universalists hold a wide variety of religious
ism. The Beginnings of Unitarianism in America by Conrad
views, including liberal Christianity, naturalistic theism,
Wright (Boston, 1955) gives a precise analysis of theological
mysticism, religious humanism, scientific theology, and aspi-
issues in the eighteenth century. Wilbur’s few chapters on
rations toward a universal religion. They emphasize such val-
American Unitarianism have been supplemented by A
ues as human dignity, freedom of religious belief, the use of
Stream of Light: A Sesquicentennial History of American Uni-
tarianism, edited by Conrad Wright (Boston, 1975).
reason in formulating religious beliefs, and the expression of
such beliefs in movements for social reform.
Universalism in America, 2 vols. (Boston, 1884–1886), by Richard
Eddy, had been the basic history for nearly a century, until
The theological diversity that characterizes Unitarian
publication of the two-volume work by Russell E. Miller,
Universalists is expressed in worship that varies greatly from
The Larger Hope, vol. 1, The First Century of the Universalist
congregation to congregation, ranging from structured litur-
Church in America, 1770–1870 (Boston, 1979) and vol. 2,
gy to thematic or sermon-centered emphases. Von Ogden
The Second Century of the Universalist Church in America,
Vogt (1879–1964), minister of the First Unitarian Society
1870–1970 (Boston, 1986). Ernest Cassara edited a selection
of Chicago, contributed the view that worship, as the cele-
of basic source documents, Universalism in America: A Docu-
mentary History (Boston, 1971). Charlotte Irwin provided a
bration of life, is the central discipline of religion. His books
useful description of the European background of American
Art and Religion (1921), Modern Worship (1927), and The
Universalism in “Pietist Origins of American Universalism”
Primacy of Worship (1958) led many religious liberals to
(M.A. thesis, Tufts University, 1966). The original theologi-
modify thematic or sermon-centered emphases in the direc-
cal interpretation by George H. Williams in American Uni-
tion of patterns of worship that express basic communal reli-
versalism: A Bicentennial Historical Essay (Boston, 1971) is an
gious experiences: attention or vision, humility, exaltation,
important contribution. Another study of the merged de-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9472
UNITY
nominations is David Robinson’s The Unitarians and the
Unity is represented by two major corporate bodies,
Universalists (Westport, Conn., 1985).
Unity School of Christianity, located at Unity Village, Mis-
New Sources
souri (just outside Kansas City), and the Association of Unity
Ross, Warren. The Premise and the Promise: The Story of the Uni-
Churches in nearby Lee’s Summit. The two groups are inde-
tarian Universalist Association. Boston, 2001.
pendent but work in harmony with one another. Unity
School, which was originally founded by the Fillmores, pub-
JOHN C. GODBEY (1987)
Revised Bibliography
lishes religious books and periodicals, serves as a retreat and
education center, and operates the movement’s prayer and
healing ministry (Silent Unity, the successor of the Society
for Silent Help). Governance of the school is vested in a
UNITY is the largest movement in the New Thought tra-
board of directors, with a president and chief executive offi-
dition and shares New Thought’s formative influences and
cer holding senior executive authority. From its inception to
general worldview. Founded in Kansas City, Missouri, by
the early twentieth century, members of the Fillmore family
Myrtle Fillmore (1845–1931) and Charles Fillmore (1854–
have served as president of Unity School, with Connie Fill-
1948), a married couple, Unity is the second oldest and most
more Bazzy, the founders’ great-granddaughter, being the
distinctly Christian community within New Thought. The
last member of the Fillmore family to hold the office.
impetus to the formation of Unity was Myrtle Fillmore’s re-
covery from tuberculosis through the use of mental healing
The Association of Unity Churches, a successor to the
rituals.
earlier Unity Ministers’ Association, was established as an in-
The founding of the movement occurred in 1889, one
dependent corporation in 1966. The association is responsi-
year after Myrtle Fillmore pronounced herself healed. The
ble for management and direction of the vast majority of the
first venture for Unity, the periodical Modern Thought, began
movement’s congregations, supervising ministerial educa-
publication in 1889, and in 1890 the movement’s original
tion, granting ordinations, sanctioning churches, and assist-
prayer ministry was established—The Society of Silent Help.
ing in the placement of ministers. The association is gov-
In 1891 the name Unity was given to the Fillmores’ enter-
erned by a board of trustees that is elected by representatives
prise, and the couple began publishing a new periodical,
from member churches, regional organizations, and the
Unity, whose masthead bore what would become the tradi-
board itself. Senior executive authority is vested in a presi-
tional symbol for the movement, a winged globe. Concur-
dent and chief executive officer.
rent with the initiation of the movement, the Fillmores stud-
In the 1990s, two Unity organizations emerged, inde-
ied with New Thought founder, Emma Curtis Hopkins
pendent of and in some tension with Unity School and the
(1849–1925), who had established a Christian Science min-
association—the Unity-Progressive Council and the Federa-
istry and seminary in Chicago, which was independent of the
tion of Independent Unity Churches. A related organization,
Boston-based religion of Mary Baker Eddy (1821–1910). Of
the Universal Foundation for Better Living, bases its teach-
the various influences on the Fillmores’ religious develop-
ings on the works of the Fillmores, although it affirms no for-
ment (e.g., Spiritualism, Veda¯nta, New England Transcen-
mal linkage with the Unity movement.
dentalism), Hopkins’s teachings were the most significant.
The movement’s first formal institutional expression
Important to Unity has been its publishing enterprise.
was the Unity Society of Practical Christianity (1903), and
Although all of Charles Fillmore’s books have remained in
in 1906 Unity ordained its first ministers—including Myrtle
print, during the latter part of the twentieth century, Unity
and Charles Fillmore. In harmony with the practice initiated
School began to reduce its list of titles, eliminating some of
by Hopkins and consistent with all other New Thought
the movement’s classic texts. Its periodical list has also
groups, from this time onward Unity has ordained women
shrunk, so that Unity now publishes only two magazines,
along with men and maintained a thoroughgoing egalitarian-
Unity and Daily Word. By far the more popular is Daily
ism with regard to all ecclesiastical roles and functions. It is
Word, a prayer manual for each day of the month, initiated
notable that the majority of Unity ministers are women,
in 1924. Another important periodical, Wee Wisdom, Unity’s
making it perhaps the largest Christian community in which
children’s magazine, was discontinued in 1991. First pub-
this is the case.
lished in 1893, it holds the record as the longest continuous-
ly published children’s periodical in American history.
When incorporated as the Unity School of Christianity
in 1914, Unity was a fully developed religious organization
In addition to the books by Myrtle and Charles Fill-
with an international outreach. Unity School’s withdrawal
more, Unity School has remained committed to the publica-
in 1922 from the International New Thought Alliance and
tion of Lessons in Truth, by H. Emilie Cady (1848–1941),
its initiation of its own annual convention the following year
a homeopathic physician and student of Hopkins. First ap-
accelerated Unity’s growth and development, soon making
pearing in serial form in Unity magazine in 1894, Lessons in
it the largest and most recognized movement within New
Truth is Unity’s all-time best-seller and the most widely cir-
Thought. It remains so to the present, with nearly one thou-
culated book in all of New Thought. Together with the
sand ministries in more than sixty countries worldwide.
works of Charles Fillmore (most notably Christian Healing
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UNITY
9473
[1909] and Metaphysical Bible Dictionary [1931]), Cady’s
derstandings of Unity insiders, supply helpful information
book is the primary source of Unity’s theological system.
not found elsewhere. The chapters on Unity in Charles Bra-
The system itself is largely consistent with the general
den’s Spirits in Rebellion (1963) and J. Stillson Judah’s The
principles of popular religious idealism found in New
History and Philosophy of the Metaphysical Movements in
Thought as a whole and, like other New Thought groups,
America (1967) remain the best critical sources on the
Unity allows individuals and affiliated churches significant
movement.
freedom in matters of belief and practice. Although decided-
SEE ALSO Fillmore, Charles and Myrtle; Hopkins, Emma
ly Christian in its terminology and self-affirmation, Unity
Curtis; New Thought Movement.
has no formal creed or doctrine. This has led to considerable
variation in teachings and practices within the movement,
BIBLIOGRAPHY
with some congregations de-emphasizing ideals and practices
Bach, Marcus. The Unity Way. Unity Village, Mo., 1982. Sympa-
deemed significant to the founders. This phenomena has be-
thetic but reliable sketch of Unity’s history and teachings.
come especially noticeable since the 1980s, largely due to the
Braden, Charles S. Spirits in Rebellion: The Rise and Development
appeal of various New Age teachings to Unity teachers and
of New Thought. Dallas, 1963. See chapter on Unity. Now
ministers. Despite the evident diversity in the movement and
dated, but highly detailed academic history of the movement
the appearance of nontraditional teachings in individual
from founding until the early 1960s.
churches, a number of beliefs can be specified as foundation-
D’Andrade, Hugh. Charles Fillmore: Herald of the New Age. New
al and generally accepted throughout the movement. De-
York, 1974. Sympathetic but reliable biography of Unity’s
rived from the works of Cady, Charles Fillmore, and other
cofounder. Contains historical information not found else-
representative thinkers, the more important beliefs are:
where.
deChant, Dell. “Myrtle Fillmore and Her Daughters: An Obser-
1. The ultimate basis of existence is mental (God as Mind),
vation and Analysis of the Role of Women in Unity.” In
and all material/physical conditions are secondary to
Women’s Leadership in Marginal Religions: Explorations out-
and products of mental states and conditions.
side the Mainstream, edited by Catherine Wessinger,
2. God (Divine Mind) is understood as supremely good
pp. 325–350. Urbana, Ill., 1993. Study of Unity’s theologi-
(the Good) and the ground of perfection.
cal supports for female leadership and the institutional
structures of the Unity School and Assocaition of Unity
3. God (the Good) is omnipresent and, as a consequence,
Churches.
evil (typically referred to as “error”) is unreality.
Freeman, James Dillet. The Story of Unity. Unity Village, Mo.,
4. As spiritual beings, humans are innately divine and one
1954. Sympathetic but reliable history of Unity by major
with God. This innate divinity is referred to variously
leader of the movement.
as the Christ within, the superconsciousness, and the
Harley, Gail M. “Unity in the Harmonial Family.” In America’s
Christ Mind.
Alternative Religions, edited by Timothy Miller. Albany,
N.Y., 1995.
5. Through realization of their innate divinity and appro-
Judah, J. Stillson. The History and Philosophy of the Metaphysical
priation of ideas in Divine Mind, humans are able to
Movements in America. Philadelphia, 1967. See chapter on
transform their lives, replacing negative states and con-
Unity. Now dated, but well-documented academic study of
ditions with positive ones.
the history and teachings of the movement from its founding
until the early 1960s. The most sustained critical analysis of
6. Individuals have full freedom in matters of personal
Unity’s teachings yet published.
belief.
Simmons, John K. “The Forgotten Contributions of Annie Rix
7. Christian doctrine, idealistically interpreted, is nor-
Militz to the Unity School of Christianity.” Nova Religio:
mative.
Journal of Alternative and Emergent Religions 2, no. 1 (1998):
76–92. Study of the impact of a major theorist from the
As with New Thought as a whole and individual movements
movement’s formative period.
within the tradition, Unity has received little scholarly atten-
tion, although it has received more attention than other New
Teener, James W. “Unity School of Christianity.” Ph.D. diss.,
University of Chicago, 1942. Hostile critique of the move-
Thought groups, such as Religious Science, Divine Science,
ment, but rich in historical data unavailable elsewhere.
and the Universal Foundation for Better Living. In this re-
Vahle, Neal. Torch-Bearer to Light the Way: The Life of Myrtle Fill-
gard, encyclopedias and general texts on new religious move-
more. Mill Valley, Calif., 1996. Although written for a Unity
ments and religion in the United States often have brief sec-
audience and largely informed by perceptions and under-
tions on Unity. There are no critical histories of the
standings of Unity insiders, supplies helpful information on
movement and no significant scholarly treatments of its the-
the cofounder that is not found elsewhere.
ology. Unity has published a biography of Myrtle Fillmore
Vahle, Neal. The Unity Movement: Its Evolution and Spiritual
and two nonscholarly histories, all of which are generally reli-
Teachings. Philadelphia, 2002. Although written for a Unity
able in terms of facts and data. In addition, a book by Hugh
audience and largely informed by perceptions and under-
D’Andrade and two by Neal Vahle, although written for a
standings of Unity insiders, offers a reliable study of the
Unity audience and largely informed by perceptions and un-
movement’s history.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9474
UNKULUNKULU
Witherspoon, Thomas E. Myrtle Fillmore: Mother of Unity. Unity
long to numerous ja¯t¯ıs at the bottom of the caste order, their
Village, Mo., 1977. Sympathetic but reliable biography of
low position deriving from the belief that they embody ex-
Unity’s cofounder. Contains historical information not
treme impurity. Throughout the twentieth century, consti-
found elsewhere.
tutional categories such as “depressed classes” and “scheduled
GAIL M. HARLEY (2005)
castes” and the term harijan (“people of god”), coined by the
DELL DECHANT (2005)
nationalist leader Mohandas Gandhi, have all been widely
used to refer to untouchable communities in nonprejudicial
ways. The practice of untouchablity was legally abolished in
UNKULUNKULU is a mythic figure among the Zulu
1948, but the disabilities suffered and discrimination faced
people, a large ethnic group in South Africa. Properly speak-
by untouchable individuals and groups have been only par-
ing, uNkulunkulu, a name meaning “the old, old one,” is not
tially mitigated and have at the same time acquired new
a deity (the Zulu had a weakly developed pantheon) but is
shapes in independent India. Strong links between their reli-
rather the “first man.” One oral tradition identifies uN-
gious and social subordination and their widespread poverty
kulunkulu as a man and a woman (often identified as uTh-
and economic exploitation make untouchables some of the
langa), but the common myth holds that uNkulunkulu is the
most disadvantaged groups in South Asia. Furthermore, the
first man. He appeared, or was created, by the “breaking off”
lowly position of the untouchables under Hinduism also ex-
of reeds—it is said of him that he “came out of, or broke off
tends to those sections of Christian, Muslim, Buddhist, and
from, a bed of reeds.” Thus, he is also called uMvelinqangi
Sikh populations that belonged to untouchable castes before
(“the first outcomer,” i. e., “the ancestor of all”). All humans
their conversion. It is thus entirely meaningful to speak of
are derived from him and from his design and plan. It is also
the religions of untouchables, especially if the term untouch-
thought by some that uNkulunkulu was merely an early an-
able is aligned with the word dalit (“broken” or “oppressed”),
cestral figure, understood as the ancestor of the Zulu, who
an untouchable self-description that challenges subordina-
was later believed—perhaps under the influence of Chris-
tion and reveals the limitations of ready separations between
tianity—to have been the creator. There is a possibility, from
religious-ritual patterns and social-political processes in any
the early sources, that uNkulunkulu was originally thought
discussion of untouchable castes.
of purely as an ancestor and human being.
DEBATES. Discussions of untouchable religions turn on
Because uNkulunkulu has no identifiable children there
charged questions. Does the extreme impurity of the un-
are no ancestral rites or specific families that can claim to be
touchables place them outside the caste order? Do they have
descended from him. Nonetheless, he created humanity and
entirely separate religions? Or, does the very ritual lowness
even gave humans their social institutions, such as marriage
of the untouchables hierarchically yet vitally link them to
and chieftainship. In addition, he gave them spirits (of the
other castes through an encompassing, consensual caste ide-
dead), diviners to discover the past and the future, and doc-
ology of purity and pollution? Is their religion, then, primari-
tors to treat various diseases.
ly a lower form of the one practiced by those higher up in
the caste order?
BIBLIOGRAPHY
Berglund, Axel-Ivar. Zulu Thought-Patterns and Symbolism. Lon-
When scholars such as Louis Dumont and Michael
don, 1976; Bloomington, Ind., 1989. A thoughtful and care-
Moffatt present the untouchables as primarily reproducing
ful work.
the homogeneous scheme of the ritual hierarchy of purity
Callaway, Henry. The Religious System of the Amazulu (1870). Re-
and pollution, they ignore the other matrices—for example,
print, Cape Town, 1970. One of the earliest, and best, intro-
of ritual kingship, colonial governance, non-Brahmanic reli-
ductions to Zulu religion.
gions, and the modern state—that shape caste. By focusing
Hexham, Irving, ed. Texts on Zulu Religion: Traditional Zulu Ideas
singularly on concepts of purity and pollution as cementing
About God. (Lewiston, N.Y., 1987).
the caste structure, they also externalize the terms of power
that inhere in caste, especially as these bear on untouchables.
New Sources
Berglund, Axel-Iver. Zulu Thought-Patterns and Symbolism.
Finally, such emphases underplay the creation within un-
Bloomington, Ind.,1989.
touchable religions of novel meanings and distinctive prac-
tices. Conversely, various scholarly and commonplace posi-
Hexham, Irving, ed. Texts on Zulu Religion: Traditional Zulu Ideas
about God. Lewiston, N. Y., 1987.
tions stressing the radical disjunction between untouchable
norms and practices and the caste order tend to overlook the
JAMES S. THAYER (1987)
manner in which the ideologies and relationships of caste not
Revised Bibliography
only exclude untouchable peoples from several processes but
also hierarchically include them in other arrangements. Fur-
thermore, they underplay the structures of hierarchy and au-
UNTOUCHABLES, RELIGIONS OF. At the be-
thority in the religions of untouchables themselves, reflected
ginning of the twenty-first century there are well over 160
in practices of endogamy and commensality, within various
million untouchables on the Indian subcontinent. They be-
occupations, and in interactions between untouchable castes.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UNTOUCHABLES, RELIGIONS OF
9475
Questions of untouchable religions do not admit singu-
Rather, precisely while participating in hierarchical relation-
lar solutions. Shaped as part of wider hierarchies and rela-
ships, untouchable actions and understandings have imbued
tionships of caste, which differ from one region to another,
their religions and caste formations with specific distinctions.
these religions show marked regional variations. Even within
The untouchable religions in all their staggering heterogenei-
a particular region, untouchable religions can display distinct
ty have emerged bound to the historical constitution of Hin-
expressions in different locales depending on the distribution
duism itself. They have been shaped through the wider inter-
of land ownership and on arrangements of authority among
play between Brahmanic hierarchical conventions that
castes that diverge across villages. Further, far from being
emphasize purity and pollution within a schema positing
static and timeless, untouchable religions have undergone
partial continuity between the human and the divine, and
profound changes as a part of historical processes such as
non-Brahmanic Hindu traditions that manifest rather differ-
state formation, agrarian and urban mutation, and political
ent, even contending, orientations toward hierarchy, impuri-
transformation. The salience of these religions is found pre-
ty, divinity, and worship.
cisely within such variety and change.
Specific untouchable castes have been intimately associ-
EXCLUSION AND INCLUSION. The extreme impurity attribut-
ated with particular divine beings—such as the village god-
ed to untouchables has denied them entry into Hindu tem-
dess of smallpox (called Mar:iamman in South India) and
ples and the services of the Bra¯hman: purohit (priest), has spa-
¯
Ma¯ta¯ Ma¯¯ı—who are figures that are also feared and venerat-
tially segregated their living quarters at the margins of rural
ed by other castes as part of non-Brahmanic Hindu tradi-
and urban settlements, and has excluded them from the sev-
tions. The worship and festivals of the lower castes, including
eral sets of ranked relationships, ritual exchanges, and social
untouchables, emphasize the use of blood sacrifice, liquor,
interactions among discrete castes that are at the core of quo-
possession, and different degrees and various forms of bodily
tidian life. Highly codified prescriptions, such as those re-
chastisements and self-inflicted tortures. All over India the
quiring deferential bodily movements and speech patterns in
untouchables have also venerated major Hindu gods such as
the presence of members of the upper castes, have governed
Vis:n:u and S´iva as well as the formless divine, through diverse
the appropriate conduct of untouchables in public spaces,
means—including mystic-ecstatic cults, esoteric adoration,
and have frequently forbidden them the use of various mark-
and ascetic piety—that engage and extend various modes of
ers of honor and status, from modes of transport such as ele-
bhakti (devotional) practice, often preestablished by non-
phants, horses, and palanquins to apparel and accessories
Brahmanic traditions. In each of these cases, untouchable re-
such as upper-body garments, turbans, and shoes. On the
ligions have displaced and interrogated—as well as negotiat-
other hand, the very impurity of the untouchables has in-
ed and negated—concepts of purity and impurity and estab-
cluded them in the practices and processes of caste. They
lished Hindu hierarchies, through ecstatic worship and
have exclusively performed the most defiling activities, en-
possession, sensuous devotion, and pilgrimage. Sometimes
tailing contact with severely polluting substances, in rural
and urban arenas: from the scavenging of waste to work with
this even entails religious, social, and gender inversions in
leather and labor on cremation grounds, and from cleaning
which men acquire female attributes and Bra¯hman:s become
toilets and clearing human excrement to rearing unclean ani-
impure.
mals such as pigs and removing the impure carcasses of sa-
Conversely, the origin myths of untouchables all over
cred cattle. Some of these tasks constitute the primary occu-
India have subverted and rejected upper-caste representa-
pations of discrete untouchable castes; others are undertaken
tions of their ritual lowness, yet they have done so by retain-
by untouchables who are more generally employed as agri-
ing notions of their own collective impurity. Throughout the
cultural or manual laborers. This situation simultaneously
nineteenth and twentieth centuries, untouchable communi-
defines the subordination of the untouchables and places
ties such as the Satna¯m¯ıs of central India have elaborated
them at the core of caste, because only they can perform such
new mythic traditions and distinctive caste/sect practices
pollution-ridden yet essential activities. Unsurprisingly, the
centered on their guru¯s and on a formless God, and have also
untouchable presence in the social order has been variously
constructed novel depictions of deities such as S´iva and
acknowledged: they have received customary dues, especially
Draupad¯ı. These innovative religious formations have ques-
on ritual occasions, for their caste-sanctioned duties and their
tioned and contested but also reworked and reiterated the
agricultural labor; their participation has been critical in cere-
forms of power encoded in caste schemes of purity and pollu-
monies celebrating the unity of the village; and their dei-
tion and kingly authority. Still other untouchable groups
ties—like those of “tribal” or indigenous groups that bear an
have participated in spirit cults, and while propitiating ances-
ambiguous relationship with the caste order—have been
tors and ghosts have both articulated and reproduced labor
feared as violent yet venerated as guardians of villages. Thus,
bondage and caste hierarchy. The worship among untouch-
untouchable religions have been integrally related both to
able castes of demonic figures and personal deities has negoti-
dalit exclusion from and dalit inclusion in caste hierarchies
ated yet accepted caste and ritual inequalities. This tension
and ritual processes.
can also been seen in the way untouchable religions have dis-
HIERARCHY, POWER, AND DISTINCTION. Untouchables
tinctively absorbed the attributes of Hindu worship (pu¯ja¯)
have not accepted and experienced such processes passively.
and sacrifice (bali) as well as the patterns of village festivals.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9476
UNTOUCHABLES, RELIGIONS OF
Furthermore, untouchable membership of sects such as the
Marriage and gender among the untouchables have
Kab¯ırpanth¯ıs, Da¯du¯panth¯ıs, Ravida¯s¯ıs, and Ra¯mna¯m¯ıs has
been characterized by practices common to most lower-
led to an elaboration of relatively egalitarian devotional prac-
status and varied middle-ranked castes, such as secondary
tices developed precisely through a broader acceptance of
marriages for men and women, widow remarriage, the pay-
caste divisions. While the untouchable religions have widely
ment of a bride price (rather than dowry), and women’s free-
expressed the distinctions of their own actions and under-
dom from the requirements of physical seclusion. Yet such
standings, these have generally been articulated in relation to
arrangements have been themselves embedded in wider pat-
the ritual authority encoded within Hindu hierarchies.
terns of patrilineal kinship in their regional manifestations.
This has meant that even though untouchable women have
Taken together, distinct yet overlapping tendencies
often possessed a degree of autonomy to negotiate hierarchi-
have characterized the untouchable religions. In each case,
cal relationships of kin and community and marriage(s) and
these religions have created their own forms of faith and
motherhood, and even though their physical labor has been
practice, which have variously negotiated and subverted caste
positively valued, practically and symbolically, they have
hierarchies. On the one hand, discrete dispositions of the un-
nonetheless not escaped the asymmetries of gender and caste
touchable religions have far exceeded an exclusive preoccupa-
and the inequalities of ritual and class. This is reflected in
tion with Brahmanic conventions of ritual hierarchy. On the
a multitude of ways, from widespread depictions of women
other hand, within the untouchable religions the unequal re-
as inherently engendering yet equally subverting the religious
lationships and ritual power at the core of caste have also
and social order to representations of the deviant sexuality
been differently reproduced, reworked, and reconfigured.
of untouchable women, and from the sexual and economic
These contradictory tendencies have defined the identities,
exploitation of untouchable women by upper-caste and so-
resistance, and solidarities of untouchables, as well as their
cially superior men to attempts at controlling their bodies
submission, vulnerability, and subordination. The distinct
and labor within their communities. Within these overlap-
dispositions of untouchable religions have, however, far ex-
ping and constraining contexts, the actions and desires of un-
ceeded an exclusive preoccupation with ritual hierarchy.
touchable women have left their mark on untouchable reli-
These faiths have been more concerned with the dalit strug-
gions and life-cycle rituals, as well as on wider gender
gle to achieve political and social power than with efforts to
arrangements and caste hierarchies.
improve the untouchable’s position within the ritual caste
system. At the same time, within the untouchable religions
BEYOND HINDUISM. Much of what has been said above con-
the unequal relationships and ritual power at the core of caste
cerning untouchable religions within Hinduism also holds
have been reproduced and reconfigured. Taken together,
for the other untouchables faiths. In principle, Christianity,
these contradictory tendencies have defined the identities, re-
Islam, and Sikhism should have no place for caste, but in
sistance, and solidarities of untouchables, as well as their sub-
practice caste divisions in South Asia have found particular
mission, vulnerability, and subordination.
configurations within these religions. Indian Islam refers not
so much to the varn:a distinctions of caste Hinduism, with
RITES AND GENDER. Among untouchable castes, rites of pas-
their constitutive concerns with purity and pollution, as to
sage associated with every life stage from birth to death sug-
the social separation between ashraf (well-born) and ajlaf
gest varying degrees of concern with ritual purity. Karin Ka-
(low-born) Muslims. High and low Muslims might worship
padia argues in S´iva and Her Sisters that among the
together in the mosque, but in relations of marriage, com-
untouchable Paraiyar caste in southern India the puberty rit-
mensality, and occupation they remain separate. Further,
uals occasioned by a girl’s first menstruation show marked
low-born Muslims who were converts from untouchable and
differences from the Brahmanic concern with the pollution
other lower castes have distinctively understood and prac-
and purification of the menstruating woman: instead such
ticed Islam, especially by vigorously participating in popular
rites involve quintessentially non-Brahmanic attempts to
religious traditions such as the cults of various saints whose
safeguard “the precious, distinctively female ability to create
veneration cuts across religions. The untouchables who be-
children” (1998, p. 93) and to symbolically construct fertility
came Sikh have created specific faiths that combine their un-
as sacred female power. The implication here is that pollu-
derstandings of the official doctrines and purity norms of
tion motifs are less important for the untouchables. In con-
Sikhism with popular practices of Hinduism and Islam.
trast, another account, focused on a specific Paraiyar woman
(see Viramma, Racine, and Racine), reveals more ambivalent
In the case of Indian Christianity, the Roman Catholic
and earthy orientations to purity and pollution and female
Church, with an extensive membership in southern India,
sexuality. It is not only that the untouchables’ elaborations
has historically accepted caste divisions, including their ex-
of purity/impurity and auspiciousness/inauspiciousness en-
pressions in endogamy and commensality, on the grounds
tail varied negotiations of shifting arrangements of caste and
that these are “social” rather than “religious” mores and insti-
power, but also that even when certain untouchable groups
tutions, and has traditionally provided entirely separate or
closely follow the rules governing purity and pollution—
spatially segregated services for their higher and lower caste
during rites of birth and death, for example—they do so by
constituents. Even though Protestant churches all over South
conjoining such observances with the distinctive symbols
Asia have opposed caste, the taint of impurity and its atten-
and practices of their own castes and sects.
dant discrimination have clung to their untouchable mem-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UNTOUCHABLES, RELIGIONS OF
9477
bers. Untouchable Christians have retained yet reworked
ism in 1935. When Ambedkar converted to Buddhism in
prior practices and wider principles of caste and worship and
1956, he was followed by a significant section of his own
ritual and kinship, creating distinct forms of untouchable
Mahar caste as well as by members of the Ja¯tav caste of north-
identity and indigenous Christianity—including novel rep-
ern India, resulting in a dalit Buddhism that has combined
resentations of Hindu and Christian divinities in which the
distinctive caste practices with the egalitarian emphases of
former can complement but also oppose the latter.
the new faith. Increased dalit resistance to upper-caste au-
HISTORY AND POLITICS. Historical transformations during
thority has also been seen in southern India, where it has
the colonial and postcolonial periods have profoundly
been strengthened by regional, non-Brahmanic political ini-
shaped untouchable religions. The coalescing of forms of
tiatives present since the early twentieth century. Political de-
British administration and indigenous authority from the
velopments emphasizing the role of the lower-castes after the
late eighteenth century and the emergence by the mid-
late 1970s have further extended such processes to North
nineteenth century of an agrarian order clearly characterized
India. Dalits in rural and urban areas have seized upon these
by discrete agricultural castes together served to distinctly de-
advances not only to participate in electoral politics but also
lineate untouchable groupings, and also led to their creation
to express their identities and articulate power relationships
of and conversion to new faiths. Such processes among the
in local and national arenas, and in so doing have defined
untouchables were further heightened from the 1860s
the changing contours of untouchable religions and caste
through the 1940s by the colonial state’s emphasis on caste
practices in contemporary India. At the same time, precisely
categories and religious communities in census enumeration
such dalit expressions have repeatedly led to violent higher-
and representative politics, by diverse non-Brahmanic move-
caste reprisals and have engendered a political reaction cen-
ments in western and southern India, and by an increase in
tered on ideologies of a homogeneous Hindu nation. The
Christian missionary activity that challenged upper-caste au-
gradual emergence in late colonial and independent India of
thority. In this wider context, the untouchables formed caste
a dalit middle-class through policies of affirmative action in
associations and joined movements that undertook internal
public education, government employment, and political of-
social reform. As they did so, they claimed a higher ritual sta-
fice has been accompanied, especially since the 1970s, by the
tus or contested their low position and pressed the state for
growth of a vigorous dalit consciousness and by creativity in
concessions in high school education, government jobs, and
literature and art drawing on experiences of widespread dis-
political office. Untouchables also converted to Christianity,
crimination and religious exclusion. This assertiveness con-
created distinctive forms of devotional worship, participated
tinues to be reflected in, for example, the claims of dalit
in the nationalist struggle, and initiated and endorsed move-
women, the terms of dalit Christian theology, and campaigns
ments to allow them entry into Hindu temples. Here the un-
for dalit human rights that draw parallels between the injus-
touchables’ questioning of upper-caste domination and the
tices of caste and the wounds of race, not only in South Asia
powerful affirmation of their identities were expressed as part
but also in the dalit diaspora. Today, as in the past, the reli-
of changing yet still relevant hierarchies of caste, religion, and
gions of untouchables play a central part in these varied ne-
politics.
gotiations of, interactions with, and challenges to ritual au-
thority, caste hierarchy, and political power.
Since the 1920s, political processes in which untouch-
ables have participated have crucially influenced their reli-
SEE ALSO Varn:a and Ja¯t¯ı.
gious and caste practices. The politics and legacy of B. R.
Ambedkar have played a key role here. Belonging to the large
BIBLIOGRAPHY
untouchable Mahar caste of western and central India, Am-
Bandyopadhyay, Sekhar. Caste, Protest, and Identity in Colonial
bedkar received a Ph.D. from Columbia University and en-
India: The Namasudras of Bengal, 1872–1947. London,
trance to the bar from Grey’s Inn, London, and served as
1997. A case study of a lower-caste movement in undivided
chairman of the drafting committee of the Indian constitu-
Bengal.
tion in the 1940s. Drawing on earlier devotional and non-
Clarke, Sathianathan. Dalits and Christianity: Subaltern Religion
Brahmanic traditions of religious dissent as well as on consti-
and Liberation Theology in India. New Delhi, 1998. An im-
tutional law and rationalist individualism, Ambedkar’s for-
portant work on dalit Christianity in contemporary India.
mulations on caste, Hinduism, and untouchable action were
Dangle, Arjun, ed. Poisoned Bread: Translations from Modern
directly opposed to the Gandhian perspective within Indian
Marathi Dalit Literature. Bombay, 1992.
nationalism, which condemned untouchability without re-
Deliege, Robert. The World of the “Untouchables”: Paraiyars of
nouncing the varn:a concept of caste. The political parties
Tamil Nadu. Delhi, 1997. An anthropological study of both
founded by Ambedkar were only partially successful and his
Christian and Hindu members of an untouchable caste in
demand that untouchables be recognized as a separate elec-
southern India.
torate drew wide criticism as a proposal that would divide
Dr. Babasaheb Ambedkar and His People. Dalit Website, avail-
both Hindus and the nation, but he nonetheless exerted sig-
able from http://www.ambedkar.org.
nificant political influence through arguing the position that
Dube, Saurabh. Untouchable Pasts: Religion, Identity, and Power
discrimination against untouchables constituted the very
among a Central Indian Community, 1780–1950. Albany,
core of caste—a position leading to his rejection of Hindu-
N.Y., 1998. An ethnographic history of the Satna¯m¯ıs, a nu-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9478
U NU
merically and politically significant untouchable caste/sect.
Moon, Vasant. Growing Up Untouchable in India: A Dalit Autobi-
The work discusses wider theoretical questions of Hinduism,
ography. Translated by Gail Omvedt. Introduction by Elea-
caste, gender, and power.
nor Zelliot. Lanham, Md., 2001. An account by a close asso-
Dube, Saurabh. Stitches on Time: Colonial Textures and Postcoloni-
ciate of B. R. Ambedkar.
al Tangles. Durham, N.C., 2004. Examines faith and prac-
Omvedt, Gail. Dalits and the Democratic Revolution: Dr. Ambed-
tice among untouchable converts to Christianity and gender
kar and the Dalit Movement in Colonial India. New Delhi,
and law among untouchable communities in central India.
1994. A historical study of dalit politics in twentieth century
Dumont, Louis. Homo Hierarchicus: The Caste System and Its Im-
western and southern India.
plications. Translated by Mark Sainsbury. London, 1970. An
Prashad, Vijay. Untouchable Freedom: A Social History of a Dalit
anthropological classic projecting untouchables as partici-
Community. New Delhi, 2000. Primarily discusses the urban
pants in a consensual ideology of purity and pollution.
Balmikis of North India in the late nineteenth and twentieth
Freeman, James M. Untouchable: An Indian Life History. Stanford,
centuries.
Calif., 1979. A rich life-historical account of a colorful dalit
Ram, Kalpana. Mukkuvar Women: Gender, Hegemony, and Capi-
man from Orissa, eastern India.
talist Transformation in a South Indian Fishing Community.
Ilaiah, Kancha. Why I Am Not a Hindu: A Sudra Critique of
Sydney, 1991. A feminist ethnography set among a marginal,
Hindutva Philososphy, Cuture, and Political Economy. Calcut-
low status, Catholic fishing community of Kerala in southern
ta, 1996. A provocative polemic against Hinduism and caste.
India. The work carries critical discussions of femininity and
Jaffrelot, Christophe. India’s Silent Revolution: The Rise of the Low
divinity and ritual and worship in both popular Catholic and
Castes in North Indian Politics. New York, 2002. A wide-
non-Brahmanic traditions.
ranging survey of lower-caste, including dalit, participation
Valmiki, Omprakash. Joothan: A Dalit’s Life. Translated by Arun
in electoral politics.
Prabha Mukherjee. New York, 2003. An autobiography of
Juergensmeyer, Mark. Religion as Social Vision: The Movement
a dalit writer from North India.
against Untouchability in Twentieth-Century Punjab. Berke-
Viramma, Josiane Racine, and Jean-Luc Racine. Viramma: Life of
ley, Calif., 1982. Discusses the untouchable Ad Dharm
a Dalit. Translated by Will Hobson. London, 1997. A richly
movement in North India.
textured life-history of a remarkable dalit woman from rural
Kapadia, Karin. S´iva and Her Sisters: Gender, Caste, and Class in
southern India.
Rural South India. Boulder, Colo., 1998. A feminist ethnog-
Zelliot, Eleanor. “Learning the Use of Political Means: The Ma-
raphy that explores the interplay between gender and power
hars of Maharashtra.” In Caste in Indian Politics, edited by
— including considerations of marriage, ritual, kinship, pos-
Rajni Kothari, pp. 29–69. New Delhi, 1970.
session, and reproduction — in a village in southern India
S
by examining the perspectives of both women and men of
AURABH DUBE (2005)
five castes, while especially focusing on the experiences of un-
touchable Pallar women.
Khare, R. S. The Untouchable as Himself: Ideology, Identity, and
U NU. U Nu’s life (1905–1995) extends over decades of
Pragmatism among the Lucknow Chamars. New York, 1984.
profound political and social change in Burma (Myanmar).
Discusses empirical and analytical issues relating to untouch-
He was a prominent member of the Thirty Comrades during
able ascetics and asceticism in North India.
the struggle for independence and played a historic role in
Lamb, Ramdas. Rapt in the Name: The Ramnamis, Ramnam, and
the country’s transformation from a British colony to an in-
Untouchable Religion in Central India. Albany, N.Y., 2002.
dependent nation-state. He served as Prime Minister of dem-
Lorenzen, David, ed. Bhakti Religion in North India: Community
ocratic Burma between 1948–1956, 1957–1958, and 1960–
Identity and Political Action. Albany, N.Y., 1995. Contains
1962. U Nu was a gifted politician, a deeply religious man,
several essays on different dimensions of lower-caste devo-
and a remarkable writer.
tional traditions.
L
Lynch, Owen M. The Politics of Untouchability: Social Mobility
IFE. U Nu’s politics and worldview reflected the values of
and Social Change in a City of India. New York, 1969. An
the early nationalist era in which he grew up. His father was
early and important study of religious, social, economic, and
a merchant in Wakema, a town in the delta region of Lower
political transformation among the dalit Ja¯tav caste in post-
Burma where he was active in the local chapters of the Young
Independence urban North India.
Men’s Buddhist Association (YMBA) and later in the Gener-
Mendelsohn, Oliver, and Marika Vicziany. The Untouchables:
al Council of Buddhist Associations (GCBA). These anti-
Subordination, Poverty, and the State in Modern India. Cam-
colonial organizations equated national identity with Bur-
bridge, U.K., 1998. An overview of the situation of the un-
mese language, culture, and Buddhism, and Nu’s father
touchables in contemporary India.
would consent only to enrolling his son at a local Anglo-
Moffatt, Michael. An Untouchable Community in South India:
vernacular government school. Unlike many of his political
Structure and Consensus. Princeton, N.J., 1979. An impor-
contemporaries, U Nu never studied abroad. He finished
tant ethnography that draws on Louis Dumont’s emphasis
high school in Rangoon and graduated from Rangoon Uni-
on the ideological consensus of purity and pollution to exam-
versity in 1929. For a number of years he taught English, En-
ine social relations and religious structure among an un-
glish history, and Burmese in the national school system.
touchable caste in a southern Indian village. The work con-
tains a valuable discussion of the debate on the relation of
By 1934, U Nu, now married to Daw Mya Yee, re-
untouchable castes to Hindu hierarchy.
turned to the capital to join the civil service, but soon decid-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
U NU
9479
ed to seek a law degree at Rangoon University. U Nu
site of important state rituals, including the veneration of the
emerged as a leader in the student strike of 1936, together
Buddha’s Tooth relic that had been temporarily conveyed
with Aung San and others in the anti-colonial elite who later
from Sri Lanka to Burma. Such diplomatic exchanges cele-
also gained prominent positions in the post-independence
brated Buddhist identity among some new Asian nations.
era. Like many of his peers, Nu adopted the anti-colonial
U Nu’s political career eclipsed when his policies failed
title Thakin (Master). He rose to leadership positions in the
to integrate ethnic minorities into the national community.
pre-war nationalist Dobama Asiayone and the post-war Anti-
His government further deteriorated under economic pres-
Fascist People’s Freedom League (AFPFL). In the aftermath
sures despite, or as his critics assert, because of, U Nu’s prac-
of Aung San’s murder, U Nu became the first Prime Minister
tice of and the state’s support for Buddhism. The political
of independent Burma in 1948. On several occasions, he
crisis escalated when he could not restrain demands by
withdrew from public life strategically to meditate and thus
monks to require Buddhist instruction in public schools and
force a favorable resolution of political struggles.
to prohibit ethnic minorities from offering equivalent reli-
Ethnic insurgencies, factionalism over the state’s role in
gious instruction. Ne Win’s coup d’etat in 1962 ended par-
religious education, and the constitutional amendment to es-
liamentary democracy and limited the role of Buddhism in
tablish Buddhism as Burma’s state religion led to Ne Win’s
the modern state until the 1980s.
final military takeover in 1962. Like the British in 1942, Ne
LITERATURE. Writing and translating literature into Bur-
Win imprisoned Nu from 1962–1966. In 1973 U Nu trav-
mese (e.g. Dale Carnegie’s How to Win Friends and Influence
eled to Thailand and then to exile in India. He was pardoned
People) was U Nu’s first passion in college. He soon gained
and returned to Burma in 1980 to oversee the new Pali text
a reputation as a gifted speech writer and orator, both talents
editions commissioned by the Mahasangha Nayaka Council.
that fostered his rise in politics. He authored plays, novels,
Following the popular uprising and the collapse of Ne Win’s
translations, political speeches, and essays on Buddhism. Al-
regime in 1988, U Nu established an interim government
though his written work is extensive, some of it has been
in a futile effort to regain political office. Ne Win’s successor
termed polemic, underscoring an intended message rather
regime, the State Law and Order Restoration Council
than an art form. His novel, Man, the Wolf of Man, empha-
(SLORC) placed U Nu under house arrest from 1989 until
sized personal themes, while his best known play, The People
1992. He passed away on February 14, 1995.
Win Through, focused on a communist insurrection and po-
litical rule by force as unmoral. He authored other plays like
POLITICAL VIEWS. A pragmatist about political ideologies
Converting the Elder Brother, a drama about political and per-
and a skilled negotiator, U Nu advocated democracy or the
sonal betrayal, and Thurya, an allegorical fable about political
Burmese Way to Socialism as exigencies dictated. His politics
corruption under colonialism. In Saturday’s Son, an autobio-
indicated a greater nexus to his Buddhist beliefs as he became
graphical novel, he recounted the turbulent events of his life
increasingly religious in his adult life. As early as his twenties,
until 1962. His religious writings primarily followed tradi-
he took vows to affirm his disciplined actions: to abstain
tionalist forms. In Buddhism: Theory and Practice he detailed
from liquor; to be faithful to his wife; to observe temporary
the moral and mental stages of meditation.
celibacy to effect political outcomes; and in 1948, to remain
sexually abstinent. He meditated daily for hours, observed
Throughout his life, U Nu’s religiosity encompassed
a vegetarian diet, and removed himself from his family’s af-
both modernist meditation and cosmological beliefs. In his
fairs. U Nu’s ascetic practices and charisma were significant
1987 inaugural speech for the Center for Burma Studies at
facets of his public persona.
Northern Illinois University, he affirmed the power local
spirit lords (nat) exert over worldly matters. U Nu was deeply
The inception of parliamentary governance in post-
committed to Buddhist practice as moral legitimation for
independent Burma coincided with millennial expectations
public office and employed religion to promote national cul-
of an imminent, powerful Buddhist ruler (cakkavatti) in the
ture and nation building. He achieved a prominent place
Therava¯da world where many believed that the second half
among charismatic statesmen in twentieth century Asia.
of the Buddha’s dispensation had begun. In popular Bur-
mese culture, U Nu was often seen as that future king or fu-
BIBLIOGRAPHY
ture Buddha. On the advice of Nehru, he promoted a pro-
Butwell, R. U Nu of Burma. Stanford, Calif., 1963; reprint 1969.
grammatic Buddhist revival (1947–1958) to further
Mendelson, M. E. Sangha and State in Burma, A Study of Monastic
nationalism. The revival was intended to secure world peace
Sectarianism and Leadership. Edited by J. P. Ferguson. Ithaca,
and progress, ensure the expansion of the state into tribal
N.Y., 1975.
areas, bring stability, and institute Buddhism as Burma’s
Nu, U. “Burma Looks Ahead.” Translation of selected speeches
state religion. It culminated in the construction of a religious
by the Honorable U Nu, Prime Minister of the Union of
complex, Kaba Aye Pagoda, to house the Buddhist canon
Burma, delivered on various occasions from 1951 to August
(tipitaka) and the convocation of the Sixth Therava¯da Bud-
4, 1952. Ministry of Information, Government of the Union
dhist Synod, Buddha Sasana Sanghayana (1954–1956) that
of Burma, 1953.
was modeled after earlier Buddhist councils, especially King
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Mindon’s Fifth Buddhist Council (1871). Kaba Aye was the
Conn., 1975.
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9480
UPANIS:ADS
Nu, U. Buddhism: Theory and Practice. Bangkok, 1983.
appears ubiquitously but that might well be characterized by
Nu, U. “Nats.” In Crossroads: Journal of Southeast Asian Studies,
the Adhya¯tma Upanis:ad’s assertion that “he is a free person
Vol. 4:1, Special Burma Studies Issue. Singapore, 1988. This
who through insight sees no distinction between his own self
speech was delivered on the occasion of the dedication of the
and brahman, and between brahman and the universe” and
Center for Burma Studies, Northern Illinois University, July
the Kat:ha Upanis:ad’s proclamation that, having compre-
30, 1987.
hended this identity, “one is released from the jaws of death”
Sarkisyanz, E. Buddhist Backgrounds of the Burmese Revolution.
(3.5).
The Hague, 1965.
The Upanis:ads were first put into written form in 1656
Smith, D. E. Religion and Politics in Burma. Princeton, 1965.
CE, when Sultan Dara Shakoh sponsored the translation of
J
fifty Upanis:ads from Sanskrit into Persian. In 1801–1802,
ULIANE SCHOBER (2005)
these Persian works were then translated into Latin by Ante-
quil du Perron, becoming the first, although poor, European
version. Since that time, all of the Upanis:ads have been ren-
UPANIS:ADS. The Upanis:ads are codified Sanskrit
dered into various Indian scripts, and the more important
philosophical speculations of varying lengths in both prose
or influential ones have been translated into virtually all of
and verse form, composed orally and set to memory mostly
the world’s major languages. The Upanis:ads stand as works
by anonymous South Asian sages, primarily in the classical
of monumental significance in the history of India and of the
and medieval periods. While the most important and influ-
world.
ential Vedic Upanis:ads date from the eighth to the fourth
CONNOTATIONS OF THE TERM UPANIS:AD. Built from the
centuries BCE, some lesser-known sectarian Upanis:ads appear
Sanskrit verbal root sad (“sit”) and the prefixes upa- and ni-
as late as the sixteenth century CE. Individually and as a
(“nearby”), the word upanis:ad represents the act of sitting at
whole, the Upanis:ads present insights and doctrines that
the feet of someone. The pedagogical tradition in which a
serve as the foundation for much of India’s philosophical
student in search of sacred knowledge sat on the ground in
thought.
front of a guru typifies, in part, the practices of the Vedic
Traditional South Asian teachings based on the
va¯naprasthas (“forest dwellers”) and sam:nya¯sins (“renun-
Upanis:ads have been called the Veda¯nta, the “end of the
ciants”) who had retired to forest retreats to meditate and
Veda,” for the Upanis:ads chronologically and formally set
study. The practice also appears in various Agamic and Tan-
the closure of the Vedic canon. Perhaps more to the point,
tric traditions, many of whose followers lived beyond the
Upanis:adic lessons are said to be the end of the Veda in that
boundaries of settled civilization, where they practiced yogic
they purport to present the “hidden meaning” or the “real
meditation under the guidance of a guru. Through combina-
message” of religious practice and thought.
tions of dialogues, monologues, questions and answers, rid-
dles, and speculative discourses, the student privately heard
The central teaching presented by the Upanis:ads as a
from the teacher secret lessons that had been passed down
whole centers on the notion that behind all of the spatial
through the generations of the sacred lineage. Such a “secret
swirl and temporal flux of the world as it is experienced by
lesson” was an upanis:ad. Isolated as a textual genre, the col-
the senses is a subtle, pervasive, timeless, and unchanging re-
lections of such secret teachings are known as the Upanis:ads.
ality that is identical to the undying essence of the human
being as well. The early Vedic Upanis:ads call this unified and
The term upanis:ad thus connotes an element of esoteri-
imperishable world soul brahman or a¯tman, the former ap-
cism. In fact, the Upanis:ads state explicitly that such lessons
plying more typically to the godhead and the latter signifying
are not intended for the general population: “Let none who
the correlative divine “self” residing at the deepest level of
has not maintained the vow think on this,” demands
one’s person. The theistic Upanis:ads teach that this brahman
Mun:d:aka Upanis:ad (3.12.11), and the Ra¯mapu¯rvata¯pan¯ıya
or a¯tman is a single deity known generically as ¯I´sv ¯I´sa (Lord)
Upanis:ad warns the teacher to “give not [his lessons] to com-
living deep within one’s being and identified particularly as
mon people” (84). That the teachings were to be heard by
S´iva, Vis:n:u, or the Goddess by particular sectarian commu-
only select ears is demonstrated by the texts themselves, for
nities.
synonyms and appositions of the word upanis:ad include not
only such terms as satyasya satyam (“the truth of truth,”
While they explicitly or implicitly admit the difficulties
Br:had. Up. 2.1.20), but also rahasyam (“that which is hid-
of comprehending a hidden reality that either transcends or
den,” Nr:simhottarata¯pan¯ıya Up. 8) and paramam guhyam
simply cannot be known through the structures of time,
(“that which is a supreme secret,” Kat:h. Up. 3.17).
space, and causation, the Upanis:ads hold that through disci-
plined practices of meditation and the cultivation of extraor-
The esoteric tone of the Upanis:adic teachings derives in
dinary knowledge, it can in fact be discerned. Such discern-
part from the place they hold in the larger Vedic literary cor-
ment releases one from the apparent cycles of life and death
pus. The earliest Vedic literatures are the inspired hymns,
caused by one’s ignorance of the fact that the essential self
chants, and incantations of the R:gveda, Sa¯maveda, Yajurveda,
does not die. Thus, Upanis:adic religious anthropologies, the-
and Atharvaveda, which were composed by the visionaries
ologies, and soteriologies all revolve around a key lesson that
and priests of the various Vedic traditions and codified
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UPANIS:ADS
9481
around 1200 BCE (although some are earlier and some later).
(va¯yu), or empty space (a¯ka¯´sa); as pure consciousness (cit),
To these Sam:hita¯s (“collections”) of poems and songs are at-
bliss (a¯nanda), or eternity (ananta); and as the infinite sub-
tached ritual instructions known as the Bra¯hman:as, which
ject by whom all objects are known, the “inner guide”
date to roughly 1000 to 800 BCE. As early as the ninth centu-
(antarya¯min) of all that is.
ry BCE, individuals and small groups of people, most often
Given its acknowledged immanent yet transcendent na-
of the ks:atriya (warrior) rather than the bra¯hman:a (priestly)
ture, ontological discourses in the early Vedic Upanis:ads de-
class of society (see Br:had. Up. 1.4.11), began to leave the
pict brahman both cosmically (sagun:a, “with characteristics”)
villages to live and meditate in the forest. There, unable or
and acosmically (nirgun:a, “without characteristics”). Sagun:a
unwilling to perform the sometimes elaborate and expensive
brahman is understood to be the finest essence (an:ima¯, rasa,
Vedic religious ceremonies, they contemplated the allegorical
etc.) of all things in the world, as honey is the essence of bees-
rather than literal significance of the hymns and rituals.
wax and oil is the essence of sesame seeds (see Ch. Up. 6.9ff.).
These allegorical interpretations formed the basis of texts
Understood cosmically, therefore, brahman is the substance
known as the A¯ran:yakas, or “forest books.” Toward the early
of the universe. This does not mean that brahman is the ma-
part of the eighth century BCE these contemplative sages
terial stuff of the world that can be perceived sensually. Rath-
began to formulate more abstract philosophical interpreta-
er, it is the hidden and subtle reality that allows all things
tions of the metaphors and homologies used in the
to exist in the first place. Thus, when the sages of the
Bra¯hman:as and A¯ran:yakas as they sought to gain knowledge
Mun:d:aka Upanis:ad note that “this whole world is brahman”
of the deeper ontological status of the world and of the place
and that brahman is the “hidden mover . . . within all that
the human being holds in that world. Out of this context
moves, breathes, and winks” (2.2.1–2), they imply the cos-
came the Upanis:ads, the non-sacerdotal philosophical mus-
mic ontological notion that brahman is the very “beingness”
ings on the nature of reality itself.
of all beings, including the human being. Transformative in-
The composers of the Upanis:ads diverged from the reli-
sight allows one to understand that this cosmic substratum
gious tradition of their time in that, unlike earlier Vedic
is unified and indivisible, or—as the Cha¯ndogya Upanis:ad’s
poets and visionaries, they found little interest in proclaim-
Udda¯laka A¯run:i teaches his son, S´vetaketu—“Thou art
ing the wonder of the objective world or in praising the gods
That!” (6.9.1–6.16.3).
said to have enlivened that world. The forest sages under-
Understood acosmically, brahman cannot be described
stood the outer world to be less significant than the inner,
through definitive or positive statements, because brahman
and the gods to be nothing more than reflections or expres-
transcends the limitations of language. Thus, nirgun:a brah-
sions of subjective processes within one’s own being. “All of
man is not subject to categorization, and therefore, can nei-
the gods are within me,” asserts an early forest work, the
ther be perceived nor conceived. Brahman “cannot be heard,
Jaimin¯ıya Upanis:ad Bra¯hman:a (1.14.2). The Kaivalya
nor touched. It has no form [and] is imperishable. Similarly,
Upanis:ad, a later text, teaches that “the highest brahman,
it has no flavor, nor odor. It is eternal, without beginning
which is all forms, which is the supreme reality of the uni-
[and] without end” (Kat:h. Up. 3.5), and it “cannot be known
verse, which is the most subtle of the subtle and which is eter-
through language, nor by the mind, nor by sight” (6.12).
nal, is nothing but yourself.” The Upanis:adic stress on the
That the content of ultimate reality cannot be depicted is
inner world rather than on external religious practices simi-
summarized most succinctly in the Br:hada¯ran:yaka
larly distinguished the forest sages from the composers of
Upanis:ad’s recurring assertion that “the self [a¯tman] is not
such ritual texts as the Bra¯hman:as and, later, the Kalpasu¯tras;
this, not that” (4.4.22ff.).
for the forest sage had no need for “ritual baths, nor periodic
rites, nor deity, nor location, nor sacred space, nor worship”
Thus, while the Upanis:adic student seeking knowledge
(Tejobindu Up. 4).
of sugun:a brahman was to comprehend the unity of all things
in a world constructed on the essence of brahman, the stu-
The lines separating the Bra¯hman:as and the A¯ran:yakas,
dent who looked for an understanding of nirgun:a brahman
and the A¯ran:yakas and Upanis:ads, as textual genres are not
was to “deconstruct” the phenomenal world, as it were, in
distinct; the early A¯ran:yakas resemble in form the later
order to comprehend the imperishable self that lies behind
Bra¯hman:as, and the later A¯ran:yakas are nearly indistinguish-
the world of life and death.
able from the early Upanis:ads. Some traditions hold that the
Whether they considered brahman to be cosmic or ac-
first true Upanis:ad is the R:gveda’s Aitareya A¯ran:yaka (ninth
osmic, Upanis:adic teachers generally distrusted empirical
century BCE), while most others mark that line with the
knowledge gained through sensual experiences. According to
emergence of the S´ukla (“White”) Yajurveda’s
these thinkers, the physical world is a “measured” or “con-
Br:hada¯ran:yaka Upanis:ad and the Sa¯maveda’s Cha¯ndogya
structed” world, the world of ma¯ya¯, a term that in the
Upanis:ad, both of which date to the eighth century BCE.
Upanis:ads denotes those aspects of the world that are empiri-
UPANIS:ADIC TEACHINGS. Symbolic representations in the
cally perceived but not ultimately real. Ma¯ya¯, in other words,
Upanis:ads of ultimate reality are consistent with the notion
characterizes the world of time, space, and causation. Ac-
that such reality is unmanifest yet vital. Brahman (a¯tman,
cording to Upanis:adic teachings, then, that world which the
¯
I´svara, etc.) is described as life-giving breath (pra¯n:a), wind
ignorant call the “real world” is not, in truth, real.
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UPANIS:ADS
Upanis:adic ontologies are thus closely linked with epis-
guishing characteristics, unthinkable, unnameable. It is the
temology. They are similarly related to physiology and psy-
essence of the knowledge of the One Self
chology. Drawing on Sa¯m:khya metaphysics, the Upanis:ads
[eka¯tma-pratyaya-sa¯ram], that into which the world resolves.
generally recognize a dualism of matter (prakr:ti) and spirit
It is peaceful and benign. It is indivisible.” Such a state
(purus:a). The former constitutes the objective and phenome-
sounds like the Upanis:adic notion of ultimate reality. In-
nal world. The latter comprises the knowing subject that has
deed, the passage continues: “It [tur¯ıya] is a¯tman. It is to be
no temporal or spatial limitations, and at times is used as a
known.”
synonym for a¯tman. Within the world of prakr:ti, the human
The waking somatic body, therefore, is unreal relative
body and mind may be divided into the gross body
to ultimate reality, a point that carries ethical and eschatolog-
(sthu¯la-´sar¯ıra) and the subtle body (suks:ma- or lin˙ga-´sar¯ıra).
ical implications. The “self” of one’s being leaves the body
Everyday consciousness revolves around the gross body made
at death, as the mango fruit at maturity separates from its
up of the senses and the objects of those senses (known col-
stalk (see Br:had. Up. 4.3.36). If one has not renounced one’s
lectively as the indriyas). Sensations gained from the gross
attachment to the world of the senses, then one will be re-
body are then categorized by the subtle body, which consists
born in another physical body, the existential situations of
of the mind (manas), the mechanism of personal identity or
which are determined by the ethical laws of karman; and
“ego” (aham:ka¯ra), and the “awareness” (buddhi or
sooner or later one will suffer and die again. This continually
antah:ka¯ran:a), the basis of one’s ability to live and act in the
turning wheel of death and rebirth (sam:sa¯ra) is understood
world.
to be a painful trap from which one is released only when
Upanis:adic physiology declares that both the gross and
one understands that the physical body is not the real self,
subtle bodies, however, are phenomenal (and therefore unre-
and that the world which the senses perceive is an insubstan-
al) constructions relative to the spirit, the true self (see Kat:h.
tial and effervescent illusion.
Up. 3.10–11). Thus, the farther one’s awareness is removed
Most of the Upanis:ads agree that the best way one
from its attachment to the external world experienced by the
would cultivate such a freeing insight would be through the
gross and subtle bodies, the closer one comes to a full yet
rigors of yogic meditation. While the Vedic Upanis:ads as a
nonempirical experience of the true self. Accordingly, the
whole reflect the influence of yogic practice and ideology
Upanis:ads emphasize the importance of dream states in the
(see, for example, Maitri Up. 6.19–30 or S´vet. Up. 2.8–10),
comprehension of deeper realities (see, e.g., Br:had. Up.
it is in the Yoga Upanis:ads that such teachings are most fully
4.3.9). In sleep one loses awareness of the outside world, a
presented. For example, the Amr:tabindhu, S´a¯n:d:ilya, and Yo-
world that is in effect a bad dream to begin with. The deeper
gatattva Upanis:ads, among others, contain long passages on
one sleeps, the closer to eternal reality one gets.
the eight “branches” (as:t:a¯nga) of yogic practice (discipline,
The Upanis:ads recognize four states of waking and
self-restraint, correct body posture, breath control, suppres-
dreaming awareness, each successively purer and closer to the
sion of sensory awareness, mental concentration, intuitive
direct comprehension of a¯tman. The grossest psychological
meditation, and final union with the Absolute), the proper
level is that of waking consciousness, a level in which appar-
means to master each, and the characteristics of the succes-
ent objects are mistakenly understood to be distinct entities
sive levels of yogic “powers” (siddhis) one gains as one be-
and in which the subject does not recognize itself. The sec-
comes more adept at the particular practices.
ond, more refined, level of awareness is that of active dream-
While continuing to uphold the efficacy of yogic prac-
ing, a state in which objects lose their solidity and appear
tice, some of the Upanis:ads also present the more theistic
more as they really are—as changing and unreal events. The
teaching that one cannot truly know one’s soul without what
dreaming subject is a “creator” (kartr:) of the world, which
might be termed the “grace” of the soul. Such appears to be
exists only because he “projects” (sr:jate) it (see Brhd. Up.
the position of Kat:ha Upanis:ad 2.23, which maintains that
4.3.10). The third level is that of dreamless sleep
“this soul [a¯tman] cannot be attained through instruction,
(samprasa¯da, sus:upti), in which one loses all awareness of one-
nor through rational thinking, nor by great learning. He is
self as an object in relation to other objects and no longer
to be attained only by the one whom [the supreme self]
experiences the constrictions of time and space. In dreamless
chooses. The soul [a¯tman] reveals his own nature to such a
sleep one is said to have gained complete tranquillity. Here,
one.” The soteriological dimensions of this theistic teaching
one momentarily enjoys complete reunion with brahman
are much more explicit in the S´veta¯´svatara Upanis:ad’s state-
and experiences, albeit nonempirically, the highest bliss
ment that “more subtle than the subtle, greater than the
(parama¯nanda; see Br:had. Up. 4.3.32).
great, is the soul [a¯tman] that is set within the heart of the
Later Upanis:ads, especially those influenced by the
creature. One beholds it to be actionless and becomes free
practices and ideologies of Yoga, add to these states another
of sorrow, when through the grace of the Creator [dha¯tuh:
level to one’s psychological being, known simply as tur¯ıya or
prasada¯t] he sees the Lord [¯I´s] and his greatness” (3.20).
turya, “the fourth.” Man:d:ukya Upanis:ad 7 describes this
CLASSIFICATION OF THE UPANIS:ADS. It is somewhat prob-
state: “It is not cognitive, nor is it noncognitive. It is unseen,
lematic to arrive at a precise number of Upanis:ads, because
unable to be spoken of, ungraspable, without any distin-
if all Sanskrit works claiming to present secret teachings were
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UPANIS:ADS
9483
to be classified as Upanis:ads the number would be indefinite.
Maitri, Taittr¯ıya, and S´veta¯´svatara Upanis:ads are attached
Nearly 250 texts call themselves Upanis:ads—including the
to the Kr:s:n:a (“Black”) Yajurveda, while the Br:hada¯ran:yaka
Allopanis:ad (“secret teachings about Alla¯h,” composed at the
¯
I´sa, and Pain˙gala Upanis:ads are aligned with the S´ukla
time of Akbar) and the Christopanis:ad, dated well after
(“White”) Yajurveda. The Cha¯ndogya and Kena Upanis:ads
the rise of Christian communities on the subcontinent—but
belong to the Sa¯maveda, and, finally, the Mun:d:aka,
it appears that most of these do so merely as a way to align
Ma¯n:d:u¯kya, Pra´sna, and Ja¯ba¯la Upanis:ads form a part of the
themselves with a respected literary genre or religious
conclusion of the Atharvaveda.
tradition.
The later Upanis:ads. To this list of principal Vedic
The Muktika Upanis:ad and other medieval South Indi-
Upanis:ads most authorities would add a large number of less
an works mention 108 separate Upanis:ads in an enumera-
known and, for the most part, medieval works that may be
tion that has become somewhat of a stock list. Using the
classified as the later Upanis:ads. These works are not univer-
methods of historical, thematic, and textual criticism, twen-
sally accepted as ´sru¯ti, and they have not received the exten-
tieth-century scholars have isolated 123 genuine Upanis:ads.
sive attention from traditional South Asian philosophical
These works may be classified into two general categories,
commentators as have the Vedic Upanis:ads. This does not
the Vedic Upanis:ads and the later Upanis:ads.
mean that they are less important than others. Indeed, these
texts may well be more influential in their respective commu-
The Vedic Upanis:ads. Virtually all Vedic and most sec-
nities than the principal Vedic Upanis:ads. Such works reflect
tarian traditions recognize ten to eighteen Upanis:ads as re-
the increasing influence of Sa¯m:khya philosophy, Yoga prac-
vealed authoritative scripture (´sru¯ti). Furthermore, all of the
tice and ideology, and sectarian theistic traditions through
more important traditional theologians and philosophers
the classical and medieval periods. While many align them-
throughout classical and medieval India recognized the cen-
selves with the R:gveda, Yajurveda, or Sa¯maveda, most of
tral importance of these ancient works, and have written ex-
these Upanis:ads are attached, at least nominally, to the
tensive commentaries on them. For these reasons, the Vedic
Atharvaveda. Most are in prose form and are composed al-
Upanis:ads have also been called the Major, or Principal,
most entirely in classical Sanskrit.
Upanis:ads. They may be divided into three historical and
textual groups.
The number of the later Upanis:ads is too large to list
all of them here. Only the most important or representative
1. The earliest Upanis:ads (the Br:hada¯ran:yaka,
ones will be mentioned; readers seeking a more complete list
Cha¯ndogya, Taitt¯ıriya, Aitareya, and Kaus:¯ıtaki Upanis:ads
are directed to the bibliography.
and the prose parts of the Kena Upanis:ad) predate the rise
1. Veda¯nta Upanis:ads. These works, which include the
of Buddhism in the sixth century BCE, the Br:hada¯ran:yaka
Muktika, Pin:d:a, Garba, A¯tman, Pra¯n:a¯gnihotra, Adhyatman,
and the Cha¯ndogya being the earliest and the Kena being the
and Brahma¯ as well as perhaps two dozen other Upanis:ads,
latest. All are explicitly aligned with one or another of the
fairly consistently maintain the general doctrines presented
various sakha¯s, or “schools” of Vedic interpretation, and are
by the Vedic Upanis:ads, and show relatively little sectarian
composed in a prose that closely resembles Vedic Sanskrit.
influence. They differ from the Vedic Upanis:ads only in that
These texts make frequent use of allegorical modes of inter-
they are not cited in traditional commentaries.
pretation and are often almost indistinguishable in style from
the A¯ran:yakas. In many ways these six works serve as the
2. Yoga Upanis:ads. These texts arose out of a more spe-
philosophical foundation for all of the later Upanis:ads.
cifically ascetic context than did many of the Vedic and
Veda¯nta Upanis:ads, and reflect the influence of Yoga ideolo-
2. A second group of Upanis:ads (the Kat:ha [or
gies and practices within Upanis:adic circles. This group in-
Kat:haka¯], ¯I´sa, S´veta¯´svatara, Mun:d:aka, and Maha¯na¯ra¯yan:a
cludes the Yogakun:d:al¯ı, Na¯dabindhu, S´a¯ndilya, Yogatattva,
Upanis:ads and the metrical parts of the Kena Upanis:ad) re-
Tejobindhu, Ham:sa, Amr:tabindhu, Dhya¯nabindhu, and
flects a growing sectarian orientation and dates to the sixth
Vara¯ha Upanis:ads. These works center on the direct experi-
and fifth centuries BCE. These works, which are composed
ence of the eternal self (a¯tman) through specific techniques
primarily in verse, are only loosely attached to the Vedic
of Yoga and through the meditation on the sacred syllable
sakha¯s, and make less use of metaphorical, allegorical, or
om.
other tropic means of expression.
3. Sam:nya¯sa Upanis:ads. These works tend to extol the
3. The Upanis:ads of a third group (the Pra´sna, Maitri
life of the wandering ascetic’s search for release from the cycle
[or Maitra¯yan:¯ıya], Ja¯ba¯la, Pain˙gala, and Ma¯n:d:u¯kya
of rebirth (sam:sa¯ra) and teach ways in which such release may
Upanis:ads) return to prose form, but in a language that re-
be obtained. They include the Na¯radaparivra¯jaka, Bhiks:uka,
sembles classical Sanskrit much more than Vedic Sanskrit.
Paramaham:sa, A¯´srama, and Sam:nya¯sa Upanis:ads.
They probably emerged in the late fifth and early fourth cen-
4. Mantra Upanis:ads. These teachings center on esoteric
turies BCE although the dates for a few of them are uncertain.
interpretations of specific sounds and syllables and place
All of these works are attached to the textual collections
those interpretations into Yogic as well as S´aiva, Vais:n:ava,
of specific priestly Vedic traditions. The Aitareya and
and Durga¯ theistic contexts. Typical of such works would be
Kaus:¯ıtaki Upanis:ads belong to the R:gveda. The Kat:ha,
the Ta¯rasa¯ra, Kalisanta¯ran:a, and Na¯ra¯yan:a Upanis:ads.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9484
UPA¯YA
5. S´aiva Upanis:ads. The earliest S´aiva Upanis:ad might
and Philosophy of the Veda and Upanishads, 2 vols. (1925),
well be said to be the Vedic S´veta¯´svatara Upanis:ad, which
2d ed. (Westport, Conn., 1971), pp. 551–570; or to Suren-
praised the role of Rudra (a Vedic precursor to the god S´iva)
dranath Dasgupta’s A History of Indian Philosophy, vol. 1
in the religious quest. The more well-known of the medieval
(1922; reprint, Cambridge, 1951), pp. 28–61.
S´aiva Upanis:ads would include the N¯ılarudra, Ka¯la¯gnirudra,
WILLIAM K. MAHONY (1987)
Kaivalya, and Atharva´siras Upanis:ads, all of which under-
stand the person of S´iva (also known as Mahe´svara, Bhairava,
¯
I´sana, and other names) to be an embodiment of the deepest
self, a¯tman.
UPA¯YA is a Sanskrit and Pali term meaning “device,
6. Vais:n:ava Upanis:ads. These texts tend to interpret the
strategem,” or “means.” The term has a technical function
various incarnations of the god Vis:n:u as representative forms
in Buddhism, especially in the Maha¯ya¯na, where it is fre-
of the a¯tman. Some Vais:n:ava traditions look to the ¯I´sa
quently used in the compound upa¯yakau´salya (“skill in
Upanis:ad as the Vedic antecedent to, or oldest sectarian rep-
means”). In Buddhist usage, it refers to certain manners of
resentative of, this particular genre. Works associated with
teaching or forms of practice that may be employed along
this group include the Nr:simha-pu¯rvata¯pan¯ıya, Nr:simhot-
the path to final release, and in which a buddha or bodhisatt-
tarata¯pan¯ıya, Maha¯, Ra¯mapur-vata¯pan¯ıya, and Ramottara-
va is especially skilled. Often, these involve the skillful evalu-
ta¯pan¯ıya Upanis:ads.
ation of the spiritual capacities of beings on the part of a bud-
dha or bodhisattva, and a concomitant revelation of just that
SEE ALSO Brahman; Ma¯ya¯; Sama¯dhi; Sam:nya¯sa; Soul, article
degree of truth that is most beneficial to the specific religious
on Indian Concepts; Veda¯nta; Yoga.
needs of the devotee. The usual Chinese equivalent is fangbi-
an (Jpn., ho¯ben). Although fangbian is an ordinary Chinese
B
word with its own distinct meaning, owing to various termi-
IBLIOGRAPHY
Readers seeking a stock list of what have been termed Vedic and
nological conflations its meaning in East Asian Buddhist
later Upanis:ads should turn to the opening lines of the Muk-
texts is “(skillfully applied) means.” The usage has given rise
tika Upanis:ad, which lists 108 such works. J. N. Farquhar,
to the convenient English expression “skillful means.” The
a historian of Indian religious literatures, has distinguished
concept of upa¯ya also figures prominently in other Maha¯ya¯na
123 distinct Upanis:ads, which he lists in his An Outline of
Buddhist cultures, notably that of Tibet.
the Religious Literature of India (1920; reprint, Delhi, 1967),
PALI USAGE. The terms upa¯ya or upa¯yakusala occur in the
p. 364.
Therava¯da canon, but only incidentally or in late texts. The
The last hundred years have seen the publication of a large num-
D¯ıgha Nika¯ya and the Anguttara Nika¯ya speak of three kinds
ber of Upanis:ads in modern languages, many of which suffer
of skill: skill in entering (aya), skill in leaving (apa¯ya), and
from a lack of perspicuity due to the somewhat esoteric na-
skill in approach or means (upa¯ya). Leaving etymological
ture of the original works. The most objective English trans-
speculation aside, it is clear that this terminology refers to the
lation of most of the Vedic Upanis:ads remains Robert Ernest
Hume’s somewhat stilted The Thirteen Principal Upanishads,
spiritual attitude of a monk who is supposed to be expert in
2d rev. ed. (Oxford, 1949). A more fluid translation is Sarve-
the management of his practice on the road to Buddhahood.
palli Radhakrishnan’s The Principal Upanis:ads (New York,
In the Suttanipa¯ta, it is the expert boatman taking others
1953). Radhakrishnan’s work is better than Hume’s in that
across a swift stream who is described as a “skillful knower
it includes the Sanskrit and it translates sixteen rather than
of the means.”
thirteen works. Some students will find Radhakrishnan’s
commentaries on the works to be of some help, although
In spite of the paucity of references in Pali writings, it
many of them reflect his neo-Vedantic bias. Another good
is remarkable that upa¯ya here assumes a double aspect, refer-
translation, and one that openly admits an Advaitic point of
ring to the activities both of aspiring monk and good teacher,
view, is Swa¯m¯ı Nikhila¯nanda’s The Upanishads, 4 vols. (New
skilled in the ways of helping others across the spiritual
York, 1949–1959). Readers interested in the later Upanis:ads
threshold. Variously emphasized, this double usage is fre-
would be advised to look to Paul Deussen’s Sechzig Upani-
quently found in early Maha¯ya¯na, although not direct textual
shads des Veda (Leipzig, 1897), to K. Na¯ra¯yanasva¯mi Aiyar’s
lineage should be assumed. Other Pali usage is either non-
Thirty Minor Upanishads (Madras, 1914), and to Jean Varen-
technical or late and incidental. This relative inattention to
ne’s Upanishads du yoga (Paris, 1974). Readers seeking only
the term in Pali texts does not mean, however, that the way
selections from the Vedic Upanis:ads might turn to Sarvepalli
of thinking assumed in this terminology is foreign either to
Radhakrishnan and Charles Moore’s edited volume, A Source
Book in Indian Philosophy (Princeton, N.J., 1957),
Therava¯da Buddhism in its fully developed form or to the
pp. 37–96, or to Juan Mascaró’s The Upanishads (Baltimore,
earliest Buddhists in general. Admittedly, there is no direct
1965), although the latter is somewhat colored by a theistic
evidence that the Buddha himself made use of this specific
understanding of the texts.
term to explain the way his teaching was to be understood.
Those readers interested in short introductions to Upanis:adic
Nevertheless, there are many indications that his message was
thought are advised to consult Paul Deussen’s The Philosophy
presented with conscious, pragmatic skill. In support of this,
of the Upanishads (1906), 2d ed., translated by A. S. Geden
one need only think of such well known scriptural similes
(New York, 1966); Arthur Berriedale Keith’s The Religion
as the raft, the poisoned arrow, the pith, and the water snake,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UPA¯YA
9485
in which the provisional and practical nature of the Buddha’s
is considered to be unimpeached. In chapter 5, the simile of
teachings is made clear.
a rain cloud, which bestows on diverse plants moisture equal
UPA¯YA IN THE LOTUS SU¯TRA. The opening chapters of the
to their needs, explicitly treats this point. Other parables
Lotus Su¯tra (Saddharmapun:d:ar¯ıka Su¯tra) are an extended re-
stress that the religious path eventually brings rewards out
flection on the nature of the Buddha’s teaching. This reflec-
of all comprehension to those just beginning their practice.
tion is advanced partly by means of a series of parables and
In chapter 4, the process of winning enlightenment is com-
partly by a retelling of the story of the Buddha’s decision to
pared to that of a son who abandons his father’s estate. When
teach others the religious path he had perfected (chaps. 2 and
the prodigal returns years later, in dire poverty and ignorant
7). The concept of skill in means plays an important role
even of the fact that he has come to the place of his birth,
throughout, occurring over eighty times in the first eight
his father only gradually reveals his patrimony to him, fear-
chapters.
ing that a premature revelation of the truth would frighten
his son away once again.
Traditionally, the story of the Buddha’s decision to
Finally, not only is the teaching of the Buddha declared
teach following his enlightenment had portrayed him as hesi-
by this text to comprise a series of skillfully devised expedi-
tant to do so because of the depth and subtlety of the Dhar-
ents, but the very appearance of the Buddha in this world
ma and the sensuality and ignorance of humankind. In this
is declared (chap. 15; chap. 16 in the Chinese) to be a mere
account, only the urging of the god Brahma¯ led to the Bud-
strategem to draw beings to the Dharma. The actual Enlight-
dha’s decision to teach the four noble truths and the Middle
enment is an event that took place, if it occurred in history
Way. To this hesitancy was linked the Buddha’s perception
at all, aeons ago. The Buddha’s apparent pa¯rinirva¯n:a at age
of the diversity of human faculties and dispositions, a diversi-
eighty is a mere simulacrum, comparable to that of a physi-
ty that is likened to a pond full of lotuses, only some of which
cian who feigns death in order to induce his willful sons to
rise undefiled above the water. In the retelling of this story
take an essential medicine. Chapter 7 tells of a guide who
in the Lotus Su¯tra, the discrepancy between the Buddha’s
leads his charges to a magic city he has conjured up as a rest-
knowledge and the ignorance of living beings provokes an
ing place for the weary. Only when they have rested do the
explanation that the teaching of the Buddha is an upa¯ya, that
travelers learn that the city is a mirage, not the ultimate goal
is, a provisional expedient able to draw people into the Bud-
of their journey after all.
dha’s Dharma. In other words, although the Buddha realizes
that the true, ultimate, and indeed originally nirvanic quality
Thus, in the Lotus Su¯tra it is not merely a question of
of things cannot be precisely stated in words, he nevertheless
particular teachings being regarded as secondary formula-
teaches the doctrine of nirva¯n:a as a “means” to lead people
tions. The very appearance of the Buddha, his setting the
toward detachment.
wheel of the Dharma in motion, and his winning of nirva¯n:a,
have a provisional, dialectical nature related to the needs of
A parable in the third chapter of the Lotus Su¯tra tells
living beings in their diversity.
how a father lures his children from a burning house by the
UPA¯YA IN THE PERFECTION OF WISDOM LITERATURE. In
expedient of offering them three fine chariots for their enjoy-
the early Maha¯ya¯na su¯tras, known as the Prajña¯pa¯ramita¯
ment. Only on emerging from the fire do they realize that
(“perfection of wisdom”) literature, the notion of skill in
they have been tricked, as it were, into safety by the attractive
means is closely linked to that of prajña¯, that is, to wisdom
inducements offered by their father: their real reward, their
or insight into the true character of things. Such insight im-
lives, far outweighs their original expectations. So too, ac-
plies a recognition of the metaphysical voidness or insubstan-
cording to the parable, does the Buddha lure sentient beings
tiality of all phenomena and all factors of experience (dhar-
from the “burning house” that is sam:sa¯ra (the round of birth
mas). Insight and skill in means are two of the perfections
and death) by proposing a variety of apparently distinct reli-
in which a bodhisattva has to school himself. Hence, this
gious careers, all of which are in fact reducible to one: the
usage (especially in the As:t:asa¯hasrika¯-prajña¯pa¯ramita¯ Su¯tra)
path leading to Buddhahood. Thus understood, the other-
complements that of the Lotus. As an adept in training, the
wise polemically differentiated “vehicles” (ya¯na)—´sra¯vaka
bodhisattva must manage the various features of practical reli-
(“hearer of the Dharma”), pratyekabuddha (self-enlightened
gion that articulate his path, but without becoming attached
Buddha), and bodhisattva—are only provisional constructs
to them in any way. He must, for example, practice dhya¯na
designed to appeal to persons of different religious capacities.
(“meditation, trance”) without being subject to its karmic
Ultimately, it is only the path of the Buddhas (buddhaya¯na)
consequences, that is, without rebirth in the various deva
that is real.
heavens that such meditation entails. These heavens, the
While the means used to ensure deliverance may thus
teaching holds, are pleasant but religiously irrelevant exis-
seem to involve an element of deception, or at least, of with-
tences; attachment to them is an impediment to the religious
holding the full truth, the discrepancy between the form in
life: “But what is the skill in means of a Bodhisattva? It is
which the message is couched and its ultimate meaning is un-
just this perfection of wisdom. And he applies himself to this
derstood to arise owing to the relative ignorance of the living
skill in means in such a way that, endowed with it, the Bo-
beings who receive it. The sincerity and the consistency of
dhisattva enters into the trances without being reborn
the Dharma regarded from the point of view of the Buddha
through the influence of the trances” (Conze, 1973, p. 250).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9486
URMONOTHEISMUS
Upa¯ya, however, is not only a matter of individual spiri-
of its use as a principle of interpretation both in Buddhism
tual welfare. The bodhisattva would lose his own way if he
and in a wider religious sense remain to be explored.
abandoned living beings.
SEE ALSO Bodhisattva Path.
If the mind of a Bodhisattva forms the aspiration not
to abandon all beings but to set them free, and if in ad-
BIBLIOGRAPHY
dition, he aspires for the concentration on emptiness,
A general discussion of upa¯ya can be found in Sawada Kensho¯’s
the Signless, the Wishless, i.e., for the three doors to de-
“Bukkyo¯ ni okeru ho¯ben no shiso¯ ni tsuite,” Bukkyo¯ bunka
liverance, then that Bodhisattva should be known as
kenkyu¯ 12 (1963): 97ff. Masuda Hideo’s “Hannyakyo¯ ni
one who is endowed with skill in means, and he will not
okeru ‘ho¯ben’ no imi ni tsuite,” Indogaku Bukkyo¯gaku kenkyu¯
realise the reality-limit midway, before his Buddhadhar-
23 (1964): 112–117, discusses upa¯ya in the Prajña¯pa¯ramita¯
mas have become complete. For it is this skill in means
literature. Kumoi Sho¯zen’s “Ho¯ben to shinjitsu,” in Hoke
which protects him. (Conze, 1973, p. 225)
shiso¯, edited by O
¯ cho¯ Enichi (Kyoto, 1969), pp. 321–351,
concentrates on the use of the term in the Lotus Su¯tra. Leon
Thus the bodhisattva is both the adept and the benefac-
Hurvitz’s Scripture of the Lotus Blossom of the Fine Dharma
tor. In Maha¯ya¯na thinking it is not possible to be the one
(New York, 1976) and Edward Conze’s The Perfection of
without also being the other.
Wisdom in Eight Thousand Lines and Its Verse Summary
(Berkeley, 1973) are reliable translations of these two seminal
A closely related early Maha¯ya¯na text, the
texts. Eugène Burnouf’s translation of the Lotus, rendered
Vimalak¯ırtinirde´sa Su¯tra (Teaching of Vimalak¯ırti) drama-
from Sanskrit, contains a discussion of upa¯ya in the appen-
tizes this principle with a narrative centered on an illness
dix: Le lotus de la bonne loi, vol. 2, Appendice, 2d ed. (Paris,
feigned by the prajña¯-adept Vimalak¯ırti. In conversation
1925), pp. 594ff.
with Mañju´sr¯ı he declares that his illness is without charac-
Other secondary sources include Alicia Matsunaga’s The Buddhist
teristics but arises only through compassion as a skillful
Philosophy of Assimilation: The Historical Development of the
means. It will be healed only insofar as all beings depart from
Honji-Suijaku Theory (Tokyo and Rutland, Vt., 1969),
belief in self and from dualistic thought. The close connec-
which discusses issues closely related to the notion of upa¯ya;
tion between upa¯ya and prajña¯ (“insight”) is evident in state-
“The Concept of Upa¯ya in Maha¯ya¯na Buddhist Philosophy,”
ments such as: “Again, insight without (skillful) means is
Japanese Journal of Religious Studies 1 (March 1974): 51–72,
bondage, but insight with (skillful) means is release; (skillful)
by the same author; my “Assimilation and Skilful Means,”
means without insight is bondage, but (skillful) means with
Religion 1 (Autumn 1971): 152–158; and my Skilful Means:
insight is release” (T.D. no. 14.545). Applied to the body,
A Concept in Maha¯ya¯na Buddhism (London, 1978), a full-
length study with further bibliography. For Pali usage, see
that fundamental object of Buddhist meditation, the impli-
the editions of the Pali Text Society, especially D¯ıgha
cations of this are as follows:
Nika˜ya, edited by J. E. Carpenter (London, 1910), vol. 3,
Yet again, seeing the body in terms of impermanence,
p. 220, and Anguttara Nika¯ya, edited by E. Hardy (London,
suffering, emptiness and non-self, this is called insight.
1958), vol. 3, pp. 431ff.
To stay in birth-and-death even though the body is
New Sources
sick, bringing benefits to all and not getting disgusted
Franck, Frederick. “Upaya: Stratagems of the Great Compassion.”
or tired, this is called (skillful) means . . . To see that
Eastern Buddhist 30, no. 2 (1997): 287–293.
the body is never without sickness . . . and that there
Hamlin, Edward. “Magical Upaya in the Vimalakirtinirdesa
is no renovation and no passing away, this is called in-
Sutra.” Journal of the International Association of Buddhist
sight. To recognize that the body is sick and yet not to
Studies 11, no. 1 (1988): 89–121.
enter eternal cessation, this is called (skillful) means.
Miller, Alan L. “Spiritual Accomplishment by Misdirection: Some
(T.D. no. 14.545)
Upaya Folktales from East Asia.” History of Religions 40, no.
IMPLICATIONS. The concept of upa¯ya plays an incidental role
1 (2000): 82–108.
in many other Maha¯ya¯na texts, especially in connection with
Pye, Michael. Skillful Means: A Concept in Maha¯ya¯na Buddhism.
bodhisattvas as savior figures. Its implications are also clearly
2d ed. New York, 2003.
present, however, in the more philosophical Madhyamika
Schroeder, J. W. Skillful Means: The Heart of Buddhist Compas-
distinction between two levels of truth. Both provisional
sion. Honolulu, 2001.
truth (lokasam:v:r:tisatya) and supreme truth (parama¯rthasatya)
MICHAEL PYE (1987)
are essential, according to the Ma¯dhyamakaka¯rika (Middle
Revised Bibliography
stanzas) of Na¯ga¯rjuna, for the proclamation of Buddhist
Dharma.
Skill in means, or skillful means, is an idea known to
URMONOTHEISMUS SEE SCHMIDT,
every experienced monk in Maha¯ya¯na Buddhism and has
WILHELM; SUPREME BEINGS
often been used to interpret the function of various aspects
of Buddhist teaching or practice. Its role as a regulative prin-
ciple in situations of accommodation or syncretism should
USENER, HERMANN (1833–1905), was a German
never be overlooked. At the same time, many implications
classical philologist and historian of religion. From 1866 to
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
US:U
¯ L AL-FIQH
9487
1902 Usener was professor at Bonn. His major writings in-
Clemen, Carl. “Hermann Usener als Religionshistoriker.” Studi e
clude Das Weihnachtsfest (1889); Religionsgeschichtliche Un-
materiali di storia delle religioni 11 (1935): 110–124.
tersuchungen (2 vols., 1889); Götternamen: Versuch einer
Dieterich, Albert. “Hermann Usener.” Archiv für Religionswissen-
Lehre von der religiösen Begriffsbildung (1896); and Die Sint-
schaft 8 (1905): i–ix. Reprited in Kleine Schriften,
fluthsagen (1899).
pp. 354–362. Leipzig and Berlin, 1911.
In Götternamen, Usener presented a once-influential
Jaeger, Werner. “Classical Philology at the University of Berlin:
theory. Taking his method from philology and his data
1870–1945.” In Five Essays, translated by Adele M. Fiske,
mainly from demons (the indigitamenta) invoked by name
pp. 45–74. Montreal, 1982.
in ancient Roman rites, Usener claimed to show that the his-
Kany, Roland. Mnemosyne als Programm. Geschichte, Erinnerung
tory of the idea of deity had three phases. First, the concept
und Andacht zum Unbedeutenden im Werk von Usener, War-
of deity emerges as that of momentary gods (Augenblicksgöt-
burg und Benjamin. Tübingen, 1987.
ter) whose power is manifested during some fleeting experi-
Mette, Hans Joachim. “Nekrolog einer Epoche. Hermann Usener
ence, such as plowing and harrowing, but then vanishes.
und seine Schule. Ein wirkungsgeschichtlicher Rückblick auf
Next, as activities are repeated, these deities gain a certain
die Jahre 1856–1979.” Lustrum 22 (1979–1980): 5–106.
continuity; they come to stand as functional powers over an
Scardigli, Barbara. “Lettere inedite di Hermann Usener.” In
entire class of phenomena or activity. Usener calls these “spe-
Munus amicitiae. Scritti in memoria di Alessandro Ronconi,
cial gods” (Söndergotter). In a later phase still, when the name
pp. 263–298. Firenze, 1986.
of the god is no longer connected with his function, the god
Schlesier, Renate. “‘Arbeiter in Useners Weinberg.’ Anthropologie
is seen as an autonomous being or personality. Such gods
und antike Religionsgeschichte in Deutschland nach dem
often have many divine names, but this means only that sev-
Ersten Weltkrieg.” In Altertumswissenschaft in den 20er
eral special gods with different names have become fused into
Jahrhundert. Neue Fragen und Impulse, ed. by Hellmut Fla-
one. Usener also cited data on Lithuanian religions in sup-
shar, pp. 329–380. Stuttgart, 1995.
port of his views.
Schröder, Wilt Aden. Der Altertumswissenschaftler Eduard Norden
Usener’s heavy reliance on philology and his claim that
(1868–1941): das Schicksal eines deutschen Gelehrten jüdischer
the history of the concept of deity could be adequately clari-
Abkunft. Mit den Briefen Eduard Nordens an seinen Lehrer
fied through the history of the names of the gods was at-
Hermann Usener aus den Jahren 1891 bis 1902. Hildesheim,
tacked by Jan de Vries, who pointed out that there is no in-
1999.
stance of a specialized functional god having evolved into a
Wessels, Antje. Ursprungszauber. Zur Rezeption von Hermann
principal deity. According to de Vries, the momentary gods
Useners Lehre von der religiösen Begriffsbildung. Berlin-New
likely represent a late phase of priestly speculation or juridical
York, 2003.
elaboration (de Vries, 1967, pp. 134–138). Georges Dumézil
BURTON FELDMAN (1987)
has argued similarly that a comprehensive historical ap-
Revised Bibliography
proach shows that the indigitamenta are relatively unimpor-
tant phenomena (Dumézil, 1970, vol. 1, pp. 32–38).
Usener’s other major effort was to show how Christiani-
US:U
¯ L AL-FIQH.
ty took over pagan rites and feasts. He traced the Christmas
The Arabic phrase us:u¯l al-fiqh, which
festival to the birthday of the pagan sun god celebrated on
means literally “the roots of understanding,” takes on a spe-
the winter solstice (December 25, according to the Julian cal-
cialized sense in the classical literature of Islam; it may be
endar), and he argued that certain saints derived from pagan
rendered either as “sources of law” or as “principles of juris-
prototypes (e.g., Pelagius from Aphrodite).
prudence.” The former rendering may be regarded as best ex-
pressing the primary sense of the phrase and the latter as con-
B
veying a broader, extended sense. It must be kept in mind
IBLIOGRAPHY
For brief and telling criciticms of Usener’s theory of momentary
that “law” in Islam is much more comprehensive than West-
gods, see Jan de Vries’s The Study of Religion (New York,
ern law: It includes not only civil and criminal law but also
1967) and Georges Dumézil’s Archaic Roman Religion, 2
regulations pertaining to worship, hygiene, and other aspects
vols. (Chicago, 1970). Ernst Cassirer, the German philoso-
of the private lives of individuals. It furthermore recom-
pher of “symbolic forms,” sympathetically discusses Usener
mends and disapproves actions as much as it requires and
in Language and Myth (New York, 1946), pp. 15–36, 72–83.
forbids them, and while it specifies temporal penalties for
New Sources
certain offenses, its ultimate sanctions are otherworldly.
Bremmer, Jan N. “Hermann Usener.” In Classical Scholarship: A
Biographical Encyclopedia, edited by W. Ward Briggs and
There are two Arabic terms that may be translated as
William M. Calder III, pp. 462–478. New York-London,
“law”—shar¯ı Eah and fiqh. The shar¯ı Eah is the law of God,
1990.
immutable, all-encompassing, and transcendent. Strictly
Calder, William M., ed. Usener und Wilamowitz: ein Briefwechsel
speaking, fiqh is the understanding of the law of God that
(1870–1905) Stuttgart, 1994.
jurists acquire through pious scholarship. However, because
Calder, William M. III, Hellmut Flashar, and Theodor Lindken,
it is this understanding of the law of God, as expressed in
eds. Wilamowitz nach 50 Jahre. Darmstadt, 1985.
concrete rules formulated by the jurists themselves, which
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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governs the daily lives of Muslims, it may be considered law
the other three, a method of deriving from texts rules of law
in its own right. It is, in fact, the nearest thing to a positive
that are not contained within the meaning of the texts. It
law that the Islamic tradition affords. us:u¯l al-fiqh thus desig-
may accordingly be described as a formal source of law. To
nates, in its primary sense, the sources of this positive law,
the extent that the principle of analogy is strictly applied, the
that is, the sources of a human prudentia juris conceived as
exclusive authority of the texts as material sources of law is
a norm of human conduct. A source (as:l) is that from which
maintained, for although the derived rule may not be said
something else is derived. The law of God cannot, in its es-
to be contained within the meaning of the texts, it may quite
sence, be a derivative of anything; only human constructions
definitely be said to have its ultimate basis in the texts, that
of law can have that status.
basis being an analogous rule contained within the texts’
meaning. To these four sources of law most theorists add fur-
The necessity for the distinction between the law of
ther “supplementary” sources, to be considered shortly.
God and the positive law as the expression of the human un-
derstanding of that law becomes evident when reflecting on
Joseph Schacht’s monumental study of the early devel-
cases where the jurists differ among themselves in their con-
opment of Islamic jurisprudence (Origins of Muhammadan
struction of rules. Although some Muslim jurists subscribed
Jurisprudence, Oxford, 1959) singled out the famous jurist
to a kind of relativism, according to which any rules that
Muh:ammad ibn Idr¯ıs al-Sha¯fiE¯ı (d. 820) as the real architect
emerged from the deliberations of a particular jurist consti-
of the “four source” theory. As Schacht showed, Sha¯fiE¯ı for-
tuted the law of God for him, the majority of Sunn¯ı jurists
mulated this theory in response to the interaction of two
insisted upon the absolute uniformity and prevenience of
movements that had been contending for supremacy in the
that law such that, where jurists propounded conflicting
shaping of Islamic law before his time. The earliest of these
rules, they could not all be right and the possibility of error
was represented by what Schacht called the “ancient schools
had necessarily to be admitted. But as the Sunn¯ı jurists ac-
of law.” These schools, which were located in the principal
knowledged no higher authority that might resolve differ-
Muslim urban settlements of the Umayyad period (661–
ences among them, they were constrained to regard all rules
750), especially Kufa and Medina, despite certain differences
propounded by duly qualified jurists on the basis of a diligent
shared a common acceptance of the consensus of legal schol-
investigation of the sources of law as equally valid and nor-
ars as constituting the ultimate criterion of correct legal doc-
mative, even if contradictory. What was required for a rule
trine. While in no way minimizing the preeminence of the
to be normative, therefore, was not that it be an infallible
prophet Muh:ammad, which the passing of generations only
statement of the divine law but simply that it express a quali-
enhanced, the representatives of these schools came to view
fied jurist’s genuine understanding of that law. It is the falli-
the sunnah of the Prophet as most faithfully represented in
bility of that understanding that compels one to draw a clear
the unanimously agreed-upon doctrine. Thus the ancient
line between it and the law of God, its object.
schools in effect identified the sunnah of the Prophet with
The derivation of positive law from its proper sources
the consensus of legal scholars. In reaction to this view, the
is governed by carefully formulated methodological princi-
second movement, namely that of the traditionists (ahl
ples so as to leave as little as possible to human ingenuity.
al-h:ad¯ıth), took the position that the consensus of the legists,
These principles, which are partly hermeneutical, partly text-
far from adequately representing the sunnah of the Prophet,
critical, and partly theological, are included in the extended
was in reality the product of human reasoning and was there-
meaning of us:u¯l al-fiqh. They, together with the sources of
fore of no value whatsoever and that the sunnah of the
law, constitute the “principles of jurisprudence.”
Prophet was properly represented only by formal traditions
(ah:ad¯ıth; literally, “narratives”) reporting actual sayings or
THE THEORY OF THE FOUR SOURCES AND ITS ORIGIN.
deeds of the Prophet and accompanied by lists (isna¯ds) of ac-
Classical Sunn¯ı Muslim legal thought enumerates four pri-
credited transmitters. The sunnah of the Prophet was thus,
mary sources of positive law: the QurDa¯n; the sunnah, or cus-
in their view, categorically distinct from the consensus of the
tom, of the prophet Muh:ammad; consensus (ijma¯ E); and an-
legists. Both the ancient schools and the traditionists recog-
alogical deduction (qiya¯s). The first three of these sources
nized, as any Muslim must, the authority of the QurDa¯n, but
consist of, or are embodied in, texts and as such may be de-
as the QurDa¯n supplies relatively little material of a specifical-
scribed as the material sources of positive law. The QurDa¯n
ly legal nature, the question of whether the consensus of le-
and the sunnah of the Prophet (as recorded in the special lit-
gists or formal traditions from the Prophet was to be the pri-
erature called h:ad¯ıth) have, by virtue of their inspired charac-
mary norm after the QurDa¯n was of crucial importance for
ter, a special status not accorded the consensus: They alone
the development of Muslim legal thinking.
have been compiled into discrete textual corpora classified as
nus:u¯s:. The consensus, though not ranked among the nus:u¯s:,
Sha¯fiE¯ı himself leaned decidedly toward the traditionist
is nevertheless necessarily expressed in relatively fixed verbal
point of view. At the same time, being a lawyer by disposi-
formulations that may be regarded as essentially textual, or
tion, like the representatives of the ancient schools in whose
at least quasi-textual, in character. These are preserved within
circles he had studied (and unlike the traditionists, who
the larger literature of Islamic jurisprudence. The fourth
though much preoccupied with piety had little instinct for
source of positive law, on the other hand, is, in contrast to
legal matters), Sha¯fiE¯ı realized that some principle of legal
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US:U
¯ L AL-FIQH
9489
construction beyond that of sheer adherence to texts was nec-
had rejected, to creep back into Muslim legal thinking.
essary if law was to develop in accordance with the ongoing
Within the classical theory, it had, however, a position far
needs of the community. He therefore affirmed the validity
less exalted than the one it had enjoyed in the thinking of
of analogical deduction, a technique of legal construction
the ancient schools, for it was now subordinated, not only
that had been developed to near perfection by the ancient
to the QurDa¯n, but also to the vast body of traditions. The
schools. However, he distinguished analogical deduction
classical theory, which inherited from Sha¯fiE¯ı the notion that
sharply from the purely private judgments of the legists,
the authority of the sunnah of the Prophet was grounded in
which the ancient schools had permitted in certain cases. The
the QurDa¯n, went on to make the authority of the consensus
latter he ruled out entirely, as he did likewise the consensus
dependent on both of these.
of the legists, which, like the traditionists, he believed to be
The differences between the four madhhabs in the realm
the product of private judgment. In its place he did, however,
of legal theory have to do with the so-called supplementary
accept the general consensus of the entire Muslim communi-
principles of legal construction alluded to above. Of these,
ty on essentials. Thus did Sha¯fiE¯ı assemble as complementary
two are predominant, namely those referred to by means of
principles of legal construction four items: the QurDa¯n, the
the terms istih:sa¯n (“preference”) and istis:la¯h: (“consideration
sunnah of the Prophet as represented by formal traditions,
of public utility”). The first, which is acknowledged by the
the consensus of the community as a whole, and analogical
H:anaf¯ı school, allows a jurist to set aside a rule deduced ana-
deduction from any of the foregoing. By insisting on adher-
logically from a text in favor of another rule, whose basis in
ence to formal traditions, which in Sha¯fiE¯ı’s time were fast
the text is less obvious but that in the jurist’s personal judg-
being fashioned into a textual corpus, Sha¯fiE¯ı secured for Is-
ment provides a more equitable solution to the case at hand.
lamic law a strong literary base, thus introducing into juristic
The second, which originated within the Ma¯lik¯ı school but
activity a larger measure of stability and predictability than
was also later accepted by some legists of the Sha¯fiE¯ı and
had previously existed.
Hanbali schools, allowed a jurist to formulate a rule on the
THE CLASSICAL THEORY OF THE FOUR SUNN¯I MADHHABS.
basis of a perceived contribution to the common good
During the third century of the Islamic era (roughly the
(mas:lah:ah). Discussions of what was entailed in the notion
ninth century CE), the ancient schools of law gave way to a
of the common good proceeded from the conviction that the
new type of school called the madhhab. Whereas the ancient
essential guidelines were to be found in the texts and culmi-
schools had been essentially regional in character, encom-
nated in some very profound probings into the “ultimate
passing all legists in a particular locality such as Kufa or Me-
purposes” (maqa¯s:id) of the law of God. Because istih:sa¯n and
dina, the madhhabs derived their identity (and their names)
istis:la¯h: are kindred principles, and because neither in its clas-
from particular authoritative teachers of law, whom they
sical formulation entailed a conscious turning away from the
claimed as their founders and whose essential doctrine they
texts in favor of a totally independent use of human reason
claimed to uphold. Two such “personal schools” (Schacht’s
but looked to the texts for ultimate guidance, the differences
term)—the H:anaf¯ı and the Ma¯lik¯ı schools—emerged out of
between the madhhabs in regard to these principles may be
the ancient schools of Kufa and Medina, within which they
assessed as relatively minor.
had originated as circles of followers of two teachers of great
The large measure of agreement that the four madhhabs
prominence, Abu¯ H:an¯ıfah in Kufa and Ma¯lik ibn Anas in
eventually arrived at in the theoretical realm helped to foster
Medina. The emergence, after Sha¯fiE¯ı’s death, of another
toleration of the differences between them in the realm of
school claiming to uphold his doctrine gave added impetus
positive legal doctrine. The formulation of rules of law on
to the development of the new type of school. By the early
the basis of the recognized sources was understood to be an
tenth century at least seven such schools were in existence
arduous scholarly task, leading frequently to results of a quite
within Sunn¯ı Islam, although only four of these survived be-
tentative nature. A jurist who was qualified for this task was,
yond the thirteenth century: the H:anaf¯ı, Ma¯lik¯ı, Sha¯fiE¯ı, and
in fact, called a mujtahid (“one who strives”), and the work
H:anbal¯ı schools.
of the mujtahid is accordingly called ijtiha¯d (“striving”). The
Despite certain differences that persisted between them
result of this work was classified as “opinion” (z:ann). Thus
and despite the diversity of their origins, the four madhhabs
the rules formulated by the mujtahids represented at best
came eventually to agree upon a version of the theory of the
their considered opinion, reached after much “striving,” as
four sources that is often described as the classical theory.
to what the sources dictated with respect to specific cases
This theory differed in one important respect from Sha¯fiE¯ı’s
presented to them. This recognition of the tentativeness of
version: It accepted the consensus of legal scholars as equal
at least part of the positive law constructed by the jurists mili-
in weight to the consensus of the entire Muslim community,
tated against a dogmatic attachment to any one madhhab as
and because the latter was scarcely if at all ascertainable after
the sole valid expression of the law of God.
the Muslim community had spread beyond its place of origin
ALTERNATIVES TO THE CLASSICAL THEORY. Although the
in Medina, it was the former alone that became the effective
espousal of the classical theory by the four Sunn¯ı madhhabs
principle of legal construction (despite many difficulties in
assured it a position of undisputed predominance within the
its application). Thus in effect the classical theory allowed
larger world of Islam, this theory by no means monopolized
the cardinal principle of the ancient schools, which Sha¯fiE¯ı
Muslim thinking completely.
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US:U
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The Z:a¯hir¯ı theory. Among the earlier Sunn¯ı madhhab
occurred in 876) and his anticipated return, the community
s that eventually disappeared, one—the Z:a¯hir¯ı madhhab—
depends on the spiritual guidance of mujtahids, who, though
propounded a literalist theory of legal construction that,
not infallible—even when in agreement—are qualified by
through the writings of the madhhab’s greatest representa-
virtue of their superior knowledge of the QurDa¯n and the sun-
tive, Ibn H:azm of Cordova (d. 1064), was to remain after
nah of the “infallible authority” (as enshrined in Sh¯ıE¯ı h:ad¯ıth
the demise of the madhhab as a permanent challenge to the
collections) to carry on the task of developing the positive
classical theory, to be considered whenever the works of Ibn
law in response to communal needs. Unlike the Sunn¯ı le-
H:azm were studied. The most distinctive feature of the
gists, however, these mujtahids are not divided into a plurali-
Z:a¯hir¯ı theory was its decisive rejection of analogical deduc-
ty of madhhabs—a most reprehensible situation, to the Sh¯ıE¯ı
tion. Its literalism was of a radical sort requiring exclusive ad-
way of thinking—but constitute one unified and exclusively
herence to legal rules contained within the text’s meaning as
valid madhhab, that of the imams and the Prophet them-
determined solely through the tools of the Arabic linguistic
selves.
sciences. Analogical deduction was considered too specula-
EILM US:U¯L AL-FIQH. Interest in the methods and principles
tive, as it seemed, in the Z:a¯hir¯ı view, to entail a purely
governing the derivation of positive rules from the sources
human determination of a legal rule, even if the presumed
of law gave rise to a special Islamic science called Eilm us:u¯l
basis ( Eillah) were said to be inferred from the texts; and
al-fiqh, whose business it was to spell out these methods and
rules, according to the Z:a¯hir¯ıyah, were not for humans to
principles in detail and to deal with every conceivable issue
determine in any degree. The presence of the Z:a¯hir¯ı legacy
that might arise in connection with them. This science was
within the Islamic legal tradition promoted intensive reflec-
distinguished from Eilm al-fiqh, the science of positive law
tion among the legists upon the fundamental question of
as such. Together, these two sciences constitute the two main
what constitutes the meaning of a text. The Z:a¯hir¯ıyah, in the
branches of what may be called, in the broadest sense of the
interests of legal development, tended to stretch the concept
term, Islamic jurisprudence.
of meaning to include much of what the four principal mad-
hhabs considered to be established by analogy, so that the
Although Sha¯fiE¯ı, described already as the architect of
dispute was, partly at least, over methodological
the theory of the four sources, may also be regarded as the
founder of Eilm us:u¯l al-fiqh, especially by virtue of his treatise
The Sh¯ıE¯ı theory. Even more potent than the Z:a¯hir¯ı
known generally as the Risa¯lah, the primary agents in the de-
theory as a challenge to the thinking of the four madhhabs
velopment of this science in the century or so after Sha¯fiE¯ı
were the theories developed within Sh¯ıE¯ı Islam and especially
were a number of prominent members of the MuEtazil¯ı
within that branch known as Ima¯m¯ı, or Twelver, Shiism.
school, mentioned above. There is, in fact, a close connec-
Twelver theory, like the Z:a¯hir¯ı, rejects analogical deduction,
tion between the development of Eilm us:u¯l al-fiqh and that
but the prevailing school of thought among the Twelvers,
of speculative theology ( Eilm al-kala¯m), in which the
that of the U
¯ s:u¯l¯ıyah, posits in its place “reason” ( Eaql) as the
MuEtazilah played a prominent role; and as the agents in the
fourth source of law. Included under this rubric are a number
one were also the agents in the other, it is not surprising that
of “rational” operations. Some of these are essentially inter-
the method of investigation that prevailed in speculative the-
pretative activities and as such are considered to be “depen-
ology, namely that of dialectic, prevailed also in Eilm us:u¯l al-
dent” upon the texts, in the sense that they do not lead to
fiqh. After the eclipse of the MuEtazil¯ı school of theology by
any conclusion apart from the texts; others are completely
the “orthodox” AshEari and Ma¯turidi schools, the further de-
autonomous. Of the latter operations, the most significant
velopment of Eilm us:u¯l al-fiqh was carried on by theorists of
is the rational perception of good and evil, a notion derived
all four madhhabs, many of whom adhered to these two later
from an early Muslim school of thought known as the
schools.
MuEtazilah but denied universally by later Sunn¯ı thinkers.
The three remaining sources posited by the Sunn¯ı madhhabs
It should be noted, finally, that despite its great thor-
are accepted in Twelver theory but with important modifica-
oughness and finesse Eilm us:u¯l al-fiqh was seldom put to
tions. The sunnah of the Prophet is expanded into the sunnah
practice for the purpose either of producing new law or of
of the “infallible authority” (al-ma Es:u¯m) so as to include also
reforming existing law. The greater part of the legal doctrine
the sayings of the imams, or spiritual heads of the communi-
of the four madhhabs was formulated long before Eilm us:u¯l
ty, who are deemed no less infallible than the Prophet. As
al-fiqh reached maturity and is, in fact, in large measure a
for the consensus, which Twelver theorists take to be the
legacy of the ancient schools of law, as Schacht has shown.
general consensus of the community as a whole, it is reduced
The methods and principles elaborated in Eilm us:u¯l al-fiqh
to the role of disseminator of the doctrine of the infallible
were consequently viewed as identical with those presumed
authority, and the notion of an infallible consensus coequal
to have been employed by the great masters of an earlier peri-
as a material source of law with the QurDa¯n and the sunnah
od, especially the eponyms of the four madhhabs. E Ilm us:u¯l
of the Prophet is regarded as a Sunn¯ı aberration stemming
al-fiqh—at least in its later mature form—sought simply to
from the treasonous election of Abu¯ Bakr as the first caliph.
articulate what was supposed to have been implicit in the
During the long period intervening between the entry of the
work of the masters. At the same time it always stood as a
twelfth imam into a state of “occultation” (believed to have
potential resource for any daring mind that might wish to
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UTOPIA
9491
take a fresh and independent look at the inherited doctrine
A more traditional understanding of utopia (as in More)
and embark on a new ijtiha¯d in emulation of the masters
is that of a distant, wondrous land allegedly discovered and
themselves.
described by a traveler returning home. Hints of this are
found in Homer’s Odyssey (the account of the Phaeacians),
SEE ALSO Islamic Law.
and the earliest extant written description of utopia is that
of Euhemerus, who not only argued that the gods were origi-
BIBLIOGRAPHY
nally deified mortals but also described an idyllic social order
Coulson, Noel J. A History of Islamic Law. Islamic Surveys, vol.
2. Edinburgh, 1971.
outside the bounds and difficulties of ordinary human life.
Interestingly, priests are the effective rulers of the Sacred Isle,
Goldziher, Ignácz. The Z:a¯hir¯ıs: Their Doctrine and Their History.
although they have no official political status.
Translated and edited by Wolfgang Behn. Leiden, 1971.
Löschner, Harald. Die dogmatischen Grundlagen des ˇsî’itíschen Re-
Pertinent comparisons here include the Greek romancer
chts. Cologne, 1971.
(and perhaps Cynic) Iambulus writing on the island City of
Schacht, Joseph. An Introduction to Islamic Law. Oxford, 1964.
the Sun (early first century BCE), the church historian Socra-
tes on the location of Eden (440 century
Weiss, Bernard. “Interpretation in Islamic Law: The Theory of
CE), More’s Utopia
Ijtiha˜d.” American Journal of Comparative Law 26 (1978):
(1516), the Spanish explorer Garcilaso de la Vega’s impres-
199–212.
sions of the Inca empire (1617), the Rosicrucian Johann Va-
lentia Andreae’s Christianopolis (1619), the Dominican
BERNARD G. WEISS (1987)
Tommaso Campanella’s City of the Sun (1623), empiricist
Francis Bacon’s New Atlantis (1627), and philosophe Denis
Diderot’s Tahiti (1772), all Western in origin. More’s cres-
UTOPIA. The term utopia (from the Greek ou-topos, “no
cent-shaped, two-hundred-mile-long, substantially urban-
place,” or eutopos, “good place,” and evidently coined as a
ized island utopia is the most famous, remarkable for its reli-
pun by Thomas More for the title of his book published in
gious tolerance and its endearing priests, who do not
1516) has very diverse, often confusing connotations. Some-
persecute but instead constrain those few who happen to
times it is used to mean any idealization of the distant or pri-
hold to the three destructive, forbidden views: that the soul
mordial past, when humans lived closer to the gods (or God),
is mortal, that the world is the outcome of mere chance, and
as found in Sumero-Akkadian cuneiform accounts of Dil-
that there is no reward or punishment after death.
man; in the Hebrew story of Eden of Genesis; in portrayals
of the Golden Age by Hesiod, Vergil, Symmachus, and other
Possible Eastern analogues to these strangely removed
Greek and Roman writers; in myths of the “perfect great pe-
lands are found in Chinese and particularly Daoist beliefs
riod” (k˙rtayuga, su´sama¯, etc.) in later Vedic, earlier Jain, and
from the fourth century CE onward. Accordingly, select indi-
Buddhist traditions; or in accounts of the early age of the
viduals could secure, by some potion or other means, virtual
four (mythic) emperors of popular Chinese thought. In some
immortality, and “not somewhere else out of this world,” as
ancient cultures, the original inhabitants of certain foreign
Joseph Needham puts it, “nor in the underworld of the Yel-
regions were imagined to live in an innocent, trouble-free
low Springs, but among the mountains and forests here and
state (the Greeks, for instance, wrote of the Ethiopians,
forever.” Looking further afield, from the pre-Christian
Scythians, and others in this fashion), while not a few stu-
Americans one learns of South American Indian migrations
dents of prehistory in modern times have visualized the earli-
(the Guariní, in particular) in quest of the “land without
est humans as herbivores, free from war (as held by Richard
evil” to the east. In transitional Melanesia, individuals who
Leakey), or as without the sexual constraints and inequalities
have managed to journey well beyond their own cultural
of later ages (as held by Friedrich Engels).
bounds during colonial times (such as police, recruited labor-
ers, and others) have often spun together novel mythic histo-
In contrast, the term utopia at other times refers to the
ries about where the whites came from—Britain, Germany,
future realization of some perfect place and time. It can take
Jerusalem, Sydney, and so on—and how they acquired
on futurist instead of primitivist associations, thus becoming
“cargo” (European goods). From such far-off utopias, where
a lost paradise regained, the projection of the hopes and
God, the ancestors, and culture heroes are present, cargo
dreams of a millenarianism (the kingdom of God or its
came as transformation and blessing to the islanders.
equivalent on earth), or the establishment of an ideal society
divinely or otherwise sanctioned to replace the glaring ills of
In the present day, the idea of utopia has become insep-
the day. Occasionally notions of heavenly worlds—such as
arable from utopianism, the systematic attempt to engineer
the mythic Isles of the Blessed in Greco-Roman belief, the
a preferable, even perfect society. The origins of utopia in
Chinese Ma¯ha¯yana Buddhist Pure Land of the West, or the
this sense might be said to go back to the construction of the
QurDanic vision of heaven as fertile gardens with maidser-
first cities (according to Lewis Mumford) or at least to the
vants—have been described as utopian, as also have visions
schemes of Plato (and the lesser-known Greek thinkers Hip-
of an eternal city set above the known order, such as Augus-
podamus and Phaleas). But many scholars do not consider
tine’s City of God, which nevertheless partakes of earthly af-
this exercise in model building for revolutionary social trans-
fairs.
formation much older than the eighteenth century (the mod-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9492
UTOPIA
erately aristocratic Oceana scheme by the Englishman James
Communism and socialism take a number of forms, al-
Harrington in 1656 being only faintly precursory), and they
though many less obviously political expressions are often re-
have pointed out the central role of the Western ideal of uni-
ferred to as communalisms, commutarianisms, or com-
versal progression toward utopianism’s realization. They also
munes. Many and varied small-scale utopian communities
recognize the secondary importance of practical experimen-
have been established in the modern-day West, with the
tation in the Americas, where, especially in North America,
greatest number in North America. One discovers parallel
European colonists attempted to establish new kinds of com-
and prototypic communities in earlier religious history: the
munity or sought a new paradise in the wilderness away from
Chinese Daoist and Neo-Confucian retreats of sagehood
the evils of the Old World.
(Zhang Daoling at Dragon Tiger Mountain, Kiangsi, during
Utopianist designs for social reconstruction have not al-
the first century CE, or Zhou Dunyi at Lu Shan, c. 1050);
ways been distinctly religious, except insofar as their ethical
in the early monasticisms (both the Jain and Buddhist tradi-
stances reflect spiritual values. As the chief protagonist in
tions in India, the Jewish Qumranites and Therapeutae, the
Plato’s Republic, Socrates was an atheist when it came to the
Christian Pachomians, Benedictines and their medieval suc-
old gods, yet the guardians of his new polity were to be fully
cessors, etc.); in the elitist, and for all appearances sectarian,
enlightened by the supreme idea of the good (the equivalent
spiritual fraternities (Indian a¯´sramas, the ancient gnostic and
of God). In modern times, utopianists have voiced radically
hermetic schools of Egypt, the medieval Brethren of the Free
anticlerical, if not anti-Christian sentiments, yet they have
Spirit in Germany and the Low Countries, the Rosicrucian
been dominated by a vision of what is ethically right regard-
Order, and other esoteric groups in seventeenth-century En-
ing human relationships. The first utopia as a projected,
gland and Germany); and in the communities of the radical
future program rather than a millennial fiat was that of
Reformation (Anabaptists, Hutterites, etc.) with this tradi-
the French progressivist Sebastian Mercier. In his tract on the
tion generating Mennonite, Amish, and other experiments
year 2440 (written in 1770) he expressed his wish that the
in North America, including the Quaker City of Brotherly
church as he knew it would not survive, but nonetheless he
Love, Philadelphia.
imagined an initiation ceremony using telescopes and micro-
By the nineteenth century the United States was sprin-
scopes, in which young people would discover God, the au-
kled with many religious communities, at that time often
thor of nature (which, in turn, would serve as the basis of
dubbed “socialisms” (John Humphrey Noyes documented
justice). Disillusioned with ecclesiastical orthodoxy, in 1825,
at least forty-eight in his History of American Socialisms,
one of his successors, Saint-Simon, wrote New Christianity,
1870) but today more likely called utopias or (somewhat pe-
and the renowned Charles Fourier described a New Earth in
joratively) “cults.” The most famous, distinctly religious ex-
the dawning of the Third Age, like Joachim di Fiore’s Age
amples were Amana in Iowa, New Harmony in Indiana (in-
of the Spirit (1847). If François-Noël Babeuf and Pierre-
spired by Owen), the Shaker and Oneida communities (in
Joseph Proudhon, two other French utopianists, were secular
New York and elsewhere), as well as the Mormon settlements
communists in their approach, each nevertheless preached
in Utah. During the first half of this century such communi-
with a religious intensity against injustice. There were other
ties were spawned in the northwestern states, and since
European utopian thinkers in the nineteenth century, both
World War II the popularity of life in communes or special
English and continental, from Scottish industrial reformer
retreats has grown, especially in California because of the im-
Robert Owen, a man touched by Christian millennial hopes
pact of Eastern meditative traditions and the rejection of
in his New Vision of Society (1813), to vehemently antireli-
highly mechanized and plutocratic North American society
gious anarchists, including Petr Kropotkin, a Russian littera-
(in favor of, for example, a drug culture, anarchy, or a more
teur active at the end of the century.
highly disciplined, ascetic way of life). Some have been in-
Marxism has been characterized as a species of secular
spired by Thoreau’s Walden and other American celebrations
utopianism, even millenarianism, for presaging a future, su-
of seclusion in the wild, others by ravaged Amerindian tradi-
pranational society free of classes following a series of prole-
tions. Comparable postwar communes were established in
tarian revolutions. Both Karl Marx himself and his collabora-
northern Europe and Australia.
tor Engels, however, detached themselves from the utopians
In view of these developments and the growth of state
(especially Proudhon) by arguing that the historical process
communism, Christian theologians have debated whether
rather than artificial reorganization would produce a radical-
Christianity is a utopian faith. Reinhold Niebuhr character-
ly better order. However, the fact that the programs of Lenin
ized the Christian position as anti-utopian because evil can
and Stalin in Russia, Mao Zedong in China, Kim Il Sung
never be eradicated from society, while Paul Tillich argued
in North Korea, and others reveal massive political manipu-
that utopian dreaming has positive value in setting ideal goals
lation and forced mobilizations to support communist state
but must be transcended when only enslavement or force can
policies suggests that where Marxism has been dominant in
secure its long-lasting actualization. Modern Eastern philos-
certain societies, politics have typically drifted toward the
ophers, particularly Indian gurus who have encouraged or
utopian, social-engineering model that Marx himself dis-
founded new communes, characteristically teach that such
dained. The end product of these maneuvers was meant to
communities are but transitory supports before liberation
be a society free not only from classes but from religion.
from the realm of physical contingency and karmic law.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
UTOPIA
9493
Utopia is a subject for both the sociology and psycholo-
unwillingly, “as good patterns of life in an ahistorical cos-
gy of religion. When attempts are made to realize a utopian
mos” (Olson, 1982). Little thought is given to what may lie
scheme, it is important to ask questions about social dynam-
beyond or develop out of these Utopias in the future, since,
ics, the role of a charismatic leader or elders, its degree of du-
like the millennium, they constitute an end or proper fulfill-
rability, and the rate of attrition. A stringently prestructured
ment of the known order. Unlike the millennium, however,
scheme usually results in a more legalistic orientation and a
utopia can be discovered, and although it may also be the
greater resort to authoritarianism, while in looser efforts at
product of dreaming and imagination, it can be devised ra-
cooperation unity is maintained more by common hope of
tionally and is not constructed only from the elusiveness and
labors rewarded or a coming transformation. A shared sense
ambiguities of apocalyptic literary authorities. Admittedly
of purpose, however, especially by the genuinely faithful, is
some forms of millennialism, particularly those of American
crucial for the survival of either kind of movement. Apropos
theologians who preached that the kingdom of God had to
to religious categorization, utopianism tends to characterize
be worked for on earth (as documented best by Ernest Lee
sectarian, spiritualistic, and mystical persuasions, just as most
Tuveson), compare better with utopian visions. On the other
utopists in the political arena tend to reject the current order
hand, such visions are not intrinsically incompatible with
of realpolitik, feeling it reflects the morally bankrupt estab-
noneschatological or more decidedly secular approaches to
lished system.
social reform. Marx, Freud, and other atheist commentators,
however, suggest that all religion is inherently utopian in re-
Utopianism in practice is as attractive psychologically as
flecting the presumptions or hypothesizing about a given
millenarianism is for idealists, or for those in quest of some
realm—especially the afterlife—that escapes the ordinary
certainty and an anxiety-free existence in a sea of cultural,
contingencies of material existence and selfhood. And if this
religious, and ethical pluralism. Utopia can also provide, as
is at least arguable, so too it can be proposed that utopia is
can the millennial transformation to come, satisfaction for
fundamentally a given of religious consciousness.
feelings of resentment toward the world’s ills or the society
from which utopists secede. A need for the certainty a utopia
SEE ALSO Cargo Cults; Community; Golden Age; Millenar-
can provide often coincides with extensive rule making and
ianism; Noyes, John Humphrey.
authoritarianism, while recriminatory tendencies can lead to
isolationism and relative xenophobia.
BIBLIOGRAPHY
Ferguson, John. Utopias of the Classical World. Ithaca, N.Y., 1975.
Utopianism, when viewed as an oneiric tendency to
Holloway, Mark. Heavens on Earth: Utopian Communities in
project a vision of a better life or as exercises of the imagina-
America, 1680–1880. 2d ed., rev. New York, 1966.
tion that lead to social questioning, is more a product of the
Kanter, Rosabeth Moss. Commitment and Community: Communes
mind and religious intellectual activity than social organiza-
and Utopias in Sociological Perspective. Cambridge, Mass.,
tion. The contemplation of happiness and what it entails is
1972.
a perennial feature of philosophical reflection in religious or
Lasky, Melvin J. Utopia and Revolution: On the Origins of a Meta-
quasi-religious traditions, and utopianism is one of its clearer
phor. Chicago, 1978.
manifestations. Students of the unconscious will note that
Lovejoy, Arthur O., and George Boas. Primitivism and Related
the displacement of reality for imagined visualization can
Ideas in Antiquity. Baltimore, 1935.
compel archetypally vivid dreams and rich symbols. Psycho-
Manuel, Frank E., ed. Utopias and Utopian Thought. Boston,
analytically interesting, moreover, is the aspect of utopias
1967. Includes important articles by Lewis Mumford and
that touches on sexual mores. Thomas More imagined an
Paul Tillich.
ideal marriage state, with children being brought up by the
Needham, Joseph. Science and Civilisation in China. 5 vols.
community as a whole. An actual attempt at reconstructing
Princeton, N.J., 1954–1983.
Eden-like conditions of the male-female union came with
Noyes, John Humphrey. History of American Socialisms. Philadel-
the Adamites, one pre-Reformation group of which was iso-
phia, 1870. Reissued as Strange Cults and Utopias of Nine-
lated on an island in the river Elbe in Germany from the fif-
teenth-Century America. (New York, 1966).
teenth century onward. Members went naked (a reminder
Olsen, Theodore. Millennialism, Utopianism, and Progress. Toron-
that nudist colonies are essentially utopian), and the “natu-
to, 1982.
ralness” in the sexual relations of later groups are portrayed
Pöhlmann, Robert von. Geschichte der Sozialen Frage und des Sozi-
in the indelible symbols of Hieronymous Bosch’s Garden of
alismus in der antiken Welt. 2 vols. Munich, 1925.
Worldly Delights (1506?). A modern utopia of particular in-
Richter, Peyton E., ed. Utopias: Social Ideas and Communal Exper-
terest regarding the relationship of religion and sexuality is
iments. Boston, 1971.
the Oneida community which was governed by Noyes’s
complex books of instruction.
Thrupp, Sylvia L., ed. Millennial Dreams in Action. New York,
1970.
Whether as a product of thought or action, or analyzed
Tuveson, Ernest Lee. Millennium and Utopia. Berkeley, Calif.,
in a sociological or psychological sense, utopianism charac-
1949.
teristically betrays assumptions about the limited relevance
Venturi, Franco. Utopia and Reform in the Enlightenment. Cam-
of historical change. Utopias are often conceived, sometimes
bridge, 1971.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9494
UTU
Yates, Frances A. The Rosicrucian Enlightenment. London, 1972.
jurisdiction. The evil actions of ghosts and the harm brought
about by demons or sorcerers—all affecting the outlines of
New Sources
Collins, Steven. Nirvana and Other Buddhist Felicities. Cam-
the cosmic order—are battled by the god, who, for this rea-
bridge, 1998.
son, is invocated in the incantations. Yet an Utu hymn,
which also concerns ghosts, may be imploring Utu to allow
Dawson, Doyne. Cities of the Gods: Communist Utopias in Greek
a dead man into the netherworld (Cohen, 1977).
Thought. New York, 1992.
Eaton, Ruth. Ideal Cities: Utopianism and the (Un)built Environ-
UTU AS HELPER AND RESCUER. In the same cultural frame
ment. Antwerp, 2001.
Utu plays a crucial role in purification ceremonies such as
the bit rimki, an ablution ritual against evil caused by
Eliav Feldon, Miriam. Realistic Utopias: The Ideal Imaginary Socie-
eclipses. Of capital importance too is his role in the counter-
ties of the Renaissance, 1516–1630. Oxford, 1982.
witch maqlû (“burning”) ritual. After the night trial that con-
Hardy, Dennis. Utopian England: Community Experiments, 1900–
victed the witch and absolved her victim (originally judge-
1945. London, 2000.
ment took place by day) and the witch’s consequent destruc-
Levitas, Ruth. The Concept of Utopia. New York, 1990.
tion in the morning under the sun’s beams, the purifications
Neville-Sington, Pamela, and David Sington. Paradise Dreamed:
were carried out, thus freeing the victim from evil and restor-
How Utopian Thinkers Have Changed the Modern World.
ing his or her previous relationship with his or her personal
London, 1993.
god (Abusch, 2002). Sunlight also provides the means of de-
tection, and consequently Utu is the one who knows the
GARRY W. TROMPF (1987)
Revised Bibliography
most hidden aspects of the universe. Because of this skill he
(together with Ishkur/Adad) is the “lord of the omina,” for
the truth the oracle manifests reveals the ways of the cosmic
order known to the god. The omen is signifier of other reali-
UTU. Utu was the Sumerian god of the sun (he is identi-
ties; hence in the poem “Enmerkar and the Lord of Aratta”
fied with the Akkadian Shamash) and the city god of both
the god plays a determining role in the invention of writing.
Sippar and Larsa, where he had temples bearing the same
Being all-knowing of hidden connections, he can also indi-
name “shining house.” Utu was the son of the moon god,
cate the right direction to anyone who is lost or does not
Nanna, and therefore brother of Inanna and Ishkur. Hence
know the way (see the myths of Gilgamesh and Huwawa and
he belongs to the fourth generation of gods after the supreme
of Lugalbanda). In addition he is merciful. Misfortune is a
god An, and he represents the third cycle, coming after that
consequence of the actions of evil entities, and the god repels
of the annus sideralis—related to the sky vault of An—and
them into the darkness. Utu was considered to be the helper
that of the lunation of the moon god Nanna—who is the
and advocate of the oppressed, safeguarding the orphan, the
first divinity of light, a bridge between the “invisible” (New
widow, and the poor (a task entrusted to the sovereigns), a
Moon) superior divinities, namely Enlil, Enki, and Ninhur-
role that was also attributed to the goddess Nanshe. It was
saga, and the “illuminator” divinities, namely the sun,
Utu’s function to right injustice, and the oppressed turned
Venus, and lighting. The cycle attributed to Utu is the diur-
to him with their cry “I-Utu” (“O Utu!”), a phrase that came
nal one, not the annual one, and it is this aspect that deter-
to mean oppression itself, and even (complaining) malcon-
mines his functions. As god of the sun, Utu was believed to
tents. As master of the borders, of the signs, and of the laws
ride the heavens from sunrise to sunset in a chariot pulled
that govern them all, he is also master of all physical features,
by four storm-beasts and then to descend to the netherworld
that is, of people’s borders. In fact Utu transforms Dumuzi,
at sunset to continue his circuit until the morning. A fre-
pursued by the demons, into different animal forms in order
quent scene in cylinder-seal iconography shows Utu rising
to rescue him.
in the eastern mountains holding a “saw” (the sun’s rays).
COROLLARIES. Utu has control over access to and egress
Utu held an important position in the pantheon, al-
from the netherworld, a power possibly related to his own
though he does not figure prominently in mythological tales.
ability to enter the netherworld every evening and emerge at
According to the myth of Enki and the world order, Enki
sunrise as lord of the border between day and night. Thus
entrusted Utu with the borders of the universe; all of Utu’s
in the myth of Gilgamesh, Enkidu, and the netherworld, En-
other functions derived from this role. Foremost was the ad-
kidu is trapped in the netherworld until Enki has Utu open
ministration of justice by defining the borders of rights and
a “window” so that Enkidu may ascend. Utu also served as
wrongs; in this task his attendants were Justice and Righ-
judge of the netherworld, a function shared somewhat with
teousness, two deities of his suite which included—among
the deified dead Gilgamesh and Dumuzi. This judgment of
others—his wife Aja and his main assistant Bunene. Judg-
the dead and of the other denizens of the netherworld does
ment actually took place in the morning, when the gods as-
not seem to have involved a concept of eternal reward and
sembled; without Utu’s rising, there could be no justice.
punishment, and it probably consisted of settling disputes
Hence kingship—regulating society according to the divine
and keeping the peace between the souls there. The character
laws and defending or enlarging the borders of the cosmos
of Utu/Shamash, as mentioned above, is an element wedged
(i. e., the kingdom,) against the chaos—is placed under Utu’s
between two related systems: binary (invisible versus visible
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VAIKHA¯NASAS
9495
divinities) and trinary (year, month, day). This could be the
For Ebla, see A. Archi, “Substrate: Some Remarks on the Founda-
reason for his limited diffusion outside Mesopotamia (al-
tion of the West Hurrian Pantheon,” in Hittite and Other
though his qualities of omniscience, justice, and mercifulness
Anatolian and Near Eastern Studies in the Honor of Sedat Alp,
made him popular where Mesopotamian culture penetrat-
edited by H. Otten, E. Akurgal, and A. Süel (Ankara, Tur-
ed). A solar divinity is mentioned in the Eblaite texts (twen-
key, 1992), pp. 7–14. For Syria in late antiquity, see Jürgen
Tubach, Im Schatten de Sonnen Gottes: Der Sonnenkult in
ty-fifth century BCE) with the Sumerian cuneiform ideogram
Edessa, Harran und Hatra am Vorabend der christlichen Mis-
Utu. Although a Semitic reading Sipish for that ideogram is
sion (Wiesbaden, Germany, 1986); and Wolfgang Fauth,
supported by a geographic name, it is not clear whether only
Helios Megistos: Zur synkretistischen Theologie der Spätantike
a masculine sun god was meant, as in Mesopotamia, or a
(Leiden, 1995).
solar goddess, in accordance with the Western Semite tradi-
T
tion of the eastern Mediterranean coast in later times. The
IKVA FRYMER-KENSKY (1987)
PIETRO MANDER (2005)
most realible hypothesis is that two sun divinities were pres-
ent in Ebla, a masculine one occurring in royal rituals (which
were cerainly Eblaite in origin) and a feminine one found in
an exorcism. From Hittite Anatolia comes an important
VAIKHA¯NASAS. The chief “priests” (arcakas) in more
hymn—with evident and very strong Babylonian influ-
than half the Vis:n:u temples in the South Indian states of
ences—to the sun god Iltanu, notwithstanding the impor-
Tamil Nadu, Andhra Pradesh, and parts of Karnataka—
tance of the sun goddess of Arinna.
including the renowned Hindu pilgrimage center, Tirupati
In later times the “sophisticated polytheism” led the
in Andhra Pradesh—Vaikha¯nasas are a tiny, widely dispersed
major divinities to be considered aspects of Marduk (Lam-
brahman community of about 3,000 families. Claiming to
bert, 1975). Shamash was Marduk when exercising justice.
be a surviving school of Vedic ritual performance, the Tait-
It was perhaps with this configuration that Shamash was
tiriya ´sa¯kha¯ of the Kr:s:n:a Yajurveda, Vaikha¯nasas have their
emancipated from his original double frame, and his impor-
own complete Vedic Kalpasu¯tra in addition to prescriptive
tance was felt even outside the bounds of Mesopotamia.
manuals on temple performances exemplifying the so-called
Thus in Hellenistic times he was ready to meet—possibly
A¯gama literature. Beyond the intrinsic interest of their litera-
through the mediation of the ancient Iltanu of Hittite
ture and the evidence it provides for further inquiry into
times—the character of Apollo, who was in many aspects
questions of continuity and change in India’s religious tradi-
similar and who had been formerly present on the Anatolian
tions, Vaikha¯nasas command special interest and attention
coasts from the end of eighteenth century BCE. For more on
because of their contemporary temple activities and efforts
the diffusion in late antiquity Hellenistic culture of the god
to maintain community integrity despite accelerating social
Shamash in Hatra, in the Nabatean site of Khirbet Tannur,
and technical change.
and in the Syrian region, in towns such as Harran, Edessa,
Mana¯’s discussion of vanaprastha (“forest-dweller,” the
Dura Europos, Palmyra, and Heliopolis (Baalbek in the
third of the four classical a¯´sramas mentions a “Vaikha¯nasa
Beqaa Valley), see Tubach 1986 and Fauth 1995.
rule” (Ma¯nava Dharma´sa¯stra 6.21). As other ancient author-
ities seem to support this reference, it appears quite likely
SEE ALSO Dumuzi; Kingship; Mesopotamian Religions;
Sun.
that there existed a distinct Vaikha¯nasa reclusive community
some time before the beginning of the common era, though
B
the extant Vaikha¯nasa su¯tras seem to be no older than the
IBLIOGRAPHY
For a general treatment of Utu, see Pietro Mander, “La difesa del
fourth century CE. The Vaikha¯nasa Gr:hyasu¯tras prescribe a
Debole e la Giustizia nella Civiltà Sumerica: Dal Piano
daily worship of Vis:n:u that involves the fabrication of an
Divino e della Speculazione Teologica al Piano Sociale,” in
image and is said to be “equal to the worship of all the gods”
Non Violenza e Giustizia nei Testi Sacri delle Religioni Orien-
(Vaikha¯nasa Gr:hyasu¯tra 4.10–12). In essential details, this
tali, edited by C. Conio and D. Dolcini (Pisa, Italy, 1999),
devotional service “prefigures” the arcana (service to images)
pp. 13–28. For peculiar aspects of the god, see Mark E.
detailed in the Vaikha¯nasa Sam:hita¯s; and it is plausible that
Cohen’s “Another Utu Hymn,” Zeitschrift für Assyriologie 67
Vaikha¯nasa literature documents the community’s transition
(July 1977): 1–19; W. Heimpel, “The Sun at Night and the
Doors of Heaven in Babylonian Texts,” Journal of Cuneiform
from a Vedic “school” of ritual observance to a “school” of
Studies 38 (1986): 127–151; B. Alster, “Incantation to Utu,”
the religious performances characteristic of Hindu devotion-
Acta Sumerologica (Japan) 13 (1991): 27–69; Mark J. Geller’s
al cults.
“Very Different Utu Incantations,” Acta Sumerologica
Louis Renou proposed (L’Inde classique, vol. 1) that the
(Japan) 17 (1995): 101–126; and W. G. Lambert, “The His-
Vaikha¯nasa is a bha¯gavata tradition that, while emphasizing
torical Development of the Mesopotamian Pantheon: A
Vis:n:u-Na¯ra¯yan:a bhakti, did not exhibit the sectlike exclusivi-
Study in Sophisitcated ‘Polytheism,’” in Unity and Diversity,
edited by H. Goedicke and J. J. M. Roberts (Baltimore and
ty apparently characteristic of early Pa¯ñcara¯tra eka¯ntins
London, 1975), pp. 191–200. For discussion of Shamash as
(“monotheists”). Certainly, the Vaikha¯nasas’s own insistence
judge, see the Shamash hymn in W. G. Lambert’s Babylonian
that they are vaidikas and not ta¯ntrikas clearly evidences their
Wisdom Literature (Oxford, 1960), pp. 121–138; and T.
concern with distinguishing themselves from pa¯ñcara¯trikas.
Abusch, Mesopotamian Witchcraft (Leiden, 2002).
This concern is further illustrated in their refusal (at least
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9496
VÄINÄMÖINEN
since the mid- to late nineteenth century) to undergo
mented by Wilhelm Eggers’s Das Dharmasu¯tra der
Vais:n:avad¯ıks:a¯ (“initiation” as a Vais:n:ava) on the grounds
Vaikha¯nasas (Göttingen, 1927). Of the Vaikha¯nasa ritual
that they are “Vais:n:avas at/from birth” because their mothers
handbooks, or Sam:hita¯s, the Ka¯´syapajña¯naka¯n:d:a is ably
underwent a particular life-cycle rite (sam:ska¯ra) during their
translated into English by Teun Goudriaan as Ka¯´syapa’s Book
first pregnancies. Still, the exact historical relationship be-
of Wisdom (The Hague, 1965). Also, Teun Goudriaan’s
tween Vaikha¯nasas and pa¯ñcara¯trikas remains unclear.
“Vaikha¯nasa Daily Worship According to the Handbooks of
Atri, Bhr:gu, Ka¯´syapa, and Mar¯ıci,” Indo-Iranian Journal 12
Inscriptions from perhaps the eighth century CE identify
(1970): 161–215, is an invaluable reference. Supplemented
Vaikha¯nasas as temple functionaries. According to
by the appropriate sections of Carl Gustav Diehl’s Instrument
Vaikha¯nasa tradition, the sage Vikhanas (a manifestation of
and Purpose (Lund, 1956) that outline daily performances in
Brahma¯ or Vis:n:u) composed the Vaikha¯nasa Kalpasu¯tra and
South Indian S´iva temples, Goudriaan’s essay affords an ex-
taught four disciples—Atri, Bhr:gu, Ka¯´syapa, and
cellent idea of the essential structure and details of Agamic
Mar¯ıci—the procedures of samu¯rta¯rcana (“devotional service
temple performances. And my “Maha¯sam:proks:an:a, 1981:
[to Vis:n:u] with images”). Sam:hita¯s (“collections”) of
Agama and Actuality in a Contemporary Temple Renova-
tion,” Agama and Silpa (Bombay, 1984), pp. 69–102, and
versions of these instructions, said to have been authored
“Tradition, Text, Person,” History of Religions (May 1986)
by these four disciples, constitute the core of Vaikha¯nasa lit-
shed some light on the Vaikha¯nasas’ contemporary circum-
erature.
stances.
More so than their Pa¯ñcara¯tra counterparts, the
G. R. WELBON (1987 AND 2005)
Vaikha¯nasa Sam:hita¯s are the literature of ritual prescription,
providing detailed instructions from priest to priest for con-
structing and dedicating temples and images and for con-
ducting religious ceremonies involving them. While not neg-
VÄINÄMÖINEN is the protagonist of the Finnish na-
ligible (as some scholars have asserted), the explicit jña¯na
tional epic, the Kalevala, and an important figure in ten an-
sections of these texts are brief, and thus certain important
cient Finnish poems in Kalevala meter. He is the inventor
features must be inferred from their discussions of ritual.
of the kantele (the ancient psaltery used to accompany the
These texts emphasize the distinction between Vis:n:u as the
chanting of the Kalevala epics), an expert singer, and a master
pervasive, unfigured (nis:kala) presence in the universe and
musician. Väinämöinen has taken part in the primeval acts
his figured (sakala) presence occasioned in his graceful re-
of creation; were he to be killed, joy and song would depart
sponse to intent devotional meditation. Initially, this is the
this earth.
meditation of the arcaka who conducts the proceedings
Väinämöinen’s name is derived from the word väinä,
through which the deity comes to dwell in prepared images;
meaning a strait or a wide, slowly flowing river. The deriva-
subsequently, it is the essence of the behavior of devotees to-
tion seems to indicate that Väinämöinen was originally asso-
ward images so enlivened. Discussion of cosmogony in the
ciated with water, but scholars are not in agreement about
Vaikha¯nasa texts principally traces the backgrounds of the
this or any other explanation of the hero’s original character.
human predicament: being caught in sam:sa¯ra. According to
He often goes by the epithet “the old one,” and he is repeat-
Vaikha¯nasa teaching, moks:a is “release” into Vis:n:u’s heaven,
edly characterized as “the everlasting wise man.”
and the nature of one’s moks:a depends on a devotee’s service:
The images of Väinämöinen that occur in folk poetry
attentive repetition of prayer (japa), sacrifice (huta), service
can be grouped into four basic types: (1) creator of the pri-
to images (arcana), or meditation conforming to yogic regi-
meval sea, (2) culture hero, (3) shaman hero, and (4) sea hero
men (dhya¯na). Among these four, the Mar¯ıci Sam:hita¯ de-
and suitor.
clares that arcana is the realization (sa¯dhana) of all aims.
1. As creator of the primeval sea, Väinämöinen shapes the
SEE ALSO Tamil Religions; Vais:n:avism.
seabed by creating holes and shoals in it. Once his work is
done, a bird—an eagle, a scaup duck, or a goose—makes a
BIBLIOGRAPHY
nest on his knee and lays an egg (in some versions, eggs).
Those who read French will profitably consult Gérard Colas’s
When Väinämöinen shifts his knee the egg breaks, and the
Vis:n:u, ses images et ses feux: Les métamorphoses du dieu chez
pieces become the various elements of the world:
les vaikha¯nasa (Paris, 1996), a comprehensive study of
Vaikha¯nasa teachings and ritual. Colas’s earlier Le temple
What was the egg’s upper shell
selon Marici (Institut Français d’Indologie, Pondichéry,
became the heavens above
1986) provides annotated translation of passages in the
what was the egg’s lower shell
Mar¯ıcisam:hita¯ dealing with the construction of temples and
icons. In English, Jan Gonda’s summary overview of
became mother earth below
Vaikha¯nasa literature in his Medieval Religious Literature in
what was the white of the egg
Sanskrit (Wiesbaden, 1977), pp. 140–152, remains useful as
became the moon in the sky
does Willem Caland’s landmark essay On the Sacred Books of
the Vaikhanasas (Amsterdam, 1928).
what was the yolk of the egg
the sun in the sky
Caland’s translation of the Vaikha¯nasasma¯rtasu¯tram (Calcutta,
1929) gives reliable access to a crucial text and is comple-
what on the egg was mottled
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VAIS´ES:IKA
9497
became the stars in heaven
ates his role, or even satirizes him. The two strata tended to
mix during the eighteenth or nineteenth centuries; Lönnrot
what on the egg was blackish
brought this process to its logical conclusion when he com-
became the clouds in the sky.
piled and edited the Kalevala. At the same time, he strength-
(Bosley trans., in Kuusi et al., 1977)
ened Väinämöinen’s central position by casting him in roles
originally occupied by other characters. He also divested him
Väinämöinen then joins his brother Ilmarinen in the upper
of mythological features and endowed him with human,
aerial regions to strike a spark that falls through the nine
though manifestly heroic, traits.
heavens to Lake Alue. Väinämöinen’s association with celes-
tial bodies is reflected in the old Finnish names for Orion
SEE ALSO Finnish Religions; Ilmarinen; Lemminkäinen;
and the Pleiades, which mean “Väinämöinen’s scythe” and
Tuonela.
“Väinämöinen’s birchbark shoes,” respectively.
2. As culture hero, Väinämöinen builds the primeval boat,
BIBLIOGRAPHY
which one day strikes a great pike from whose bones he
Haavio, Martti. Väinämöinen, Eternal Sage. Translated by Helen
Goldthwaite-Väänänen. Folklore Fellows Communications,
makes the first kantele, which he uses to enchant the world.
no. 144. Helsinki, 1952. An essay in which the shamanistic
In Ingria (the region between Estland and Lake Ladoga) vari-
traits in the poems on Väinämöinen are emphasized.
ous goods are made from the great oak felled at Väinäm-
Krohn, Kaarle. Kalevalastudien, vol. 5, Väinämöinen. Folklore Fel-
öinen’s command. In some regions Väinämöinen was be-
lows Communications, no. 75. Helsinki, 1928.
lieved to be the first cultivator of flax and hemp as well as
Kuusi, Matti, Keith Bosley, and Michael Branch, eds. and trans.
the inventor of the fishnet. He is also credited with concoct-
Finnish Folk Poetry: Epic; An Anthology in Finnish and En-
ing various ointments and curing diseases and with the abili-
glish. Helsinki, 1977.
ty to stop the flow of his own blood. Like most culture he-
MATTI KUUSI (1987)
roes, Väinämöinen departed from the world, in his case in
an iron-bottomed boat, once humanity had reached a certain
level of development, and is prophesied to return in the
future.
VAIS´ES:IKA. The Vai´ses:ika school of Indian philosophy,
founded by Kan:a¯da (sixth century BCE?), has concentrated
3. As shaman hero, Väinämöinen uses his singing to charm
mostly on issues and themes of ontology and has closely co-
the young Saami (Lapp) Joukahainen, a rival shaman, into
operated with the Nya¯ya, its sister philosophical school, on
a swamp, where he abandons him by revoking his magical
matters of epistemology. Like many other schools of Indian
song. Other shamanistic motifs include Väinämöinen’s
philosophy, it upholds that all living beings, human or non-
crossing a river to visit Tuonela (the land of the dead) and
human, have souls that are different from the body, eternal,
returning as a snake, and his obtaining knowledge from An-
and ubiquitous; that the supreme goal of life is liberation
tero Vipunen, a dead wise man. Väinämöinen also resorts to
from the bondage of karman and the cycle of birth and re-
shamanistic power in his quest for the sampo, a support of
birth; and that the attainment of liberation is the only means
the world. A belt worn by Finnish shamans up to the nine-
of ensuring freedom from all suffering.
teenth century, from which magic objects were hung and
which was used as an aid in incantation, was known as “the
According to Vai´ses:ika teaching, the soul is a kind of
belt of old Väinämöinen.”
substance that is conceived as the substratum of quality par-
ticulars (gun:as) and motion. Both quality particulars and
4. As sea hero and suitor, Väinämöinen appears in those
motion are related to the substance by way of inherence
parts of the extensive Sampo epic cycle concerning his theft
(samava¯ya). Samava¯ya is a special kind of relation as well as
of the sampo and the contest among heroes for the mistress
an independent ontic category that binds only those two
of Pohjola (“homestead of the north”). In one episode a
kinds of relata, one of which must be destroyed with the sev-
Saami shoots Väinämöinen, who falls into the sea and drifts
erance of the relationship. Substances, quality particulars,
until he is rescued by the mistress of Pohjola. At other times
and motions share common properties, or universals, that are
he engages in a dispute with Ilmarinen’s sister Anni or makes
eternal and independent of their substrates and yet related
an unsuccessful attempt to capture a mermaid. Finally, he
to them by way of inherence. Physical substances are pro-
orders the killing of a fatherless half-month-old boy in a
duced from combinations of atoms, which are eternal, indi-
marsh. When the baby suddenly begins to speak, deprecating
visible, and imperceptible. Each eternal substance is charac-
the old man, Väinämöinen is compelled to rescind his order.
terized by an ultimate differentiator (vi´ses:a), which serves as
In Elias Lönnrot’s redaction, this final scene of the Kalevala
a basis of distinction under circumstances where no ordinary
is intended to be an allegory for the retreat of paganism and
means of distinction is available. Besides the above six kinds
the rise of Christianity.
of positive ontological categories—substance, quality partic-
The tradition of poem-cycles and miniature epics with
ular, motion, universal, inherence, and ultimate individua-
Väinämöinen as chief protagonist began in the distant past.
tor—there is a negative ontic category, including such enti-
The oldest stratum of this tradition represents Väinämöinen
ties as absence (as of a book on the table), difference (as of
as an epic or cosmological figure. The newer stratum depreci-
one thing from another), and so on.
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9498
VAIS:N:AVISM: AN OVERVIEW
The Vai´ses:ika school seeks to prove the existence of the
of newly available evidence, it is possible to identify at least
soul by arguing that desire, cognition, and other attributes
two pre-Vedic non-Aryan cults. One was the muni-yati cult,
are quality particulars and must be supported by a substance
which must be distinguished from the exotic Vedic Aryan r:s:i
that is nonphysical because they are radically different in
cult. The muni-yati cult, with its characteristic features such
many ways from the quality particulars of physical sub-
as yoga, tapas, and sam:nya¯sa, was an intrinsic component of
stances. Such a substance must also be permanent and en-
both the S´iva religion, which had been deeply rooted and
dure through time; otherwise no satisfactory account can be
widely spread in pre-Vedic India, and the ancient Magadhan
given of such phenomena as memory. It must further be eter-
religiophilosophical complex, which later served as the foun-
nal and in particular, preexistent before birth, or else one
tainhead of such heterodox religions as Jainism and Bud-
cannot account for the fact that a newborn child reaches out
dhism. The second cult, that of bhakti, is more pertinent to
for its mother’s milk, given that the infant’s action is claimed
our present purpose. The autochthonous character of bhakti
to be purposive and involve memory (which can only have
in the sense of exclusive devotion to a personal divinity, as
been acquired in a previous life).
evidenced by several aboriginal Indian religions, is now gen-
One of the souls, called ¯Isvara (God), is said to be en-
erally accepted. These two cults can be seen to have influ-
dowed with superhuman qualities such as omniscience.
enced the hieratic Vedic cult to a certain extent both posi-
¯
I´svara’s existence is inferred from the premise that a con-
tively and negatively. Positively, the Vedic religion adopted
scious agent is required not only for the creation of artifacts
into its pantheon the pre-Vedic non-Aryan S´iva in the form
such as a pot, but indeed for all effects, and that the con-
of Rudra. Similarly, there is every reason to assume that some
scious agent responsible for bringing about a conjunction of
of Vasis:t:ha’s hymns to Varuna in the seventh book of the
atoms leading to the production of macrocosmic objects can
R:gveda reflect certain essential traits of bhakti. Negatively,
only be ¯I´svara. He is also inferred as the author of revealed
the hieratic Vedic religion clearly betrays its aversion to such
scriptures and further as the original bestower of significance
adjuncts of the S´iva religion as yatis, ´si´snadevas, and
on linguistic symbols, an act making all communication pos-
mu¯radevas.
sible.
Once established, the Vedic religion succeeded in keep-
ing the indigenous religious cults of India suppressed for a
SEE ALSO Nya¯ya.
fairly long time. When, however, about the end of the period
of the major Upanis:ads (eighth to sixth centuries BCE), the
BIBLIOGRAPHY
authority of Vedism began to decline, the non-Vedic reli-
The best book on Nya¯ya-Vai´ses:ika philosophy is Gopinath Bhat-
gious cults again came into their own. Whereas some of
tacharya’s edition and translation of the Tarkasam:-
them, like the ones that later developed into Jainism and
graha-d¯ıpika¯ (Calcutta, 1976). For readers who are less tech-
Buddhism, refused to accept Vedic authority, the theistic
nically minded, but still want a comprehensive and precise
account, the best book is Indian Metaphysics and Epistemolo-
cults sought its blessing and sanction.
gy: The Tradition of the Nya¯ya-Vai´ses:ika up to Gan:ge´sa, ed-
VA¯SUDEVISM. The theistic cult centered on bhakti for the de-
ited by Karl H. Potter (Princeton, 1977), volume 2 of The
ified Vr:s:n:i hero Va¯sudeva, who is not mentioned in any early
Encyclopedia of Indian Philosophies. The general reader may
text. With the decline of Vedism, the cult emerged as a sig-
profitably consult Mysore Hiriyanna’s Essentials of Indian
Philosophy (London, 1949).
nificant force. Strangely, the available evidence shows that
the worship of Va¯sudeva, and not that of Vis:n:u, marks the
KISOR K. CHAKRABARTI (1987)
beginning of what we today understand by Vais:n:avism. This
Va¯sudevism, which represents the earliest known phase of
Vais:n:avism, must already have become stabilized in the days
VAIS:N:AVISM
of Pa¯n:ini (sixth to fifth centuries BCE), for Pa¯n:ini was re-
This entry consists of the following articles:
quired in his As:t:adhya¯y¯ı to enunciate a special rule (4.3.98)
to explain the formation of the word va¯sudevaka in the sense
AN OVERVIEW
BHA¯GAVATAS
of a “bhakta or devotee of the preeminently venerable god
PA¯ÑCARA¯TRAS
Va¯sudeva.”
The tradition of the Va¯sudeva religion continued almost
VAIS:N:AVISM: AN OVERVIEW
uninterrupted since that time. Megasthenes (fourth century
The origin of Vais:n:avism as a theistic sect can by no means
BCE) must be referring to this religion when he speaks of the
be traced back to the R:gvedic god Vis:n:u. In fact, Vais:n:avism
Sourasenoi (people of the S´u¯rasena or Mathura region) and
is in no sense Vedic in origin. Indology has now outgrown
their veneration of Herakles. A passage in the Buddhist Nid-
its older tendency to derive all the religious ideologies and
desa also points to the prevalence of Va¯sudeva worship in the
practices of classical India—indeed, all aspects of classical In-
fourth century BCE. The Bhagavadg¯ıta¯ (third century BCE)
dian thought and culture—from the Veda. It must be re-
eulogizes the man of knowledge, who, at the end of many
membered that when the Vedic Aryans migrated into India,
births, betakes himself unto the god in the conviction that
they did not step into a religious vacuum. On the strength
“Va¯sudeva is All” (7.19). According to the Besnagar inscrip-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VAIS:N:AVISM: AN OVERVIEW
9499
tion (last quarter of the second century BCE), the Garud:a col-
the names Va¯sudeva and Kr:s:n:a began thereafter to be used
umn of Va¯sudeva, the “god of gods,” was erected by Helio-
indiscriminately to denote the same divine personality.
doros, the Bha¯gavata, of Taks:a´sila¯. The historical tradition
A third current was soon added to this swelling religious
that Va¯sudeva originally belonged to the tribe of the Vr:s:n:is
stream, in the form of the cult of Gopa¯la-Kr:s:n:a, which had
is also well attested. In the Bhagavadg¯ıta¯ (10.37) Lord Kr:s:n:a
originated among the nomadic cowherd community of the
declares that of the Vr:s:n:is he is Va¯sudeva. The Maha¯bha¯s:ya
A¯bh¯ıras. Suggestions that the Gopa¯la-Kr:s:n:a cult shows
of Patañjali (150 BCE) also clearly speaks of Va¯sudeva as be-
traces of Christian influence or that it developed from Vedic
longing to the Vr:s:n:i tribe (va¯rttika 7 of 4.1.114). The in-
sources are unacceptable. On the contrary, the religion of
scriptions of Ghosundi and Nanaghat (both of the first cen-
Gopa¯la-Kr:s:n:a seems to have spurned the Indra-dominated
tury BCE) and the grammatical work Ka¯´sa¯ika, all of which
Vedic religion (as is evidenced by the Govardhana episode)
associate Va¯sudeva with Sam:kars:an:a (another deified Vr:s:n:i
and to have promoted religious sublimation of sensuous love
hero), further confirm the Vr:s:n:i lineage of Va¯sudeva.
(as represented by Kr:s:n:a’s relationship with the gop¯ıs). The
It may be noted that the Pa¯n:inian su¯tra which establish-
amalgamation of the Va¯sudeva cult of the Vr:s:n:is, the Kr:s:n:a
es the Va¯sudeva religion also suggests the existence of an in-
cult of the Ya¯davas, and the Gopa¯la cult of the A¯bh¯ıras gave
dependent religious sect, with Arjuna as its chief god. It
rise to what may be called Greater Kr:s:n:aism. New legends
would seem, however, that even in the initial stages of its de-
came to be invented whereby Va¯sudeva, Kr:s:n:a, and Gopa¯la
velopment the Arjuna religion was subsumed by the
were integrated into a single homogeneous mythological pat-
Va¯sudeva religion and thus disappeared completely from lit-
tern. If Va¯sudevism represented the first phase of
erature and history. The religion of Sam:kars:an:a also seems
Vais:n:avism, Greater Kr:s:n:aism represented its second (and
to have arisen independently of the Va¯sudeva religion. In the
perhaps most outstanding) phase.
Maha¯bha¯rata, Sam:kars:an:a (or Balara¯ma) is represented as
VAIS:N:AVISM. The seventh to fourth centuries BCE were a pe-
the elder brother of Va¯sudeva, but there is no indication in
riod of great philosophical ferment in India. Vedism was on
the epic of any religious sect having developed around him.
the decline, and non-Vedic religions such as Jainism and
However, the Artha´sa¯stra of Kaut:ilya (fourth century BCE)
Buddhism were gradually gaining ascendancy. That period
refers to spies disguised as the ascetic worshipers of
also saw vigorous attempts by the vanguards of Vedism to
Sam:kars:an:a (13.3.67). The Mathura sculpture (second cen-
resuscitate the Vedic way of life and thought through the
tury BCE) which depicts Sam:kars:an:a by himself is also highly
Su¯tra-Veda¯n˙ga movement. Kr:s:n:aism followed an eminently
suggestive in this context. The evidence of the Niddesa, the
practical course with a view to consolidating its position in
Maha¯bha¯s:ya of Patañjali, and the Ghosundi and Nanaghat
the face of the expanding heterodoxy on the one hand, and
inscriptions, on the other hand, shows that, presumably on
the resurgence of Vedism on the other. The amalgamation
account of their original Vr:s:n:i affiliations, the Sam:kars:an:a
of the three theistic cults was an important step in the direc-
and Va¯sudeva religions had come to be closely allied. With
tion of such consolidation.
the development of the doctrine of the vyu¯has, whereby
The other line of action adopted by Kr:s:n:aism was of a
Sam:kars:an:a came to be regarded as one of the vyu¯has (stand-
more vital character. Non-Vedic in origin and development,
ing for the individual self) subordinate to Va¯sudeva (standing
Kr:s:n:aism now sought affiliation with Vedism so that it could
for the Highest Self), the Sam:kars:an:a religion lost its inde-
become acceptable to the still not inconsiderable orthodox
pendent existence.
elements among the people. That is how Vis:n:u of the R:gveda
KR:S:N:AISM. Another theistic cult which gathered strength
came to be assimilated—more or less superficially—into
with the decline of Vedism centered on Kr:s:n:a, the deified
Kr:s:n:aism. Vis:n:u had already been elevated from the subordi-
tribal hero and religious leader of the Ya¯davas. There is suffi-
nate position that he had occupied in Rgvedic mythology to
cient evidence to show that Va¯sudeva and Kr:s:n:a were origi-
the position of supreme godhead (Aitareya Bra¯hman:a 1.1).
nally two distinct personalities. The Ya¯dava Kr:s:n:a may as
Further, the belief had already become well established that
well have been the same as Devak¯ıputra Kr:s:n:a, who is repre-
whenever dharma (righteousness) languishes and adharma
sented in the Cha¯ndogya Upanis:ad (3.17.1) as a pupil of
(nonrighteousness) thrives, Vis:n:u, the supreme God, incar-
Ghora A¯n˙girasa and who is said to have learned from his
nates in order to save the world. Kr:s:n:a accordingly came to
teacher the doctrine that human life is a kind of sacrifice.
be regarded as an incarnation (avata¯ra) of Vis:n:u. Kr:s:n:aism
Kr:s:n:a seems to have developed this doctrine in his own
thus grew in its mythological and practical scope so that in
teaching, which was later incorporated in the Bhagavadg¯ıta¯.
some ways it became a form of Vais:n:avism. One of the classic
In time, the Vr:s:n:is and the Ya¯davas, who were already related
works of Kr:s:n:aism, the Bhagavadg¯ıta¯, reflects the syncretic
to each other, came closer together, presumably under politi-
use of Vedic as well as Va¯sudeva traditions in such a way that
cal pressure. This resulted in the merging of the divine per-
Kr:s:n:a himself is said to be the supreme Lord.
sonalities of Va¯sudeva and Kr:s:n:a to form a new supreme
PA¯ÑCARA¯TRA; BHA¯GAVATA. The inclusion of the Na¯ra¯yan:a
god, Bhagava¯n Va¯sudeva-Kr:s:n:a. Evidence in Megasthenes
cult into Kr:s:n:aism is generally regarded as the second major
and in Kaut:ilya’s Artha´sa¯stra indicates that this new divinity
factor in the process of the so-called brahmanization of
was established as early as the fourth century BCE. Indeed,
Kr:s:n:aism. However, the Nara-Na¯ra¯yan:a cult itself seems to
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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VAIS:N:AVISM: AN OVERVIEW
have originated in Badari (the northern ridge of the great
tic foundation by the a¯ca¯ryas of the S´r¯ı Vais:n:ava school, such
Hindu Kush arch) independently of the Veda. Indeed, tradi-
as Na¯thamuni, Ya¯muna¯ca¯rya, and Ra¯ma¯nuja. Two sub-
tion assigns great antiquity to that cult (Maha¯bha¯rata
schools evolved out of the Vais:n:ava theology of Ra¯ma¯nuja:
7.172.51). It is not unlikely that the ancient non-Vedic con-
the southern school (the Ten˙kalai) insisted that prapatti, or
cept of Nara-Na¯ra¯yan:a was absorbed into the Vedic ideology
complete surrender to God, was the only way to obtain
in the form of Purus:a Na¯ra¯yan:a of the S´atapatha Bra¯hman:a
God’s grace, whereas the northern school (the Vatakalai) re-
(12.3.4). The latter, in its turn, was perhaps later trans-
¯
quired the devotee to resort also to other ways of salvation
formed into the pair Arjuna (Nara-Purus:a) and Kr:s:n:a
prescribed by the scriptures.
(Na¯ra¯yan:a) of Kr:s:n:aism. Na¯ra¯yan:a is represented as the
founder of one of the two early sects of Vais:n:avism, namely,
VAIS:N:AVA BHAKTI CULT. It is in northern and central India
Pa¯ñcara¯tra, as distinguished from the other early sect, name-
that one sees a truly exuberant ramification of the Vais:n:ava
ly, Bha¯gavata. The distinction between these two sects is em-
bhakti cult (thirteenth to seventeenth centuries CE). Two
phasized if we consider that the Pa¯ñcara¯trins were the wor-
main currents of devotional worship can be distinguished in
shipers of Na¯ra¯yan:a, whereas the Bha¯gavatas were the
this connection, one relating to Ra¯ma and the other to
worshipers of Va¯sudeva-Kr:s:n:a; that the Pa¯ñcara¯trins were
Kr:s:n:a. In the case of the latter, again, there are two distinct
the followers of Tantric Vais:n:avism, whereas the Bha¯gavatas
lines of development, one centering on Kr:s:n:a and his spouse
were the followers of brahmanic Vais:n:avism; an Vais:n:avism
Rukmin:¯ı (as generally sponsored by the saints of Maharash-
d that the Pa¯ñcara¯trins accepted the doctrine of vyu¯has (ac-
tra) and the other centering on Kr:s:n:a and Ra¯dha¯ (as popular-
cording to which Va¯sudeva, Sam:kars:an:a, Pradyumna, and
ized by, among others, Nimba¯rka, Caitanya, and Jayadeva).
Aniruddha were the four “emanations” [vyu¯has] of God,
One of the most remarkable Vais:n:ava saints of India, Kab¯ır
standing respectively for the Highest Self, the individual self,
(fifteenth century), was born to the family of a Muslim wea-
mind, and egoism), whereas the Bha¯gavatas accepted the
ver of Banaras. Early in life he became influenced by the
doctrine of avata¯ras (ten incarnations of Vis:n:u).
Hindu ascetic Ra¯ma¯nanda (the fifth in descent from
Ra¯ma¯nuja), who symbolized for the young aspirant the spirit
VAIS:N:AVISM IN HISTORY. Vais:n:avism has generally enjoyed
of revolt against religious exclusivism and abstruse philoso-
the patronage of various ruling dynasties, although foreign
phizing. Kab¯ır taught Sahaja-Yoga, which aimed at an emo-
tribes like those of the S´akas and the Kushans (first centuries
tional integration of the soul with God. The Kab¯ır sect ex-
before and after the beginning of the common era) do not
tended to Kathiawar and Gujarat but in the process split up
seem to have been favorably inclined toward that religion.
into twelve different Kab¯ırpanthas. Da¯du¯ (sixteenth century
Similar was the attitude of the early Va¯ka¯t:akas and the
CE, Gujarat-Rajasthan), for instance, was a follower of Kab¯ır,
Bha¯ra´sivas (second and third centuries CE). On the other
but he founded his own Brahma-Sam:prada¯ya with a view to
hand, epigraphic and numismatic evidence shows that most
uniting the divergent faiths of India into a single religious
of the Gupta sovereigns (who reigned from the fourth to the
system. Another outstanding Vais:n:ava saint, Caitanya (or
seventh century CE) were devout Vais:n:avas or Bha¯gavatas, al-
Gaura¯n˙ga, 1486–1533), though not the founder of Bengal
though their overall religious policy was remarkably liberal
Vais:n:avism, left the indelible mark of his personality on that
and tolerant. It was also during the age of the Guptas that
religious movement. He initiated a new mode of congrega-
most of the Vais:n:ava Pura¯n:as and the Sam:hita¯s of Tantric
tional worship, called k¯ırtana, which consisted of choral
Vais:n:avism took final shape. In the course of the post-Gupta
singing of the name and deeds of God, accompanied by
millennium (700–1700 CE), Vais:n:avism, like Hinduism in
drums and cymbals and synchronized with rhythmic bodily
general, came to be fragmented into further sects and subsec-
movements, all this culminating in ecstasy. Among other
ts. The emergence of these sects and subsects usually fol-
typical teachers and saints who fostered Vais:n:ava bhakti—
lowed a certain set pattern: some particular religious leader
each in his or her own way—may be mentioned Jña¯ne´svara
would start a movement either to reform the existing vulgar-
(thirteenth century, Maharashtra), Nars¯ı Mehta¯ (fifteenth
ized religious practices of the parent sect or to widen the ap-
century, Gujarat), S´r¯ıpa¯dara¯ja and Purandarada¯sa (both fif-
peal of that sect by abjuring social inequalities. The main
teenth century, Karnataka), S´am:karadeva (c. fifteenth-
purpose of these new sects and subsects was not so much to
sixteenth century, Assam), M¯ıra¯ Ba¯¯ı (sixteenth century, Ra-
sponsor any specific philosophical or theistic tenets as to es-
jasthan), Tuls¯ıda¯s (sixteenth century, Uttar Pradesh), and
tablish and popularize certain distinct kinds of bhakti. This
Tuka¯ra¯m (seventeenth century, Maharashtra).
renewal of bhakti is known to have received its main impulse
from South India. It is, indeed, striking that Nakkira¯r (late
LITERATURE. In the literature of Vais:n:avism, the first
first century CE) should mention in one of his poems “the
place—in time as in importance—has to be conceded to the
blue one with the eagle flag” (i. e., Kr:s:n:a) and “the white one
Maha¯bha¯rata. Notwithstanding its ultimate encyclopedic
of the plowshare and the palmyra flag” (i. e., Baladeva). But
character, there is no doubt that the Maha¯bha¯rata was, at an
it was the A¯lva¯rs (sixth to ninth centuries CE) who de-
earlier stage, redacted in favor of Kr:s:n:aism, Kr:s:n:a having
¯
nounced all social distinctions and expressed in their Tamil
been represented almost as its prime mover. The inclusion
songs a deeply emotional and intensely personal devotion for
in the Great Epic of such Vais:n:ava religious tracts as the
Vis:n:u. The bhakti tradition of the A¯lva¯rs was given a Vedan-
Bhagavadg¯ıta¯ and the Na¯ra¯yan:¯ıya and of the Harivam:´sa (as
¯
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VAIS:N:AVISM: BHA¯GAVATAS
9501
an appendix) confirms its basic Vais:n:ava orientation. The
VAIS:N:AVISM: BHA¯GAVATAS
Ra¯ma¯yan:a, on the other hand, can hardly be called sectarian.
Quite probably Hinduism’s most famous and widely en-
Among the eighteen Pura¯n:as, six—the Vis:n:u, Na¯rada,
countered epithet for divinity conceived as ceaselessly and ac-
Bha¯gavata, Garud:a, Padma, and Va¯ra¯ha—are traditionally
tively solicitous of human welfare is Bhagavat (“having
regarded as Vais:n:ava or sa¯ttvika. Out of these, the Bha¯gavata
shares”). Bhagava¯n (the more commonly cited nominative
Pura¯n:a has all along been looked upon as an authoritative
singular form of the word) occurs as early as the R:gveda. It
scripture of Vais:n:avism. From among the sectarian
expressly refers to Rudra-S´iva in the S´veta¯´svatara Upanis:ad
Upanis:ads, which, incidentally, are fairly late (second to fif-
(5.4), and it is the common honorific of the Buddha in the
teenth centuries CE), seventeen are said to be Vais:n:ava. Sev-
Pali texts. But Bhagava¯n doubtless is most familiar in
eral of them are of the nature of Tantras. However, the prin-
reference to Vis:n:u-Na¯ra¯yana/Vasudeva-Kr:s:n:a. Indeed,
cipal Tantric Vais:n:ava sect is the Pa¯ñcara¯tra. Traditionally,
bha¯gavata (“related to/devoted to Bhagava¯n”) may be the
108 Sam:hita¯s of the Pa¯ñcara¯tra are mentioned, although
most common, even earliest, general designation of a devotee
their number is sometimes given as 215 or even 290. Among
of Vis:n:u.
the Pa¯ñcara¯tra Sam:hita¯s, which are variously referred to as
If it is readily agreed that history’s most prominent
Eka¯yanaveda, Mu¯laveda, or Mahopanis:ad, the Sa¯ttvata, the
bha¯gavatas are Vis:n:u bhaktas, there is disagreement and not
Paus:kara, and the Jaya¯khya are said to constitute the “jewel
a little confusion concerning what—if anything—
triad” (ratnatray¯ı). The more commonly known Ahirbudh-
distinguishes them from pa¯ñcara¯trikas and other Vais:n:avas.
nya Sam:hita¯ is believed to have been produced in Kashmir
In fact, bha¯gavata frequently has meant simply a Vais:n:ava
in the early fifth century. The four main Tantric topics dealt
(or proto-Vais:n:ava) as such without further characterization.
with in the Sam:hita¯s are jña¯na (soteriological theology), yoga
Until perhaps the eleventh century, this nonsectarian sense
(psychophysical discipline), kriya¯ (cultic practices), and carya¯
generally prevailed, and bha¯gavatas were part of a growing
(personal and social behavior). Side by side with the
but diffuse movement that emphasized a personal, active de-
Pa¯ñcara¯tra, there also developed a Tantric Vais:n:ava cult
votional relationship between the human and the Absolute
known as Vaikha¯nasa. It may be noted that specific Sam:hita¯s
but did not have a single, fixed set of specific beliefs and ritu-
govern the religious practices at specific Vais:n:ava temples.
als. The variety of attitudes is readily seen by comparing Bha-
Profuse philosophical literature has originated in the four
gavatism’s most famous texts, the Bhagavadg¯ıta¯ and the
major schools of Vais:n:ava Vedanta. Reference may also be
Bha¯gavata Pura¯n:a. The Bhagavadg¯ıta¯ is formal and intellec-
made to the various manuals dealing with bhakti, such as the
tualized, and offers bhakti as a refined yoga, a way of release.
Bhaktisu¯tras of S´a¯nd:ilya and Na¯rada (tenth century).
¯
Thus, its tenor contrasts distinctively with the vibrant emo-
There are also quite a large number of prayers and
tionalism of the Bha¯gavata Pura¯n:a’s bhakti. Further, the reli-
hymns of praise (stotras), known for their great literary and
gion of the Bhagavadg¯ıta¯ harkens expressly to Vedic sacrifi-
religious appeal, which are addressed to Vis:n:u in his various
cial models, whereas the religious inspiration of the
forms. All this literature is in Sanskrit. However, many of the
Bha¯gavata Pura¯n:a is more varied.
newly arisen sects and subsects of Vais:n:avism adopted as
Some have claimed that Bhagavatism and, indeed, the
their gospels the sayings and sermons of their promoters (or
“bhakti idea” are rooted outside of Vedic ceremonialism alto-
of the immediate disciples of those promoters), which were
gether—that they originated from “indigenous” or “tribal”
usually delivered not in Sanskrit but in the vernaculars of the
sources or perhaps are linked to extra-Indian (Iranian) proto-
people for whom they were meant, and these were preserved
types. Suggestions that they are ultimately alien impositions
in oral or written form.
or incursions, however, ought to be treated cautiously. For
one thing, the available evidence will allow only the most
BIBLIOGRAPHY
hedged, vague, and inadequate historical account. For anoth-
Bhandarkar, R. G. Vais:n:avism, S´aivism and Minor Religious Sys-
tems (1913). Reprint, Poona, 1982.
er, no aspect of Bhagavatism is encountered apart from the
embracing set of characteristics of Hindu religious civiliza-
Bhattacharyya, Haridas, ed. The Religions, vol. 4, The Cultural
tion that interpenetrate and link it with Vedic/Brahmanic
Heritage of India. Calcutta, 1956.
values. Extant texts and current practices are embedded in
Dandekar, R. N. Some Aspects of the History of Hinduism. Poona,
this larger context, and this enables a reference without dis-
1967.
comfort to “Hinduism” and to mean by it more than a mere
Dandekar, R. N. Insights into Hinduism. Delhi, 1979.
collocation of discrete sects. As the ´sa¯stris and pan:d:its—the
Gonda, Jan. Aspects of Early Vis:n:uism. Utrecht, 1954.
erudite commentators whose explications are the dynamics
Gonda, Jan. Vis:n:uism and S´ivaism, a Comparison. London, 1970.
and the definition of Hindu tradition—have consistently at-
Jaiswal, Suvira. The Origin and Development of Vais:n:avism. Delhi,
tempted to show, often with considerable ingenuity, it is di-
1967.
versity rather than simple pluralism that ultimately charac-
Schrader, F. Otto. Introduction to the Pa¯ñcara¯tra and the Ahirbud-
terizes Hinduism.
hnya Sam:hita¯. Madras, 1916.
Linguistically, bhaga, Bhagavat/Bhagava¯n, and bhakti
R. N. DANDEKAR (1987)
are derived from the Sanskrit root bhaj, meaning “apportion,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9502
VAIS:N:AVISM: BHA¯GAVATAS
distribute” as well as “partake, participate, choose.” Already
p. 167; cf. pp. 27–28), and Alf Hiltebeitel’s counterargu-
in the R:gveda Sam:hita¯, bhaga means “portion, share,” inter
ment that such claims (that Kr:s:n:a in the Bhagavadg¯ıta¯ “is
alia, and it occurs also as the name of one of the divine
not yet identified with Vis:n:u”) are made “despite the clear
A¯dityas. Bhagava¯n thus denotes “having a share(s), lucky, for-
evidence of the text” (“Toward a Coherent Study of Hindu-
tunate, blessed.” But the Bhagava¯n is more than simply for-
ism,” Religious Studies Review, 1983, vol. 9, p. 207).
tunate. He is someone (human or divine) who both “takes
a share in” and bestows shares. Being lucky encompasses be-
Beyond the psychological likelihood that certain aspects
neficence.
of Vedic belief and ceremony engendered at least some
“proto-bhakti” sentiments, there are more substantial hints
Crucially, the Bhagava¯n known to the historical
of bhakti-like attitudes discernible in a few hymns of the
Bha¯gavata movement is no other than the Absolute itself.
R:gveda Sam:hita¯. Surely the S´veta¯´svatara Upanis:ad shows that
Bha¯gavatas identify themselves as beneficiaries of the
the basic elements of a Bha¯gavatism are essentially in place,
Bhagava¯n’s essential nature: “choosing, loyal to, devoted to”
even though the Bhagava¯n in this text is Rudra-S´iva. Howev-
the Bhagava¯n. While “sectarian” Bha¯gavatas answer variously
er, it is in three works—the Maha¯bha¯rata (Book Twelve), the
when asked the precise nature of their relation with the
Harivam:sa and the Bhagavadg¯ıta—that a quite elaborate
Bhagava¯n and how they, as bhaktas, can achieve some kind
“Vais:n:ava” Bha¯gavatism first emerges in literature. Ironical-
of union with Him, they often refer to a “perfect embrace.”
ly, though, the Maha¯bha¯rata’s Na¯ra¯yan:¯ıya section (12.326–
EARLIEST BHA¯GAVATAS AND THE PA¯ÑCARA¯TRIKAS. Perhaps
352) is almost too rich a source. It refers to “Sa¯ttvatas,”
the earliest inscriptional evidence of Vais:n:ava bha¯gavatas
“Bha¯gavatas,” “Ekanti-bha¯gavatas,” and the “Pa¯ñcara¯tra;”
dates from about 115 BCE, at a temple site at Beshnagar
and, again, it is difficult to tell if these designate essentially
(Bhilsa District, Madhya Pradesh). Here, Heliodoros, native
one and the same movement or discrete sectarian groups.
of Taks:asila¯ and ambassador of the Greco-Bactrian king Am-
Commonly, Bha¯gavata and Pa¯ñcara¯tra are held to be
talikita (Gr., Antialkides), declares himself a bha¯gavata in the
distinct movements. It also has been proposed that the
dedication of a Garud:adhvaja (a column with Garud:a, the
Pa¯ñcara¯trikas are historically the first Bha¯gavata sect or
bird that is Vis:n:u’s distinctive vehicle, as its capital) to
school. In both views, the majority of Bha¯gavatas are consid-
Va¯sudeva, devadeva, “lord of lords.” The inscription attests
ered to be both “eclectic” and conservative, concerned with
to Va¯sudeva-Vis:n:u worship in North India in the late second
reconciling and integrating bhakti with Vedic social and ritu-
century BCE among “foreigners” as well as native Indians
al order. Pa¯ñcara¯trikas, on the other hand, are characterized
(Heliodoros’s mission was to king Bha¯gabhadra, apparently
as coming from the fringes of the Aryan cultural and reli-
another bha¯gavata). Despite his name, of course, it is not
gious universe. This view tries to persuade one to see
known how “foreign” this Heliodoros was; and the sugges-
Bha¯gavatas in a strict sense as sma¯rtas (“orthodox” brahmans)
tion that the Vasudeva “sect’s” popularity among foreigners
of sorts and, by extension, gr:hasthas (“householders”). By
indicates its distance from Brahmanic convention, or even
contrast, the original Pa¯ñcara¯trikas would be socially margin-
its particular success among the ks:atriyas (nobles), is only
al renunciant-ascetics—even “proto-ta¯ntrikas.” Some schol-
conjecture.
ars also point out that the absence of the distinctive
Somewhat later—in the first century BCE—a cave in-
Pa¯ñcara¯tra notion of vyu¯has (“manifestations” of the divine)
scription at Nanaghat (Western Maharastra) includes refer-
or, indeed, of any direct reference to the Pa¯ñcara¯tra in either
ence to Va¯sudeva and Sam:kars:an:a (the latter known from
the Bhagavadg¯ıta¯ or the Bha¯gavata Purana signals discrete
the Maha¯bha¯rata as Va¯sudeva-Kr:s:n:a’s brother); at Ghosundi
historical traditions. Similarly, some have argued that the
(Rajasthan), Va¯sudeva and Sam:kars:an:a are also invoked in
cosmogony and cosmology depicted in the Pa¯ñcara¯tra
a fragmentary inscription at what is presumed to be a temple
Sam:hita¯s (the earliest of which date perhaps from the sixth
enclosure. Similar evidence is found near Mathura¯ (Uttar
century CE) emphasize distinctively the world-creating and
Pradesh), a celebrated center of Kr:s:n:a devotion.
world-maintaining instrumentality of Vis:n:u-Na¯ra¯yan:a’s
´sakti, whereas the Bhagavadg¯ıta¯, in making roughly the same
These lithic records, in addition to references in the Pali
point, draws rather on other imagery: the Bhagava¯n is fully
Buddhist Niddesa, Pa¯n:ini’s As:t:a¯dhya¯y¯ı (4.3.92–95), and Pa-
and freely at work in the world without being limited by it
tañjali’s Maha¯bha¯s:ya seem to confirm the existence of a
in any way.
bha¯gavata movement in north-central and northwest India
in the centuries immediately preceding the common era.
But early Bha¯gavatas and Pa¯ñcara¯trikas seem rather to
Still, none of this evidence clears up Va¯sudeva’s background
represent different tendencies of conceptualization and ritual
or the way he became identified with Vis:n:u. There is unmis-
orientation than formally distinct sects. Early Pa¯ñcara¯trikas,
takable evidence of identifications but no clear pattern of the
then, may well have been certain among the Bha¯gavatas who
process(es) whereby they emerged. Even in the face of the
were closely associated both with renunciant and with formal
most familiar evidence there is controversy. Witness, for ex-
ritualist traditions. Their developing ideas and ritual prac-
ample, J. A. B. van Buitenen’s insistence that Vis:n:u “does
tices possibly yielded, in their Sam:hita¯s, the first sectlike tra-
not figure at all in the G¯ıta¯ as author of the Kr:s:n:a avatara”
dition among the Bha¯gavatas. As Adalbert Gail put it suc-
(The Bhagavadg¯ıta¯ in the Maha¯bha¯rata, Chicago, 1981,
cinctly, all Pa¯ñcara¯trikas were Bha¯gavatas but not all
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VAIS:N:AVISM: BHA¯GAVATAS
9503
Bha¯gavatas were Pa¯ñcara¯trikas. (Adalbert Gail, Bhakti im
In fact, what is especially noteworthy about these Tamil
Bha¯gavatapura¯n:a, Wiesbaden, 1969, p. 7.)
Bha¯gavatas—a fitting designation although the word
Bhagava¯n does not appear in their poetry—is the strongly
BHA¯GAVATAS, SMA¯RTAS, AND VAIKHA¯NASAS. Although it
emotional nature of their bhakti. In an important sense, it
would be entirely wide of the mark to think of the earliest
is in and through the A¯lva¯rs that bhakti and Bhagavatism ac-
Bha¯gavatas principally as brahmans accommodating ideas
¯
quire a voice independent of Vedic or Vedantic formalism.
newly discovered by renunciant adventurers or encroaching
With the A¯lva¯rs, bhakti is neither the crowning achievement
from tribal or other extra-Vedic populations, the manifest
¯
of yoga nor, as S´an˙kara especially would have it, the foremost
processes whereby Bhagavatism becomes an idiom of Hindu-
among preliminary practices prior to final realization; rather,
ism center among brahmans. Of them, those who carefully
it is a self-validating expression of sentiment and a definition
uphold and observe the precepts set forth in Vedic
of the human-divine relationship. In the A¯lva¯rs’ Tamil poet-
Sma¯rtasu¯tras are known as Sma¯rta brahmans. Historically,
¯
ry, bhakti is first heard in its independent maturity—as song.
this appellation has come to designate in particular those
brahmans who adhere to principles and teachings usually at-
THE BHA¯GAVATA PURA¯N:A AND ITS INFLUENCE. Certainly
tributed to S´ankara (or, occasionally, to Kuma¯rilabhat:t:a).
written in South India and receiving more or less final form
These Sma¯rtas are often mistakenly identified simply as
by the tenth century, the Bha¯gavata Pura¯n:a was strongly in-
S´aivas, but in fact, Sma¯rta ritual centers expressly on obser-
fluenced by the Tamil Alvars to such a degree that some por-
vances enjoined by the su¯tras and performance of
tions of the text are little more than paraphrases or outright
pañca¯yatanapu¯ja¯ to five divinities: S´iva, Vis:n:u, Durga¯, Su¯rya,
Sanskrit translations of Alvaric originals. It is in Bha¯gavata
and Gan:e´sa.
Pura¯n:a that an intellectually and emotionally rich Bha¯gavata
perspective first appears in Sanskrit literature.
Even taking into account S´an˙kara’s (or Kuma¯rila’s) tra-
ditional reforming role, most scholars see in the Sma¯rtas not
Only subsequent to the appearance of the Bha¯gavata
a sect but rather a formalization and renewal of persisting
Pura¯n:a does a vigorous, specifically sectarian Bhagavatism
Vedic values better thought of as constituting a Hindu “or-
emerge; the most famous Vais:n:ava devotional sects trace
thodoxy” or “orthopraxy.” And, too, reaffirming obligations
their origins or crucial reforms to a period from the twelfth
to Sma¯rtasu¯tra injunctions was to some extent a reaction to
and (particularly) the thirteenth centuries to the sixteenth
the emerging strength and popularity of the general
and seventeenth centuries. Especially prominent among
bhakti/bha¯gavata movement. In a sense, then, the Smartas
these are the four so-called classical samprada¯yas (“traditions,
are an “antisect.”
sects”), all linked in one way or another to South India:
Ra¯ma¯nuja’s S´r¯ısamprada¯ya, Madhva’s Brahmasampra-
Some have claimed that it is precisely among groups or
da¯ya, Nimba¯rka’s Sanaka¯disamprada¯ya, and Vis:n:usva¯min’s
“schools” of careful adherents to one or another Sma¯rtasu¯tra
Rudrasamprada¯ya, this last-named absorbed by Vallabha¯-
that there is found a Bhagavatism that is consciously con-
ca¯rya’s Va¯llabha¯samprada¯ya. Connecting these sects are
cerned with linking itself to Vedic and Brahmanic proprie-
commentaries in which their founders elaborate not only
ties. Hence it has been suggested that the Vaikha¯nasas repre-
Bha¯gavata devotional attitudes but also alternative interpre-
sent either a Vedic ritual school accommodating Bha¯gavata
tations of the Vedantic prama¯n:atraya (“three authorities”):
elements or a group of Bha¯gavatas attempting Brahmanic le-
the Bhagavadg¯ıta¯, the Upanis:ads, and the Brahma Su¯tra.
gitimation by adopting the trappings of Sma¯rtahood. Which
Through these commentaries Vais:n:ava Bhagavatism be-
hypothesis is closer to the historical truth cannot be deter-
comes a full, articulate participant in Vedantic Brahmanism.
mined now, but certainly Vaikha¯nasas are Bha¯gavatas; and
No doubt the adherents of Hinduism’s various sects have
Vaikha¯nasas differ from Pa¯ñcara¯trikas in important part by
tended to be relatively few. Most Hindus are not sectarians
identifying themselves as strict vaidikas (i.e., conforming to
in any rigorous sense, identifying rather with individual
the Vedas) who carefully maintain Smarta standards.
samprada¯yas without becoming initiates or being strictly
bound to their teachings and practices. But if it could be
EARLY BHA¯GAVATAS OF TAMIL NADU: THE A¯LVA¯RS. Al-
¯
written at all, a “history” of Bhagavatism would trace the rise
though assumed to be rooted in North India, both
of individual Bha¯gavata sects, and, cumulatively, the particu-
Pa¯ñcara¯tra and Vaikha¯nasa traditions are historically more
larities of each would highlight the concrete actualities of
prominent in south India than in the north, particularly in
Bhagavatism.
Tamil Nadu and Andhra Pradesh. The spread of such move-
ments as the Pa¯ñcara¯tra, however, most likely was not the
THE BHA¯GAVATAS OF KARNATAKA AND THE MA¯DHVAS. The
first introduction of Vis:n:u bhakti to the South, for Tamil lit-
movement founded by Madhva (also known as
erature of the first and second centuries already attests to the
A¯nandat¯ırtha; 1199–1278) is commonly held to be the first
existence of a Vis:n:u cultus. Together with the S´aiva
founded solely on the Bha¯gavata Pura¯n:a. (Although the pre-
Na¯yana¯rs, the most famous early South Indian bhaktas are
existent S´risamprada¯ya of Ra¯ma¯nuja is usually considered a
the A¯lva¯rs, Tamil Vais:n:ava poet-ecstatics who apparently
Pa¯ñcara¯tra-based sectarian development, its principal indebt-
¯
lived and sang praise to Vis:n:u from the seventh to the ninth
edness may be rather to the A¯lva¯rs.) Earlier than Madhva and
centuries.
¯
even the Bha¯gavata Pura¯n:a, a formal Bha¯gavatasamprada¯ya
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VAIS:N:AVISM: BHA¯GAVATAS
had emerged in the Kannara/Tulu country of western
Na¯tha, which suggests that there were some S´aiva influences
Karnataka. Probably influential in the development of Mad-
on the development of Jña¯ne´svar’s own thought.
hva’s thought and still active today, this group descends from
Possibly more important even than Jña¯ne´svar for the
certain Sma¯rta brahmans who became increasingly attached
growth of the Va¯rakar¯ısamprada¯ya was Na¯mdev (or
to Vis:n:u (possibly due to the growing general popularity of
Na¯madeva; 1270–1350?), a native of Pandharpur. Ma-
an informal Bhagavatism flowing in particular from the Ma-
harashtrian Bhagavatism owes to Na¯mdev a strong tradition
harashtra region).
of depreciating the externalities of devotional service. Giving
Madhva’s fame in the history of Vedantic thought rests
up pu¯ja¯ and pilgrimages and rejecting monkish asceticism,
on his unconditionally “dualist” position. According to him,
Na¯mdev celebrated an inner quest for purity of spirit and di-
the ineradicable distinction between the Absolute and hu-
rect communion with the Bhagava¯n through reciting his
mans must be understood. Madhva’s goal is neither to be-
holy names. This rejection of the image cult has suggested
come one with the Absolute nor to realize essential unity
an Islamic influence, but although Muslims were a signifi-
with it but rather to participate in it. Knowledge and its con-
cant minority in Maharashtra in Na¯mdev’s time, no clear ev-
comitant joy in eternal individuality are the heart of Madh-
idence supports this suggestion. In addition, Na¯mdev’s influ-
va’s teaching, which represents the most eloquent articula-
ence has remained strong, even though subsequent
tion in traditional Vedantic idiom of devotees’ heartfelt
important Maharashtrian Bha¯gavatas such as Ekna¯th (or
sentiments. And it is perhaps in Madhva’s traditions and
Ekana¯tha; 1548–1598?) and Tukra¯m (or Tuka¯ra¯ma; 1608–
practices that the complexities of earliest Bhagavatism most
1649) did not advocate abandoning pu¯ja¯ and the image cult.
authentically survive.
However, they stressed that cult images are more significant
VA¯RAKAR¯IS AND OTHERS: BHAKTAS OF MAHARASHTRA.
as “symbolic” aids to worship than as the literal, living pres-
Bha¯gavatas are known to have existed in Maharashtra from
ence of divinity.
before the beginning of the Common Era. A particularly vig-
Another noteworthy feature of Kr:s:n:a Bhagavatism in
orous and complex vernacular Maratha bhakti tradition
Maharashtra is the emphasis on Kr:s:n:a as the faithful hus-
began to emerge in the thirteenth century, however, partly
band of Rukmin:¯ı, herself viewed as embodying the
in consequence of the coming together of several traditions
Bhagava¯n’s dynamic and creative nature. This contrasts
both within and beyond Maharashtra. Most significant of
markedly with the focus of many Kn:a-Bha¯gavatas farther
these appear to have been the Ma¯dhvas, the Na¯thas, the
north and east—especially in Bengal and Orissa—for whom
Sants, and the resurgent Va¯rakar¯ı tradition.
the central female is rather Ra¯dha¯, Kr:s:n:a’s “mistress” and the
The so-called Haridasas or Vais:n:avada¯sas, vernacular
personification of the Bha¯gavata’s longing for the Lord.
hymnists to Vis:n:u, seem to have been inspired directly or in-
RA¯DHA¯KR:S:N:A BHA¯GAVATAS. Young Kr:s:n:a’s amorous play
directly by Madhva’s teachings. Their influence quickly
with the gop¯ıs epitomizes the many ways that bhakti is “new”
spread beyond the Kannada-speaking area, partly because of
in the Bha¯gavata Pura¯n:a. Ka¯ma (“desire”), traditional enemy
increasing attention they paid to Vit:hoba¯/Vit:t:hal, the re-
of the spiritual quest, is transformed through erotic imagery
gional divinity whose cult center was and remains Pandhar-
and becomes a symbol for the Bha¯gavata’s devotion to the
pur in Maharashtra. Vit:hoba¯ may originally have been (part-
Bhagava¯n. Selfless maternal affection for the child Kr:s:n:a in-
ly) the focus of a S´aiva cult, but the identification
fluences the gop¯ıs’ love for the mature Kr:s:n:a. Their passion
“Vit:hoba-Kr:s:n:a-Ra¯ma” quickly established Pandharpur as
becomes prema, ka¯ma transcendent: a love transcending the
the principal pilgrimage center for Maharashtrian
worldly, selfish love in the structured dharmic realm of
Bha¯gavatas—a very significant factor in the spread of this
spouse and family. The Bha¯gavata Pura¯n:a hints that one gop¯ı
popular, vernacular Bhagavatism in Maharashtra and also
may be special to Kr:s:n:a, but does not name her. By the
farther south and east.
twelfth century, however, Ra¯dha¯ is known in North India
In the mid-1200s the “radical” and secretive
as Kr:s:n:a’s favorite, eventually taken as an avata¯ra of
Maha¯nubha¯va (Manbhau) sect arose in Maharashtra,
S´ri-Laks:m¯ı. Ra¯dha¯ is first celebrated in Sanskrit in Jayadeva’s
founded by Cakradha¯ra, who was a Gujarati. This
G¯ıtagovinda (early thirteenth century?). Subsequently,
Kr:s:n:a-centered movement evidences influences as various as
Ra¯dha¯ and Kr:s:n:a together are central to Bha¯gavata
Pa¯ñcara¯tra and V¯ıra´saiva. But toward the end of the century,
sects founded by Vis:n:usva¯min, Nimba¯rka, Vallabha, and
Jña¯ne´svar (or Jña¯ne´svara; also known as Jña¯ndev or
Caitanya.
Jña¯nadeva) founded or “reformed” the Va¯rakar¯ı order,
NIMBA¯RKA. Possibly a friend of Jayadeva and a contempo-
which was to become the most celebrated of Maharashtra’s
rary of Madhva (though doctrinally linked rather to
bhakta traditions. The Jña¯ne´svari, a Marathi commentary on
Ra¯ma¯nuja), Nimba¯rka (thirteenth century?) was a Telugu
the Bhagavadg¯ıta¯, is Jña¯ne´svar’s best-known work. His
brahman who settled early and permanently at Vr:nda¯vana.
abhan˙gas (lyrical devotional hymns), however, may well have
As was characteristic of Bha¯gavatas, Nimba¯rka was captivat-
been more influential in the development of Maharashtrian
ed by the problem of the relation of the Absolute to the
bhakti, remaining a favored devotional vehicle of his succes-
world. As a Vedantin, he proposed an alternative to the posi-
sors. Tradition has it that Jña¯ne´svar’s father had been a
tions of S´an˙kara, Ra¯ma¯nuja, and Madhva through a realistic
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VAIS:N:AVISM: BHA¯GAVATAS
9505
dvaita¯dvaita doctrine of bheda¯bheda, “distinct yet not differ-
images, he became for his followers the preeminent, paradig-
ent [from the phenomenal world].”
matic sevaka (“servant”) of Kr:s:n:a. Decrying external acts
empty of sincere emotion, Vallabha the ritualist urged that
Unfolding in Nimba¯rka’s writings (all in Sanskrit) is the
all acts be performed fully in a spirit of sweet and playful joy,
notion of prapatti (“surrender”); the idea was derived from
a spirit captured most impressively in the rasl¯ıla¯ celebrations
Ra¯ma¯nuja and was especially elaborated by certain of
associated with the Vallabha¯ca¯r¯ıs.
Ra¯ma¯nuja’s successors. According to Nimba¯rka, this is the
necessary first of two stages of the Bha¯gavata’s right relation-
In literature, the emotional fervor engendered amongst
ship to the Bhagava¯n. The roles of human and divine in the
the Vallabha¯ca¯r¯ıs is particularly evident in the poetry of
drama of salvation are at issue; prapatti proposes that the ini-
Su¯rda¯s (1483–1563). Occasionally, the emotional abandon
tiative for this process is exclusively the Bhagava¯n’s. The
urged by Vallabha’s example and nurtured by his successors
Bha¯gavata can only surrender utterly to the Bhagava¯n’s
led to “excesses” that, in the nineteenth century, even sum-
grace, abandoning all sense of personal capacity for effica-
moned restrictions from civil authorities. The teachings of
cious action. To the sincere prapanna (“suppliant”) the
Vallabha¯ca¯rya are part of the inspiration for the “radical”
Bhagava¯n gracefully bestows direct perception of himself.
Ra¯dha¯vallabh¯ı and Sakh¯ıbhava movements in which Ra¯dha¯
rather than Kr:s:n:a becomes central, Sakh¯ıbhava adherents
Although Nimba¯rka’s Sanakasamprada¯ya, extensively
going so far as to wear women’s clothing and to attempt to
reformed in the fifteenth century, is itself generally restricted
lead the life of Ra¯dha¯. Overall, Vallabha¯ca¯rya’s
to an area around Mathura¯ and to some centers in Agra and
pus:t:ima¯rga—prominent and influential across North
in Bengal, Nimba¯rka’s influence seems apparent in the teach-
India—is a particularly impressive and vital expression of
ings of Caitanya. Strongly influenced by Ramanujist tradi-
Bhagavatism and its pervasive influence on learned tradition
tion, Nimba¯rka distanced himself from an early, rather eclec-
and popular piety.
tic sma¯rta Bhagavatism, emerging as among the most
adventuresome of those Bha¯gavatas who explored bhakti’s
CAITANYA. Bengal’s Sena dynasty (fl. twelfth through thir-
more radical implications.
teenth centuries) championed the Bha¯gavata Pura¯n:a, and its
spirit is witnessed early in the Bengal/Orissa region in the
VIS:N:USVA¯MIN AND VALLABHA. Vis:n:usva¯min was the reputed
Sanskrit G¯ıtagovinda as well as in the devotional Bengali lyr-
founder of the Rudrasamprada¯ya, which was regarded, along
ics of such poets as D:imboka, Candida¯sa, and Vidya¯pati,
with those of Ra¯ma¯nuja, Madhva, and Nimba¯rka, as one of
who flourished from the twelfth through the sixteenth centu-
the four great Bha¯gavata schools or sects. Vis:n:usva¯min lived
ry. Doubtless the most famous Bha¯gavata of this complex
perhaps in the thirteenth century and, according to one ac-
cultural region is Vi´svambara Mi´sra, known best by the
count, was the mantr¯ı (“minister”) of a South Indian prince.
name he assumed as a sam:nya¯sin: Kr:s:n:acaitanya. Born in
Some traditions hold that Vis:n:usva¯min was a teacher both
Nadiya, probably in 1486, Caitanya is reported first to have
of Maharashtra’s Jña¯ne´svar and of Madhva, but the evidence
been influenced by an itinerant Madhva teacher, though it
is meager and conflicting. And, although Vis:n:usva¯min ap-
is reasonable to assume that vibrant local devotional tradi-
parently was a Vedantin, his commentaries on the
tions were very significant as well. A definitive “conversion”
Bhagavadg¯ıta¯ and the Brahma Su¯tra have not survived. Tra-
to Kr:s:n:a Bhagavatism seems to have occurred in his early
dition holds that he was a “dualist” who taught that “cre-
manhood. Henceforth, Caitanya was a phenomenon rarely
ation” was inspired by Brahma¯’s primordial loneliness and
observed even in Bengal’s diverse culture. He became an ex-
that individuals and the world itself proceeded from the Ab-
treme example of “god-intoxication”; and, swept at one mo-
solute as sparks leap from a flame.
ment by the ecstasy of experiencing Kr:s:n:a directly, and at
the next moment by the agony of separation (viraha), he is
Apparently, it is in Vallabha¯carya’s teachings that
reported to have staggered, fallen, danced, sung, roared,
Vis:n:usva¯min’s thought survives. Vallabha (1479–1531), son
wept, laughed, and ranted in ways that attracted, challenged,
of a Telugu brahman and Yajurveda schoolman, was born
and even threatened many of his contemporaries.
in what is now Madhya Pradesh and spent his childhood
mostly in Banaras. His Vedantic teachings are known as
Only a few lines traditionally attributed to Caitanya sur-
´suddha¯dvaita (“pure, or purified, nondualism”). In his view,
vive. But his personal example and direct teachings drew
Vallabha “corrected” or “purified” S´an˙kara’s advaita by dem-
about him disciples whose biographical, ritual, and theologi-
onstrating that ma¯ya¯ (“appearance, illusion”) is entirely a
cal writings—especially in the course of the sixteenth centu-
power of the Absolute (that is, Kr:s:n:a), and thus is in no sense
ry—quickly and securely established an enduring religious
independent of it. Real fragments of that Absolute, individu-
movement that is the basis of the Gaud:¯ıyasamprada¯ya and
als are lost in forgetfulness and egotism until Kr:s:n:a manifests
the Hare Krishna group of the present time.
himself. That crucial act of grace inaugurates the pus:t:ima¯rga
From the writings of his principal immediate disciples,
(“way of sustenance [of the soul]”), leading to eternal, joyous
the Gosva¯mins, it is learned that Caitanya’s “religious Ve-
(re-)union with Kr:s:n:a.
danta” is most aptly characterized as acintyabheda¯bheda:
Vallabha’s personal example was no less consequential
Kr:s:n:a, the Absolute, and the individual j¯ıvas (“souls”) are
than his theology. Tireless pilgrim, dedicated attendant on
“inconceivably discrete (yet) not different.” But it is less for
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9506
VAIS:N:AVISM: PA¯ÑCARA¯TRAS
this variant on a familiar theme of Vais:n:ava Veda¯nta than
of uncertainty and considerable scholarly dispute. Initially,
for the living example of his person that Caitanya is most sig-
the movement may not have been associated with any single
nificant historically. From “intentional” enactment of
doctrinal position. And when it first became associated with
Kr:s:n:a’s sports Caitanya drifted almost insensibly to a person-
one, that position seems only secondarily to have been
al sense of reactualizing them, or, at least, so he was experi-
Vais:n:ava. “The origin of Pañcara¯tra is obscure,” J. A. B. van
enced by many of his followers. Devotees and object of devo-
Buitenen observed, “because it has no[t] one origin” (van
tion lost clear-cut boundaries in such “performances,” which
Buitenen, 1971, p. 6).
became nearly a “Tantric” sa¯dhana (“actualization”). As
such, these witness also the potent influence of Bengal’s (ulti-
The problems begin with the word itself. Deprived of
mately Buddhist?) Sahajiya tradition. However, the latter’s
context, the compound pañca-ra¯tra yields no clue beyond its
monistic thrust properly differentiates it from the fundamen-
literal sense: as a noun, it means “five nights” or “night of
tally dualistic vision evident in Caitanya’s alternating joy and
(the) five”; as an adjective, “five-night (ed).” Explanations
despair in his separateness from Kr:s:n:a. Caitanya, as other
given in the Pa¯ñcara¯tra Sam:hita¯s (classical school manuals,
Bha¯gavatas, remained a bhakta, a devotee whose enduring
none of which may be earlier than the sixth century CE) seem
problematic was also his raison d’être.
clearly ex post facto rationalizations embedded in apologetic
and polemic. However faithfully such explanations record
SEE ALSO A¯lva¯rs; Bengali Religions; Bhagavadg¯ıta¯; Bhakti;
what certain Pa¯ñcara¯trikas (members of the Pa¯ñcara¯tra tradi-
¯
Caitanya; Hindi Religious Traditions; Jayadeva; L¯ıla; Madh-
tion) came to mean by the word, they offer no secure insight
va; Marathi Religions; Nimba¯rka; Ra¯dha¯; Ra¯ma¯nuja;
into what it meant originally.
Vaikha¯nasas; Vallabha.
S´atapatha Bra¯hman:a 13.6.1.1 asserts that the primordi-
BIBLIOGRAPHY
al Purus:a Na¯ra¯yan:a, “wishing to become all things,” per-
Jan Gonda’s Die Religionen Indiens, vol. 2, Der jüngere Hinduismus
formed Purus:amedha (“human sacrifice”), a pañcara¯tra sattra
(Stuttgart, 1963) continues to be the single most valuable
(“five-day sacrifice”). In light of this occurrence (apparently
general account of Bha¯gavata backgrounds and individual
the earliest) of the word in Vedic-Brahmanic literature, some
sectarian developments; the notes contain numerous impor-
scholars have found irresistible the temptation to seek the
tant bibliographical references. Anne-Marie Esnoul’s “Le
original meaning of the name Pa¯ñcara¯tra in the Vedic sacrifi-
courant affectif à l’interieur du Brahmanisme ancien,” Bulle-
cial milieu. Thus, as F. Otto Schrader concluded, “it appears
tin de l’École Française d’Extrême Orient (1956): 141–207, is
. . . that the sect took its name from its central dogma which
a stimulating and beautifully nuanced comprehensive ac-
count. Although dated, R. G. Bhandarkar’s classic
was the Pa¯ñcara¯tra Sattra of Na¯ra¯yan:a interpreted philosoph-
Vais:n:avism, Saivism, and Minor Religious Systems (1913; re-
ically as the fivefold self-manifestation of God by means of
print, Varanasi, 1965) and J. N. Farquhar’s An Outline of the
his Para, Vyuha, Vibhava, Antarya¯min, and Arca¯ forms”
Religious Literature of India (Oxford, 1920) remain obligato-
(Schrader, 1916, p. 25). Quite possibly this passage from the
ry reading.
S´atapatha Bra¯hman:a evidences Na¯ra¯yan:a’s integration and
Among the most significant and appealing of relevant primary
legitimization into the Vedic ritual and intellectual world;
sources in English translation are A. K. Ramanujan’s transla-
but it may as well be an accommodation of certain
tion of selected hymns of Namma¯lva¯r, Hymns for the Drown-
Pañcara¯tric associations as the source of them. In any case,
¯
ing (Princeton, 1981); Barbara Stoler Miller’s rendering of
except for Na¯ra¯yan:a’s centrality, the details of the S´atapatha
Jayadeva’s G¯ıtagovinda, Love Song of the Dark Lord (New
Bra¯hman:a ritual neither confirm nor reinforce the preoccu-
York, 1977); and Edward C. Dimock, Jr. and Denise Lever-
pations and central features of historical Pa¯ñcara¯tra literature
tov’s translation of representative Bengali lyrics, In Praise of
and practice.
Krishna (1967; reprint, Chicago, 1981).
Moreover, van Buitenen has argued persuasively that
G. R. WELBON (1987 AND 2005)
particular literary, doctrinal, and ritual associations such as
those mentioned above are only secondary or subsequent
specifications of an older, more wide-ranging acceptation of
VAIS:N:AVISM: PA¯ÑCARA¯TRAS
the word. In his view, pañcara¯tra initially referred to a char-
A movement or sect called Pa¯ñcara¯tra figures significantly in
acteristic of the way of life of itinerant recluses: their living
some of the earliest textual evidence used by scholars to trace
apart from “towns” (that is, major settlements) except during
the historical emergence of Hindu, specifically Vais:n:ava, de-
the two-month rainy season. A pa¯ñcara¯trika in such early
votional (bhakti) cults. Pa¯ñcara¯tra is known to have influ-
texts as the Br:hatkatha¯´slokasam:graha, then, “is not distin-
enced the development of Vais:n:ava sectarian thought in sev-
guished by any particular faith or creed, but by a more or
eral parts of India, and it remains a vigorous presence in
less ascetic life-rule,” one prescribing five nights in the forest
South India today as an essential constituent of S´r¯ı Vais:n:ava
for every night spent in a town (van Buitenen, 1971,
religion and one of two Vais:n:ava a¯gamas (traditions) that in-
pp. 14–15). If van Buitenen is correct, it would not be the
form South India’s Hindu temple culture.
first time in India that practice has crucially preceded system-
The beginnings of the historical Pa¯ñcara¯tra—and even
atic theory. And his thesis would support a plausible solution
the original sense of the word pañcara¯tra—remain matters
to the longstanding puzzle concerning the relationship be-
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VAIS:N:AVISM: PA¯ÑCARA¯TRAS
9507
tween Pa¯ñcara¯trikas and Bha¯gavatas: the former may simply
But something even more important is at work here:
have been Bha¯gavatas who led generally reclusive and ascetic
Pa¯ñcara¯trikas wanted to show how their supreme god could
lives.
pervade the world and yet not be limited by it. To account
for this, they drew upon several explanatory aids. And vyu¯has
EPIC PA¯ÑCARA¯TRA. While certain texts (e.g., A¯nandagiri’s
were not the least important among them; for, as Jan Gonda
S´an˙karavijaya) distinguish between Pa¯ñcara¯tras and
observes, “already in Vedic ritualism the idea of vyu¯ha im-
Bha¯gavatas—and, indeed, consider Vais:n:avas distinct from
plied an effective arrangement of the parts of a coherent
both—it is not clear that the two necessarily were discrete
whole” (Gonda, 1970, p. 50).
in any sectlike way. The essence of “epic” Pa¯ñcara¯tra is bhak-
ti: unconditional devotion to the Lord (Bhagavat). The earli-
Epic pa¯ñcara¯trikas, then, are first and foremost
est unambiguous evidence of this “historical” Pa¯ñcara¯tra
bha¯gavatas and eka¯ntabhaktas; and it is reasonable to con-
seems to be that found in Maha¯bha¯rata 12.321ff, the
clude that the roots of their devotionalism are extra-Vedic.
Na¯ra¯yan:¯ıya, or Na¯rad¯ıya, section, which introduces a reli-
The Pa¯ñcara¯trikas are distinguished from similar groups of
gious attitude and a cosmology that agree in essential details
devotees by their particular efforts to show that their Lord
with the teachings of the later Sam:hita¯s. Responding to a
is the underlying reality of all gods and that he is everywhere
query concerning what god to worship, this “secret” teaching
in the world without being subject to its manifest limitations.
tells of a “hidden” god, invisible to all but his eka¯nta-bhaktas
Crucial in this enterprise is their thoroughgoing exploitation
(“exclusive devotees”), to whom he graciously reveals him-
of a theistic Sa¯m:khya to explain the relation between this
self. Such an eka¯ntin (“exclusivist”) was King Uparicara, who
world and the supreme reality, as will be elaborated upon in
worshiped Na¯ra¯yan:a according to Sa¯tvata rites and, believing
the next section. Further, there is an equally insistent attempt
kingdom, wives, and wealth to be his by Na¯ra¯yan:a’s boon,
to link the Na¯ra¯yan:a-Va¯sudeva-Kr:s:n:a of religious experience
offered all these possessions to the Lord (Maha¯bha¯rata
to prestigious Vedic explanations, which, by allusion, include
12.322.17ff). Other eka¯ntins inhabited S´vetadv¯ıpa (“white,
even the fourfold Purus:a of the Purus:asu¯kta (R:gveda 10.90).
or pure, island”), located to the north in the Milk Ocean.
PA¯ÑCARA¯TRA THOUGHT IN THE SAM:HITA¯S. The principal
Knowing Pa¯ñcara¯tra teachings, they saw Brahman-Na¯ra¯yan:a
texts of historical Pa¯ñcara¯tra are the Sam:hita¯s (“collections”),
while others were blinded by his radiance (Maha¯bha¯rata
of which there are 108 works according to tradition, and
2.323.26ff).
more than double that number reckoning all titles cited in
Sa¯tvata is another name for the Vr:s:n:i, who are part of
lists. Far fewer texts are readily available for study, and
a larger population of Ya¯davas, commonly thought to have
among them the most significant seem to be Paus:kara,
been the society in which Kr:s:n:a-Va¯sudeva bhakti rose. Epic
Jaya¯khya, Sa¯ttvata (constituting the “three gems” and pre-
Sa¯tvatas are Na¯ra¯yan:a bhaktas (“devotees”); but the
sumably among the oldest), Ahirbudhnya, Pa¯rame´svara,
Na¯ra¯yan:¯ıya explains that Na¯ra¯yan:a, “formerly single-
Sana¯tkuma¯ra (quoted more than once by Ya¯muna), Parama,
imaged,” caused himself to be born as the “fourfold” son of
Padma, ¯Isvara, and Laks:m¯ı. It is uncertain exactly when any
Dharma: Nara, Na¯ra¯yan:a, Kr:s:n:a, and Hari (Maha¯bha¯rata
of these was composed. Some may be as early as the sixth or
12.321.15–16).
seventh century CE although confirming citations date no
earlier than the tenth century, and several are referred to only
The unitary god’s multiple births or manifestations are
in the thirteenth or fourteenth century and later.
familiar in Vais:n:ava religious thought in general; and the his-
Formally, these texts closely resemble the S´aiva¯gamas
torical Pa¯ñcara¯tra seems to have contributed significantly to
(indeed, in this context, the terms sam:hita¯, a¯gama, tantra,
developing and enriching this notion. Doubtless, the epic
and ´sa¯stra are essentially interchangeable). Traditionally,
Na¯ra¯yan:a’s four vyu¯has (“appearances, modes of being”)
they purported to deal with four topics: jña¯na
elaborate upon longstanding habits of identifying (or confus-
(“knowledge”), yoga (“disciplined concentration”), kriya¯
ing) one divinity with another (or a divinity with a devotee),
(“action”), and carya¯ (“conduct”). In fact, only one or two
habits reinforced by factors such as the multiplication of di-
actually approximate this paradigm. The majority concen-
vine epithets and the intensifying interaction between socio-
trate almost exclusively on kriya¯ and carya¯: prescriptions for
religious groups, their ideologies and practices. Practically,
constructing and consecrating temples and “images” (of vari-
this scheme facilitated the organization and “rationalization”
ous materials) in which Bhagava¯n Na¯ra¯yan:a is pleased to
of historically discrete devotional cults under a single, overar-
dwell, and for conducting the appropriate daily and festival
ching principle, here Na¯ra¯yan:a-Va¯sudeva. In the
services. Essentially, this is the literature of temple priests,
Na¯ra¯yan:¯ıya, in fact, is found not one but two sets of multiple
and the bulk of it deals with practical details. The explicit
births that possibly developed independently. In addition to
jña¯na sections (pa¯das) are usually brief and bound up with
the more or less abstract Nara-Na¯ra¯yan:a-Kr:s:n:a-Hari tetrad,
stories about the creation of the world.
there is the genealogical series Kr:s:n:a-Sam:kars:an:a
(=Balakr:s:n:a)-Pradyumna-Aniruddha; that is, Kr:s:n:a, his
The Pa¯ñcara¯tra’s cosmogony is complex and many-
brother, his elder son, and his grandson. Which set is the
tiered; and it incorporates influences and otherwise distinct
prior cannot be determined, although the latter is ultimately
ideas from many sources, Vedic and extra-vedic. But, while
the more significant.
they differ on certain details and in the elaborateness of their
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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VAIS:N:AVISM: PA¯ÑCARA¯TRAS
presentations, the extant Sam:hita¯s share an understanding
avata¯ras differ importantly in their natures and in the bene-
about the principal features of the three-stage “order of cre-
fits to be derived by devotedly concentrating on them. Those
ation” (sr:s:t:ikra¯ma); and this core account may be sketched
who seek moks:a should worship primary avata¯ras, which
here in simplified outline. At the beginning (of every world
spring directly from the Lord’s body “like flame from flame.”
age), the ´sakti (“energy, force, power”) of parabrahman
Secondary avata¯ras are “ordinary” beings pervaded by a frac-
Na¯ra¯yan:a-Vis:n:u awakens, opening her eyes as “action”
tion of the Lord’s ´sakti to accomplish particular purpose for
(kriya¯) and “becoming” (bhu¯ti). She is Laks:m¯ı, distinct from
world maintenance. Worshiping them yields worldly rewards
Vis:n:u yet at the same time as inseparable from him as sun-
such as wealth or sovereignty.
light from sun. Although she acts independently, each act
merely implements a wish of Na¯ra¯yan:a-Vis:n:u’s. As
With this theory of secondary avata¯ras one reaches the
kriya¯´sakti, Laks:m¯ı is the “instrumental cause of the universe”
central preoccupations of the compilers of the Sam:hita¯s. It
and identical with Vis:n:u’s great discus, Sudar´sana. As
is not only “ordinary beings” who are fit receptacles for the
bhu¯ti´sakti, she is the “material cause,” governed by kriya¯´sakti
Lord’s descent: properly consecrated through Pa¯ñcara¯tra rit-
“as the thread governs pearls in a necklace.”
ual, a representation in stone, metal, wood, or clay also can
become an avata¯ra. Descending into the material form with
In this ´suddhasr:s:t:i (“pure creation”), the first gun:as
a part of his inexhaustible ´sakti when the appropriate conse-
(qualities) appear. Non-prakritic (because they are “pre-
cration rituals are performed, the Lord thereby becomes fully
prakritic”), these qualities of the supreme Lord number six:
present in the object, which is then known as arca¯ avata¯ra,
knowledge (jña¯na), lordship (ai´svarya), power (´sakti),
or “worthy of worship.”
strength (bala), virility (v¯ırya), and splendor (tejas). The
gun:as then pair together as knowledge/strength, lordship/
PA¯ÑCARA¯TRA IN PRACTICE. At the heart of epic and later
virility, and power/splendor; and these three pairs respective-
Pa¯ñcara¯tra is the driving insistence that salvation comes only
ly constitute the vyu¯has Sam:kars:an:a, Pradyumna, and An-
through knowledge of ultimate truth, a knowledge that is the
iruddha. The Lord is entirely present (with all his six quali-
grace of the Lord revealed by single-minded devotion. This
ties) in every vyu¯ha, but only one pair of qualities is openly
knowledge, open to members of all four varn:as (classes), de-
manifest in each.
pends on an understanding of the Pa¯ñcara¯tra teachings. Such
understanding requires the assistance of a qualified teacher
These vyu¯has appear successively, then act together—
(guru), who guides the aspirant until he determines that the
again sequentially—in the second, intermediate or “mixed”
student is fit to be initiated. Initiation (d¯ıks:a¯) consists of five
(´suddha¯´suddha) creation. There, “impure” creation initially
rituals (pañcasam:ska¯ra): branding the initiate’s shoulders
is carried embryo-like as an undifferentiated potentiality in
with the discus and conch emblems (Ta¯pa), instruction in
Sam:kars:an:a’s body. Pradyumna differentiates it as purus:a
the application of the cosmetic sectarian mark on the fore-
and prakr:ti (“spirit” and “material potential”) and transfers
head (Pun:d:ra), assigning a new name to the initiate
it to Aniruddha, who in turn organizes it by means of his
(Na¯man), confiding a secret mantra and explaining its sense
´sakti. He is the brahman and ma¯ya¯ (apparent reality) of the
(Mantra), and teaching the details of external ritual (Ya¯ga).
material world, presiding over the cosmic eggs whence life
In addition, the adept learns a yoga for internal worship, that
as humans know it—the “prakritic” gun˙as (sattva, rajas,
performed in the heart.
tamas), karman, and time—devolves in the third, impure
(a´suddha) creation, itself consisting first of a subtle and then
Services to the Lord combine with a life of purity and
a gross stage. Here the account links to familiar Sa¯m:khya cat-
harmlessness (ahim:sa¯) to the end of realizing “devotional
egories: Va¯sudeva appears as the supreme purus:a. Through
union” with the Lord. The Pa¯ñcara¯trika is assured that there
his contact with the (material) body arises the j¯ıva, otherwise
will be moments when “absolute union” with the Lord will
called Sam:kars:an:a, who in turn produces manas, that is, Pra-
be experienced. But this is not a realization of primordial
dyumna. And from Pradyumna issues the creative agent, the
unity in any metaphysical sense. Rather, it is an active experi-
aham:ka¯ra who is Aniruddha.
ence of rapt devotion to the Lord, whereby individuals never
In addition to their cosmogonic roles and cosmological
lose their individuality. Indeed, as “parts” of Laks:m¯ı or S´r¯ı,
significance, the vyu¯has have important moral, theological,
they too are eternally distinct from the Lord. Even during
and pedagogical functions: Sam:kars:an:a teaches the true mo-
the intervals between world ages, they remain separate from
notheism; Pradyumna translates that teaching into practice;
if latent in him.
and Aniruddha instructs about Pa¯ñcara¯tra doctrine and the
Pa¯ñcara¯trikas have made a considerable point of stress-
attainment of release.
ing that they are vaidikas, hence that Pa¯ñcara¯tra not merely
Vibhavas (“manifestations”) or avata¯ras (“descents”) of
ranks alongside the Veda but is in fact part of it.
the Lord are subordinate to and dependent upon the vyu¯has.
Na¯ra¯yan:a-Va¯sudeva, according to them, is the god of the
They are of two kinds: those belonging to ´suddhasr:s:t:i are
Upanis:ads, author of the Veda and the world. They assert,
mukhya (“primary”), and the major Sam:hita¯s agree that they
in effect, that the known world is incomprehensible in terms
number thirty-nine. “Secondary” (gaun:a) avata¯ras usually
of karman alone. Underlying it, grounding everything, must
are said to descend from Aniruddha. Primary and secondary
be the supreme person.
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VAJRABODHI
9509
The mildest rejoinders to such Pa¯ñcara¯tra apologetics
ceptive). At the same time, Vaikha¯nasas are closer to earlier
suggested that, at the very least, there was no way to prove
Pa¯ñcara¯tra than to its later form in their conception of such
their Vedic claims. Most responses were more severe.
deities as Rudra-S´iva as manifestations of Vis:n:u, and thus
Manusmr:ti 10.23 declares, for example, that Sa¯tvatas and
both groups appropriately included ritual proceedings that
a¯ca¯ryas are offspring of despised unions. And commentators
the evolving S´r¯ı Vais:n:avas often found offensive. On the
identified both as temple functionaries. Denying the propri-
other hand, however, modern-day Vaikha¯nasas have argued
ety of the lifestyles of temple priests, Sma¯rta brahmans con-
that both Pa¯ñcara¯tra “ta¯ntrikas” and the S´r¯ı Vais:n:avas offend
sider all their claims suspect. Association with a presumably
the Lord precisely because they allow “saints” and teachers
extra-Vedic (i.e., tribal or nomadic) society—the
of S´r¯ı Vais:n:ava tradition to intrude into temple devotional
Sa¯tvata-Ya¯davas—combined with the importance assigned
ritual in ways that improperly detract from the worship of
to the dynamic, creative, female principle, Laks:m¯ı, doubtless
Lord Vis:n:u.
contributed strongly to the (negative) assessment that
Pa¯ñcara¯trikas were tantrikas (practitioners of Tantra). In an
SEE ALSO A¯lva¯rs; Avatara; Bhakti; Hindu Tantric Litera-
¯
important sense, the assessment is correct; indeed, even the
ture; Kr:s:n:aism; Marathi Religions; S´r¯ı Vais:n:avas.
Pa¯ñcara¯trikas themselves called their system a tantra.
BIBLIOGRAPHY
PA¯ÑCARA¯TRA IN HISTORY. It is generally accepted that the
Jan Gonda’s Medieval Religious Literature in Sanskrit (Wiesbaden,
historical Pa¯ñcara¯tra first emerged in northern, probably
1977) is the most helpful comprehensive account of
northwestern, India—it being clear, however, that
Pa¯ñcara¯tra (and other major Agamic) literature and ideas.
Pa¯ñcara¯tra itself was more an increasingly detailed set of cos-
His two-volume Die Religionen Indiens (Stuttgart, 1960–
mological speculations and devotional attitudes and proce-
1963) contains the best overview of the Pa¯ñcara¯tra in the
dures than it was a sect proper. This Pa¯ñcara¯tra “system of
context of India’s religious history, and chapter 3 of his
thought” became the rationale of increasing numbers of
Vis:n:uism and S´ivaism (London, 1970) significantly aug-
ments discussions of early Vais:n:ava “theology.” Of assistance
Vais:n:ava Bha¯gavatas who were involved in temple and do-
in sorting out tantra and a¯gama is Hindu Tantrism by Teun
mestic devotional ritual. Its influence seems especially strong
Goudriaan, Dirk Jan Hoens, and Sanjukta Gupta (Leiden,
among the Maha¯nubha¯vas of Maharashtra (from the mid-
1979), especially Goudriaan’s survey (pp. 3–67). J. A. B. van
thirteenth century) and among the Narasim:has.
Buitenen’s crucial thesis concerning the original sense of the
term pañcara¯tra is included in the introduction to his transla-
Even more apparent than its northern heritage is the fact
tion of Ya¯muna’s A¯gamapra¯ma¯nyam (Madras, 1971), itself
that Pa¯ñcara¯tra has prospered more obviously in South India
a primary source of great importance, and his “On the Ar-
than in the north for at least the past millennium.
chaism of the Bha¯gavata Pura¯n:a,” in Krishna: Myths, Rites,
Pa¯ñcara¯tra’s destiny in the south is closely related to the rise
and Attitudes, edited by Milton Singer (Honolulu, 1966),
of the S´r¯ı Vais:n:ava tradition, in which Pa¯ñcara¯tra cosmolog-
pp. 23–40, remains important. Walter Neevel’s Ya¯muna’s
ical and ritual theory and practice combine with the unique
Veda¯nta and Pa¯ñcara¯tra, “Harvard Dissertations in Reli-
vernacular devotional poetry of the A¯lva¯rs. The early S´r¯ı
gion,” no. 10 (Missoula, Mont., 1977), gives valuable infor-
¯
Vais:n:ava “doctors” Na¯thamuni, Ya¯muna, and Ra¯ma¯nuja be-
mation especially on Ya¯muna’s “Vedantic gentrification” of
come the most noteworthy personalities associated with the
Pa¯ñcara¯tra. Suvira Jaiswal’s The Origin and Development of
propagation and defense of Pa¯ñcara¯tra ideas. Later develop-
Vais:n:avism (Delhi, 1967) is useful so long as its historical re-
constructions are read with caution.
ments in S´r¯ı Vais:n:ava theology and the emergence of two
distinct traditions—Vat:akalai and Tenkalai—realize and ex-
Of course, one wants to encounter Pa¯ñcara¯tra through primary
pand upon more of what was present in Pa¯ñcara¯tra thinking
sources. For this, F. Otto Schrader’s classic Introduction to the
Pa¯ñcara¯tra and the Ahirbudhnya Sam:hita¯ (Madras, 1916) re-
from the start than is often recognized. Through the S´r¯ı
mains the best point of departure. H. Daniel Smith’s A De-
Vais:n:avas, Pa¯ñcara¯tra thought informed Ra¯ma¯nanda (fl.
scriptive Bibliography of the Printed Texts of the
mid-fifteenth century?) and his following of Ra¯ma bhaktas,
Pa¯ñcara¯tra¯gama, vol. 1 (Baroda, 1975), and vol. 2, An Anno-
thus reentering North India. Again through S´r¯ı Vais:n:avism,
tated Index to Selected Topics (Baroda, 1980) are indispens-
Pa¯ñcara¯tra teachings strongly influenced the non-brahman
able guides. Sanjukta Gupta’s translation of the Laks:m¯ı Tan-
Sa¯ta¯nis in Karnataka.
tra (Leiden, 1972) is excellent, and S. Krishnaswami
Aiyangar’s reading of the Paramasam:hita¯ (Baroda, 1940) is
The circumstances of Pa¯ñcara¯tra’s introduction into
adequate. Finally, a precious record of actual practices is Ka-
South Indian temples are not entirely clear. Perhaps temple
dambi Rangachariyar’s The Sri Vaishnava Brahmans (Ma-
procedures had earlier been only customary and generally in-
dras, 1931).
formal. In that case, the Pa¯ñcara¯tra systematically introduced
G. R. WELBON (1987 AND 2005)
order and regularity. It is also possible, however, that (at least
some of) the earlier Vis:n:u temple ritual was conducted ac-
cording to Vaikha¯nasa prescriptions. More self-consciously
linked to Vedic ceremonial, Vaikha¯nasas tended to a certain
VAJRABODHI (671–741) was an Indian Buddhist
conservatism, resisting the incorporation of devotional mate-
monk and Zhenyan teacher in China. Vajrabodhi (Chin.,
rial from the A¯lva¯rs (to which the Pa¯ñcara¯tra were quite re-
Jingangzhi) was the second of three Vajrayana missionaries
¯
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9510
VAJRADHARA
to eighth-century China. He was born of a South Indian
distinct embodiment of the highest state of being, the pri-
brahman family, and his father was a priest for the royal
mordial A¯dibuddha, and the revealer of all the Tantras. But
house. Vajrabodhi probably converted to Buddhism at the
he was not always thus, for in the beginning in India Vajrad-
age of sixteen, although some accounts place him at the Bud-
hara was simply another name for Vajrapa¯n:i (Tib., Phyag na
dhist university of Na¯landa¯ at the age of ten. He studied all
rdo rje [Chagna dorje]), both bodhisattva and deity. One can
varieties of Buddhism and was said to have studied for a time
explain this development as the logical expansion of the tiny
under the famous Buddhist logician Dharmak¯ırti. Under
terminological difference between the less concrete “bearer
S´a¯ntijña¯na, Vajrabodhi studied Vajraya¯na teachings and was
(-dhara) of the vajra” and the unambiguous “vajra in hand.”
duly initiated into yoga, the “Three Mysteries,” and dha¯ran:i.
Vajrasattva (Tib., Rdo rje sems dpa’ [Dorje sempa]; Chin.,
Leaving India, Vajrabodhi traveled to Sri Lanka and
Wo tzu lo sa tsui; Jap., Kongosatta) further complicates the
S´r¯ıvijaya (present-day Sumatra), where he apparently was
historical picture. “Vajra being” was at first another early
taught a Vajraya¯na tradition distinct from that taught at
synonym for Vajrapa¯n:i, then both a synonym for Vajradhara
Na¯landa¯. From S´r¯ıvijaya he sailed to China and by 720 was
and a distinct deity in his own right. Nor had Vajrapa¯n:i
ensconced in the Jianfu Temple at the Chinese capital,
played a single unitary role in the history of Buddhism in
Changan. Accompanying him was his soon-to-be-famous
India and beyond.
disciple, Amoghavajra.
THE REAL VAJRADHARA. Given the logic of terminological
Like S´ubha¯karasim:ha, who preceded him by four years,
abstraction, one might expect Vajrasattva to be loftier than
Vajrabodhi spent most of his time in ritual activity, in
Vajradhara (when they are distinguished). But it is Vajrad-
translating texts, and in the production of Esoteric art. Par-
hara alone who represents one of just two possible represen-
ticularly important was his partial translation of the
tations of the dharmaka¯ya, the highest, in Tibetan Bud-
Sarvatatha¯gatatattvasam:graha (T. D. no. 865) between the
years 723 and 724. This Yoga Tantra— along with the
dhism. The other is Samantabhadra (“All Good”; Tib., Kun
Maha¯vairocana Su¯tra (T. D. no. 848), translated by Subha-
tu bzang po [Kuntu zangpo]), depicted completely naked to
karasimha the same year—provides the foundation of the
illustrate his distance from conventions. In the Maha¯ya¯na
Zhenyan school in China and the Shingon and Esoteric
and Tantric Buddhist analysis of the nature of enlighten-
branch of the Tendai school (Taimitsu) in Japan. Like
ment, the dharmaka¯ya is the least compromised form of the
S´ubha¯karasim:ha, Vajrabodhi had ties to high court circles
Buddha or a buddha, out of space and time. Thus its repre-
and enjoyed the patronage of imperial princesses; he also
sentation should not be taken literally, however anthropo-
worked with the Chinese monk Yi Xing. Vajrabodhi died in
morphic in appearance.
732 and was buried south of the Longmen caves. He was
Vajradhara is indeed depicted seated cross-legged in a
posthumously awarded the title Guoshi, “Teacher of the
vajraparyan˙ka pose, on a moon disk and lotus, two-armed,
Realm.”
hands crossed over his heart in the vajrahu¯m:kara or union
Vajrabodhi’s importance was twofold. Although the
gesture. His left, female hand is inside (signifying his inner
doctrines of the Yoga Tantras were known to S´ubha¯ka-
wisdom and emptiness) and bearing the bell; his right, male
rasim:ha, Vajrabodhi was the first translator and systematic
hand holding the vajra is above the left to symbolize the
teacher in China of the Sarvatathagatatattvasamgraha and of
method and compassion directed outwards. He is blue, like
Vajraya¯na as practiced in South India and in Srivijaya. Sec-
his historical “forefather,” Vajrapa¯n:i. If in union, Vajrad-
ond, Vajrabodhi reinforced the presence and visibility of the
hara’s consort is red Vajrayogin¯ı (Vajrava¯ra¯h¯ı), embodiment
Vajrayana at the Chinese court, a presence that, under his
of prajña¯pa¯ramita¯ (the “perfection of wisdom”), skull in left
disciple Amoghavajra, would become the dominant force in
hand and flaying knife in right. Emptiness expanded, like the
the court during the second half of the eighth century.
personification of prajña¯pa¯ramita¯, he should not be mistaken
for an individual buddha-being. Although dharmaka¯ya, and
SEE ALSO Maha¯siddhas; Zhenyan.
therefore not individual, he wears the regal finery of a
sam:bhogaka¯ya—eight jewel ornaments and five silks. In
BIBLIOGRAPHY
paintings he is frequently surrounded by the eighty-four
Zhou Yi Liang provides a copiously annotated translation of the
maha¯siddhas, Tantric Buddhist saints.
standard biographies of Vajrabodhi, Subhakarasimha, and
Amoghavajra in his “Tantrism in China,” Harvard Journal
In Rdzogs chen (Dzogchen), the “Great Perfection,” or
of Asiatic Studies 8 (March 1945): 241–332.
Atiyoga traditions of the Rnying ma (Nyingma, “old”)
CHARLES D. ORZECH (1987)
school of Tibetan Buddhism, and in Bon, the so-called pre-
Buddhist religion of Tibet, Samantabhadra, not Vajradhara,
is the dharmaka¯ya, albeit also known as Maha¯vajradhara Sa-
mantabhadra (Kun bzang rdo rje chang chen [Kunzang dorje
VAJRADHARA (Tib., Rdo rje chang [Dorje chang];
chang chen]). Vajradhara instead manifests as the
Mongolian, Ochirdana) is, in the last stages of Indian Tan-
sam:bhogaka¯ya, while the Rdzogs chen Samantabhadra is ut-
tric Buddhism and in the continuing Tibetan traditions, the
terly separate from the Maha¯ya¯na bodhisattva of that name.
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VAJRAPA¯N:I
9511
At these rarefied elevations of the dharmadha¯tu, the
personified into its essence, with the vajra no longer a weap-
pure dharma realm, Vajradhara is real, definitive (Skt.,
on but the underlying principle of phenomenal reality.
ni´scita¯rtha; Tib., nges pa don gi), sheer concept, and the na-
ture of everything. Such pantheism requires that nothing is
SEE ALSO Vajrapa¯n:i.
not Vajradhara, if one could but realize this truth. Vajrasatt-
BIBLIOGRAPHY
va, meanwhile, is simply the sam:bhogaka¯ya of the intangible
Beer, Robert. The Encyclopedia of Tibetan Symbols and Motifs.
Samantabhadra.
London, 1999.
RELATIVE/CONVENTIONAL VAJRADHARA. To teach bodhi-
Davidson, Ronald M. Indian Esoteric Buddhism: A Social History
sattvas and humans, the ultimate essence takes a form, a pro-
of the Tantric Movement. New York, 2002.
visional symbolic (Skt., neya¯rtha; Tib., drang don rtags) one.
Himalayan Art. “Buddhist Deity: Vajradhara.” Shelley and
This side of the dichotomy further subdivides into
Donald Rubin Foundation. Available from:
sam:bhogaka¯ya and nirma¯n:aka¯ya, bodies of so-called “enjoy-
www.himalayanart.org. A collection of Tibetan paintings,
ment” and “emanation.” The first is supramundane, visible
bronzes, and prints of Vajradhara, thirteenth to twentieth
centuries CE.
only to enlightened audiences such as dwell in paradisiacal
Lamotte, Étienne. “Vajrapa˚-i en Inde.” In Mélanges de Sinologie
buddha-realms, Akanis:t:ha, and so forth. The nirma¯n:aka¯ya
offerts à Monsieur Paul Demiéville, pp. 113–159. Paris, 1966.
is a buddha’s manifestation in the world, as S´a¯kyamuni or
Translated as “Vajrapa˚-I in India.” In Buddhist Studies Re-
bodhisattva.
view 20, 1 (2003): 1–30, and 20, 2 (2003): 119–144.
Vajradhara revealed the maha¯mudra¯ teachings in India
Snellgrove, David L. Indo-Tibetan Buddhism: Indian Buddhists
to Tilopa (c. 988–1069), thereby founding the Bka’ brgyud
and Their Tibetan Successors. 2 vols. Boston, 1987.
(Kagyu) lineage. Bka’ brgyud subsects agree that Tilopa in-
ISABELLE ONIANS (2005)
structed the Bengali Na¯ropa (1016–1100), who taught the
Tibetan seeker Mar pa (Marpa, 1002/12–1097), who then
carried the lineage back to Tibet and passed it on to Mi la
VAJRAPA¯N:I. “As for Vajrapa¯n:i . . . I confess to finding
ras pa (Milarepa, 1028/40–1111/23). In the Bka’ brgyud tra-
him by far the most interesting divine being throughout the
ditions, Vajradhara receives special worship as both the re-
whole history of Buddhism, for he has a personal history and
vealer of mysteries and the mystery itself.
considerable personal character.” David Snellgrove’s words
Vajradhara’s ultimate position is as Khyab bdag rigs
were published in his magnum opus, Indo-Tibetan Buddhism
drug pa, all-pervasive lord of the sixth family (Khyab dag, Sa-
(p. 134) in 1987, the year of this encyclopedia’s first edition.
mantabhadra in Rdzogs chen traditions). The six families are
Only now has Vajrapa¯n:i (Tib., Phyag na rdo rje [Chagna
the typical Indian upward extension of the earlier man:d:ala
dorje]) gained his own independent entry. His promotion in
of five, in turn the expansion of the earlier three (via an occa-
the secondary literature echoes his unparalleled rise within
sional intermediate four). These structures belong to differ-
the history of Indian and Tibetan Buddhism (with successes
ent historical phases of Tantric Buddhism, chronologically
also in Central Asian, Chinese, Southeast Asian, and Japa-
successive, but carried along and incorporated into succeed-
nese Buddhisms). From a half-tamed spirit who became the
ing classification systems. Kriya¯ Tantras have three families;
Buddha’s constant companion, this protean shape-shifter
Yoga Tantras, five; and the highest, Yoganiruttara Tantras,
graduates first into a bodhisattva and then into a deity before
six. The sixth is overlord of the five as the zenith above four
transcending everything as the primordial A¯dibuddha, Vaj-
cardinal directions around a unifying center. Sometimes Vaj-
radhara. However, Vajrapa¯n:i’s progress extends backwards
rasattva, a further essentialization of Vajradhara’s immanent
too, before Buddhism, to the beginnings of Sanskrit litera-
nature, is conceptually located symmetrically opposite him
ture, the Vedas.
at the nadir.
INDO-EUROPEAN ETYMOLOGY AND DIVINITY. In Sanskrit,
vajrapa¯n:i means “he who has a vajra in hand.” The word
More than a millennium earlier, Vajrapa¯n:i had been a
vajra refers to a thunderbolt, thunder crash, or lightning
mere yaks:a sprite, albeit the “master of the mysterious
flash, and to its embodiment in unbreakable diamond (cf.
[yaks:as]” (guhyaka¯dhipati). The epithet stayed with him and
the Tibetan neologistic translation Rdo rje [dor je], “Lord of
grew ever more meaningful until he was the “master of the
Stones”) and the invincible weapon made thereof. Vajra is
mysterious” truth at the heart of the secret esoteric tradition,
linguistically related to its Indo-European cousin, the Zoro-
and, as Vajradhara, the ultimate source of all its unfolding
astrian Zend vazra, Mithra’s “club” (cf. Vedic Mitra), and
scriptures.
the English cognates vigor, wacker, and wake.
VAJRAPA¯N:I UNARMED. Vajradhara was once but a synonym
In pre-Buddhist Indian literature, the vajra is wielded
of Vajrapa¯n:i, originally the Buddha’s humble attendant who
by powerful gods, above all Indra, lord of the gods, sky, and
happened to wield a mighty weapon. In early Indian Bud-
rains. From the R:gveda onward, Indra’s attribute is the vajra.
dhist art his weapon is personified, in the form of
Nevertheless, while the R:gveda often refers to vajraba¯hu:
Vajrapurus:a. But by the time Vajradhara is clearly distinct
(vajra in arm) and vajrahasta (vajra in hand), their synonym,
from his namesake, the attribute has been further de-
vajrapa¯n:i, is not found before the S:ad:vim:´sabra¯hman:a.
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VAJRAPA¯N:I
The vajra’s bearer has close correspondents in Greek,
However close to the Buddha, Vajrapa¯n:i remained a
Roman, and northern European mythology. Zeus and Jupi-
menial. Smashing a boulder dropped by Devadatta,
ter, kings of the gods and sky gods, hold the thunderbolt,
Vajrapa¯n:i’s ill-judged blow sent a shard into his Lord’s foot.
while the Norse Þórr (Thor) brandishes a meteoric hammer
Later, to spare the Buddha’s nonviolent reputation, he de-
that flashes lightning. Greco-Roman depictions of the bun-
feated the na¯ga dragon Apala¯la. Varying accounts of the epi-
dle of thunder and lightning are barely distinguishable from
sode, detailed in Étienne Lamotte’s authoritative Vajrapa˚-i
the double-ended trident vajra used today across the north-
en Inde (2003), eventually credit him with single-handed
ern Buddhist world. A Buddhist legend explains the adapted
conquest, in the Mu¯lasarva¯stiva¯da Vinaya, localizing the
form, since the Buddha had grasped Indra’s weapon and
event in northwest India.
blunted it, forcing the aggressive open prongs together to
When with the Maha¯ya¯na, the historical Buddha and
create a peaceful regal scepter.
his human entourage lost their preeminence, while
Following his R:gvedic supremacy, Indra, whose avatar
Vajrapa¯n:i, still judiciously aggressive, became venerable.
Vajrapa¯n:i originally is, comes down in the world. A second-
rank divinity, his supremacy is usurped by his storm-god col-
THREE BODHISATTVAS. Around the beginning of the Com-
league Rudra (S´iva), an opponent Vajrapa¯n:i will meet again
mon Era, the young Maha¯ya¯na Buddhism enthusiastically
many centuries later. In the Maha¯bha¯rata, for example, Indra
adopted Vajrapa¯n:i, if at first as a glorified protecting assis-
is defeated, kidnapped, and humiliated, whether with the ep-
tant, in such early classics as As:t:asa¯hasrika¯prajña¯pa¯ramita¯
ithet vajrapa¯n:i or vajradhara. By this point, Vajrapa¯n:i had
Su¯tra (The perfection of wisdom in eight thousand verses
begun an alternative career that would lead him to the inner-
su¯tra).
most heart of the Buddhist fold.
With the Maha¯ya¯na multiplication of bodhisattvas,
Separated from his godly prototype, Vajrapa¯n:i is an am-
Vajrapa¯n:i also becomes one, and he too is multiplied in the
bivalent yaks:a, neither divine nor human, albeit the general
new tradition’s proliferating style. The bodhisattva equivalent
of the yaks:a army (yaks:asena¯dhipati) and master of the whole
of the Buddha’s intimate attendant, he mirrors A¯nanda’s
guhyaka (secret) class of yaks:as (guhyaka¯dhipati). His mastery
function, with added Maha¯ya¯na expansiveness: just as
over secrets was reinterpreted to apply to the mysteries of eso-
A¯nanda guards and transmits the S´ra¯vakaya¯na su¯tras,
teric Buddhism. With him, military metaphors are always ex-
Vajrapa¯n:i protects and compiles fresh Maha¯ya¯na su¯tras. He
plicit and sustained, and his vajra was conceptually assimilat-
is by the side of countless buddhas in multiple buddha
ed to the legal staff (danda) of a law enforcer.
realms, and constantly attends any bodhisattva who has at-
V
tained the eighth to tenth of the ten bodhisattva stages.
AJRAPA¯N:I AND THE BUDDHA. Although Vajrapa¯n:i’s initial
Buddhist incarnation may have been as the Buddha’s asso-
Of the myriad Maha¯ya¯na bodhisattvas, few merited ded-
ciate, he was not a pushover. In a rare appearance in the Pali
icated religious cultivation. Apart from Maitreya, in particu-
canon, Vajrapa¯n:i extracts a response from Ambat:t:ha to the
lar, three stand out. Early Buddhist protectors, the Brah-
Buddha’s twice-unanswered question about his ancestry. To
manical gods Indra and Brahma¯, are consequently recast as
illustrate the threat that a third refusal will result in his head
Vajrapa¯n:i and Padmapa¯n:i, bearers of the vajra and lotus re-
being shattered, Vajrapa¯n:i appears in the sky, visible to only
spectively. Padmapa¯n:i became identified with the great bo-
the two interlocutors, wielding a blazing iron thunderbolt.
dhisattva of compassion, Avalokite´svara, a Maha¯ya¯na discov-
The terrified Ambat:t:ha’s tongue is loosened, and he keeps
ery, prompting Vajrapa¯n:i’s subsequent parallel upgrade.
his head.
With Mañju´sr¯ı as the bodhisattva manifestation of
In the fifth century CE Buddhaghosa, the preeminent
S´a¯kyamuni Buddha, the triad is complete.
Pali commentator, glosses Vajrapa¯n:i as Indra, possibly re-
In Mañju´sr¯ımu¯lakalpa (Mañju´sr¯ı’s fundamental in-
flecting the contemporary Brahmanization of Buddhism
structions) in the earliest Kriya¯ Tantra phase of Tantric Bud-
during and after the Gupta period. But the memory of their
dhism, the trio lead three families (Skt., trikula), symbolized
earlier identity is re-remembered everywhere in Indian Bud-
by the wheel, lotus, and vajra, specializing in wisdom, com-
dhist history. Vajrapa¯n:i and Indra are certainly depicted to-
passion, and power or energy (positive transmutations of the
gether enough times to have autonomous existences.
immemorial Buddhist root poisons: ignorance, greed, and
Numerous postcanonical narratives depict Vajrapa¯n:i’s
hatred). Spiritual sons and heirs of the three crowning bud-
feet on the ground. Many Gandharan Buddhist bas reliefs
dhas (Vairocana, Amita¯bha, and Aks:obhya (Tib., Mi bskyod
from northern Pakistan from the first centuries of the Com-
pa [Mi kyö pa]), immoveable as the adamantine vajra), the
mon Era show a Herculean strongman, under obvious Helle-
three are ranked vertically, or at least on a slope. On the less
nistic influence, holding a vajra. Like a bodyguard, Vajrapa¯n:i
auspicious left, Vajrapa¯n:i, with his entourage of fierce god-
is ever-present (nitya¯nubaddha), mostly silent, at the Bud-
desses, remains inferior to the two embodiments of more pri-
dha’s side. His desolation at the Buddha’s deathbed even in-
mary Buddhist qualities. Their inequality means that one
spired an entire su¯tra, transmitted in Chinese: On Guhyaka
consecrated in the vajra family is entitled to perform fierce
Vajrapa¯n:i’s Grief and Love When the Buddha Entered into
activities (coercing, destroying, and slaying), but not the be-
Nirva¯n:a.
neficent ones, while those initiated into the gentler families
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VAJRAPA¯N:I
9513
are also entitled to perform the fierce activities in an emer-
In the Sarvatatha¯gatatattvasam:graha, Vairocana had
gency.
been in the center of the man:d:ala, but in the transitional
Yoga/Yogottara Guhyasama¯ja Tantra (Secret union Tantra),
Bodhisattvas, not buddhas, the lords of the three families
the vajra family’s buddha, Aks:obhya, takes the central posi-
(Tib., Rigs gsum mgon po [Riksum gönpo]) are commemorat-
tion as the direct Sambhogaka¯ya incarnation of Vajradhara.
ed throughout the Himalayas wherever there is Buddhism,
Vajrapa¯n:i’s erstwhile synonym is now the sum of everything,
in wayside shrines, images, or a row of three stupas—white
and will be of supreme importance in the Tibetan tradition.
for compassionate Avalokite´svara, orange for wise Mañju´sr¯ı,
In Yoganiruttara cycles the chief deities are all vajra family.
and black or blue-grey for powerful Vajrapa¯n:i. Most com-
Aks:obhya’s emanations—Heruka, Hevajra, Sam:vara,
mon are man:i walls of piled-up flat stones carved with the
Yama¯ri, Vajrak¯ıla, Buddhakapa¯la, and Maha¯ma¯ya are bud-
mantras of the three bodhisattvas: om: man:i padme hu¯m:; om:
dhas in the style of Vajrapa¯n:i, with Aks:obhya on their crown,
va¯g¯ı´svar¯ı hu¯m:; and om: vajrapa¯n:i hu¯m:. Later Tibetan histori-
blue, fierce, and personifications of vajra power.
ans retrospectively identified their incarnations in the three
M
kings who promoted Buddhism in Tibet: Srong brtsan sgam
ULTIPLE VAJRAPA¯N:IS. Already before the plethora of
Yoganiruttara wild buddhas, Vajrapa¯n:I—the bodhisattva
po (Songtsen gampo, r. 627–649/650); Khri Srong lde btsan
himself—had multiple wrathful aliases in addition
(Trisong detsen, r. 755–c. 797); and Ral pa can (Rälpachen,
to Trailokyavijaya, conqueror of S´iva: these included
r. 815–838), respectively Avalokite´svara, Mañju´sr¯ı, and fi-
Maha¯bala (great strength), subjugator of Ma¯ra and subject
nally the fierce Vajrapa¯n:i. Many people have been, and con-
of the Maha¯bala Su¯tra (dateable to between the
tinue to be, recognized as incarnations of Vajrapa¯n:i, and of
Mañju´sr¯ımu¯lakalpa and the Sarvatatha¯gatatattvasam:graha);
the others. While Mañju´sr¯ı and Avalokite´svara inspired phi-
Ucchus:ma (the “incinerator” of impurities); Kun:d:ali;
losophers and enduring Maha¯ya¯na cults, Vajrapa¯n:i was
“fierce” Can:d:avajrapa¯n:i (Tib., Phyag rdor gtum po [Chag-
going right to the top.
dor tumpo]); and four-armed Bhu¯tad:a¯mara (Tib., ’Byung
FIVE BUDDHAS. Tantric Buddhism is the Vajraya¯na, the
po’i dul byed [Chungpö dulched]), his spirit-subduing form.
“Vajra Way.” Naturally, the vajra holder will be most power-
Many of these independent deities are still cultivated today
ful in such an eponymous religion. In earlier Kriya¯ and Carya¯
in the Tibetan tradition. The triple practice of Hayagr¯ıva,
Tantras, the vajra family had been inferior, but in the Yoga
Vajrapa¯n:i, and Garud:a for the removal of obstacles, particu-
Tantras, the family system operates with theoretical equality,
larly na¯ga afflictions, reflects Vajrapa¯n:i’s association with
graphically expressed in the man:d:ala’s horizontal layout.
Garud:a, natural enemy to snakes and na¯gas.
ICONOGRAPHY. Given the wealth of identity-shifts Vajrapa¯n:i
In the Yoga Tantra Sarvatatha¯gatatattvasam:graha (Con-
has enjoyed over the last 2,500 years, his iconography is
gregation of the truth of all the buddhas, seventh century CE
manifold. From his late Maha¯ya¯na phase on he is crowned
at the latest), Vajrapa¯n:i comes to the fore. With the main
with the vajra family buddha, Aks:obhya. Like Aks:obhya, he
Vajradha¯tu Man:d:ala, his family is paramount, pervading all
is blue, the color of space or the night sky, or black like thun-
others. The buddha family’s Vajradha¯tu Man:d:ala is scarcely
derclouds or kohl. Vajrapa¯n:i wears the tiger skin that repre-
distinguished from the vajra family’s Trailokyavijaya
sents hatred harnessed (elephant skin signifies ignorance, and
Man:d:ala, where the expertise remains slaying and destroy-
a flayed human skin, desire). The tiger skin’s phallic stripes
ing. Here are located the non-Buddhist deities that Vajrapa¯n:i
make it male, while the consort wears a female leopard skin.
has forcibly converted, the achievement that gave him ever-
Yet, Vajrapa¯n:i is rarely depicted in union. The emphasis on
lasting fame in Indian and Tibetan Tantric Buddhist institu-
wrath seems to have precluded passion, however explicitly
tional literature.
phallic the vajra is in Tantric Buddhism (where it is regularly
Without a single Tantric Buddhist origin myth, alterna-
united with the female “lotus”). Usually Vajrapa¯n:i wields
tive stories compete. The literary winner is the account of
only a vajra (five- or nine-pronged) in his raised right hand,
Vajrapa¯n:i’s defeat of Mahe´svara S´iva. Many texts narrate
while his left is held at the heart in the threatening (tarjan¯ı)
S´iva’s slaying and subjugation by Vajrapa¯n:i. Key is the
gesture. His left hand can hold the noose to bind enemies,
Sarvatatha¯gatatattvasam:graha’s telling, translated in Snell-
actual or metaphorical, or a bell. In more wrathful manifesta-
grove (1987, pp. 136–140). Enlightened, Vairocana gener-
tions, the big-bellied dwarf has three eyes, a skull crown, and
ates Vajradhara, from whom arises Vajrapa¯n:i to order
a snake necklace, and he steps towards the right to show his
Mahe´svara into the man:d:ala. S´iva objects to obeying a mere
energy, standing on a sun disk on an open lotus, orange hair
yaks:a, but Vajrapa¯n:i threatens to destroy the whole threefold
flaring upwards as if on fire. His bodhisattva form is peaceful,
world (trailokya). Even when reduced to a prostrate corpse
holding a lotus with vajra atop in his right hand, and making
and then resurrected, the proud god refuses to submit. Final-
the gesture of generosity with his left.
ly, Vajrapa¯n:i triumphs and stands with his right foot on
VAJRAPA¯N:I’S COMMENTARY. In addition to all his ahistorical
Mahe´svara, and his left on that god’s consort, Uma¯. Thus
history, Vajrapa¯n:i was also the name of one of the three “bo-
is mythologized the assimilation of non-Buddhist traditions,
dhisattva” authors who interpreted Tantric Buddhism in the
mediated by Vajrapa¯n:i, who acquires a new title,
light of the Ka¯lacakra Tantra (Wheel of time Tantra) in the
Trailokyavijaya, “Conqueror of the three worlds.”
late tenth century CE. His Laghutantrat:¯ıka¯ (Commentary on
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9514
VAJRASATTVA
the shorter Tantra) analyses the first ten and a half stanzas
emptiness (´su¯nyata) and the perfection of wisdom
of the Cakrasam:vara Tantra (Wheel of bliss Tantra).
(prajña¯pa¯ramita¯). Lavishly attired in the colorful garments
of a princely bodhisattva, he sits with legs crossed in the vajra
SEE ALSO Vajradhara.
posture (vajra¯sana) on a moon disk above a white lotus blos-
som. In some cases he is shown sitting with his right leg out-
BIBLIOGRAPHY
stretched, and in others he is standing. He wears a crown
Beer, Robert. The Encyclopedia of Tibetan Symbols and Motifs.
often inscribed with an image of Aks:obhya. From his richly
London, 1999.
adorned body, rays of light (often dark blue) radiate outward
Bischoff, Frédéric A. Contribution à l’étude des divinités mineures
to form a golden halo adorned with wish-fulfilling jewels and
du bouddhisme tantrique: Arya Mahabalanama-
an outer rainbow. In this way he represents the embodied
Mahayanasutra, tibétain (mss. de Touen-Houang) et chinois.
essence of all the peaceful buddhas.
Paris, 1956.
Iconic images of Vajrasattava are found in statuary form
Cicuzza, Claudio. The Laghutantrat:¯ıka¯ by Vajrapa¯n:i: A Critical
Edition of the Sanskrit Text. Rome, 2001.
and more frequently in paintings, especially of the man:d:ala.
As a central deity of esoteric Buddhism or Vajraya¯na (Ada-
Davidson, Ronald M. “Reflections on the Maheshvara Subjuga-
mantine or Thunderbolt Vehicle), Vajrasattva first rose to
tion Myth: Indic Materials, Sa-skya-pa Apologetics, and the
Birth of Heruka.” The Journal of the International Association
prominence in the Yoga class of Tantras. The ritual practices
of Buddhist Studies 14, no. 2 (1991): 197–235.
centered on him, including visualization of the man:d:ala and
recitation of his hundred-syllable mantra, are popular among
Davidson, Ronald M. Indian Esoteric Buddhism: A Social History
all followers of Tantric Buddhism, particularly in Tibet and
of the Tantric Movement. New York, 2002.
in Japan. Vajrasattava’s significance in the development of
Himalayan Art. “Buddhist Deity: Vajrapani.” Shelley and Donald
the Buddhist Vajraya¯na tradition in India and in neighbor-
Rubin Foundation. Available from: www.himalayanart.org.
ing regions and beyond is well confirmed, although the pre-
A collection of paintings, bronzes, and prints of Vajrapa¯n:i,
from across the northern Buddhist world, ninth to twentieth
cise details of his role in that historical process are complicat-
centuries CE.
ed and require understanding of his divine adamantine allies,
the closely related deities Vajrapa¯n:i (Vajra-in-Hand), Vairo-
Lalou, Marcelle. “Four Notes on Vajrapani.” Adyar Library Bulle-
cana (Resplendent), and Vajradhara.
tin 20 (1956): 287–293.
Lalou, Marcelle. “A Fifth Note on Vajrapani.” Adyar Library Bul-
VAJRASATTVA IN INDIA. Vajrasattva first emerges as a central
letin 25 (1961): 242–249.
deity in the Yoga Tantras. The foundational text of this liter-
Lamotte, Étienne. “Vajrapa˚-i en Inde.” In Mélanges de Sinologie
ary category is the Sarvatatha¯gatatattvasam
˙ graha (Sympo-
offerts à Monsieur Paul Demiéville, pp. 113–159. Paris, 1966.
sium of Truth of All the Tathagathas), also known simply
Translated as “Vajrapa˚-I in India.” In Buddhist Studies Re-
as the Tattvasam
˙ graha. Other significant Yoga Tantras in-
view 20, 1 (2003): 1–30, and 20, 2 (2003): 119–144.
clude the Sarvadurgatipari´sodhana Tantra (Tantra on the
Linrothe, Rob. Ruthless Compassion: Wrathful Deities in Early
Elimination of All Evil Rebirths), the Vajra´sekhara Tantra
Indo-Tibetan Esoteric Buddhist Art. London, 1999.
(Vajra Pinnacle Tantra), and the Mañju´sr¯ına¯masam:g¯ıti (The
Mayer, Robert. “The Figure of Maheshvara/Rudra in the rNying
Litany of Names of Mañjusr¯ı). Evidence suggests that the
ma pa Tantric Tradition.” Journal of the International Associ-
Tattvasam
˙ graha and associated Tantric works date to the be-
ation of Buddhist Studies 21 (1998): 271–310.
ginning of the eighth century, although some scholars now
Snellgrove, David L. Indo-Tibetan Buddhism: Indian Buddhists
argue that the Tattvasam
˙ graha itself may have been complet-
and their Tibetan Successors. 2 vols. Boston, 1987.
ed slightly earlier at the end of the seventh century.
Stein, Rolf A. “La Soumission de Rudra et autres contes tan-
Vajrapa¯n:i, a closely affiliated divine precursor to Vajra-
triques.” Journal Asiatique 283 (1995): 121–160.
sattva, first takes center stage, along with the famous bodhi-
ISABELLE ONIANS (2005)
sattvas Avalokite´svara (Lord Who Looks Down) and
Mañju´sr¯ı (Gentle Glory), in the proto-Tantric
Mañju´sr¯ımu¯lakalpa (Fundamental Ordinance of Mañju´sr¯ı).
In this text, the three deities are described as taking up hon-
VAJRASATTVA (Tibetan, Rdo rje sems dpa’ [Dorjé
orable positions around the Buddha S´a¯kyamuni:
Sempa]; Chinese, Jingang sadou; Japanese, Kongo¯satta), the
Avalokite´svara, identified here as Padmapa¯n:i (Lotus-in-
“Adamantine Being,” is a bodhisattva affiliated primarily
Hand), to his right; Vajrapa¯n:i to his left; and Mañju´sr¯ı
with the Buddha Aks:obhya (Unshakeable) but in many con-
(Gentle Glory) appearing below S´a¯kyamuni at the center.
texts is identified conceptually with Vajradhara (Vajra Hold-
This formal arrangement of Buddhist deities seems to repre-
er). Vajrasattva is traditionally depicted iconographically as
sent an early and simplified prototype of the more elaborate
white in color with one face and two hands. In his right hand
fivefold arrangement of buddhas that would later become
he holds close to his heart a vajra (thunderbolt), representing
fully systematized in the Yoga Tantras. In the
the active means toward enlightenment, and in his left hand
Mañju´sr¯ımu¯lakalpa, Avalokite´svara is associated with the
beside his left hip an upturned bell (ghan:t:a¯), a symbol of
symbol of the lotus, the divine emblem of purity and com-
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VAJRASATTVA
9515
passion. The central figure of Mañju´sr¯ı is symbolically iden-
of the later Tantras, therefore, Aks:obhya is placed in the cen-
tified as tatha¯gata (Thus Gone), a term synonymous with the
ter of the man:d:ala and Vairocana is shifted to the east in
Buddha and enlightenment. For Vajrapa¯n:i and his retinue,
Aks:obhya’s former position. Vajradhara and Vajrasattva,
the preeminent symbol is the vajra, signifying divine and
both symbolically identical, and thus interchangeable, re-
magical power—the power to pacify, augment, control, and
main the transcendent embodiments of adamantine power,
destroy. It is largely for this reason, owing to the power asso-
the source and unity of all buddhas.
ciated with the vajra, that Vajrapa¯n:i is the one given the
VAJRASATTVA IN TIBET. In Tibetan Buddhism, the iconogra-
daunting task of subjugating and converting to Buddhism
phy and ritual traditions of Vajrasattva are derived largely
the Hindu god S´iva (Mahe´svara) in a dramatic and influen-
from the class of Indian Buddhist Yoga Tantras referred to
tial tale first recounted in the Tattvasam
˙ graha.
above, though additionally in Tibet there are other primary
It is in this work, also, that Vairocana first appears as
Tantras associated with this deity. The most significant is the
a manifestation of the unity of all buddhas. The man:d:ala of
eighth-century Gsang ba’i snying po (Sanskrit, *Guhyagarbha,
Vairocana, introduced in the Tattvasam
˙ graha with the name
“Secret Nucleus”), a work belonging to a distinctively Tibet-
Vajradha¯tu (Adamantine World), places Vairocana in the
an cycle of maha¯yoga scriptures collectively titled Sgyu Ephrul
center surrounded by the Buddhas Aks:obhya in the eastern
drwa ba (Sanskrit, Ma¯ya¯ja¯la, “Web of Magical Emanation”).
quarter, Ratnasambhava (Jewel Born) in the south,
In the Gsang ba’i snying po, Vajrasattva appears at the center
Amita¯bha (Boundless Light) in the west, and Amoghasiddhi
of the man:d:ala of the peaceful deities (Tibetan, zhi ba’i lha).
(All Accomplishing) in the north. In time this symmetrical
This man:d:ala is the tranquil counterreflection of an elabo-
arrangement of five principal buddhas became standard,
rate arrangement of fierce divinities (Tibetan, khro bo’i lha).
though with the identity of the central deity frequently
Together, both man:d:alas constitute the Tantric system of the
changing to reflect the affiliated lineage of a particular Tan-
peaceful and wrathful deities most famously represented in
tric ritual tradition. Nevertheless, the Yoga Tantras continue
the Tibetan Book of the Dead literature.
to maintain that in whatever form the central deity mani-
In Tibet there are numerous ritual programs (Tibetan,
fests, whether as Vairocana, Vajradhara, Vajrasattva, or some
sgrub thabs; Sanskrit, sa¯dhana) dedicated to Vajrasattva, and
other buddha figure, he is always to be understood as the
their practice is widely popular among all the main orders
same in essence, that is, as the unity of all buddhas.
of Tibetan Buddhism. These Vajrasattva rituals serve as puri-
ficatory practices and constitute a key component of the pre-
With the development in the Yoga Tantras of this five-
liminaries (sngon Egro) to Tantric initiation and empower-
fold buddha man:d:ala coincided the expansion of various
ment. In this context, Vajrasattva’s hundred-syllable mantra,
buddha families (kula). It was in the proto-Tantric
recited during the preliminary rites, is held to be a particular-
Mañju´sr¯ımu¯lakalpa that this concept of families first
ly potent method for purifying past sins and unwholesome
emerged, with the introduction of three divine groups,
karma.
Tatha¯gata/Buddha (Mañju´sr¯ı), Lotus (Avalokite´svara), and
Vajra (Vajrapa¯n:i). The Tattvasam
˙ graha added to this list a
For the Rnying ma pa (Ancient Ones) school of Tibetan
Gem (ratna) family, and a fifth, Action (karma) family,
Buddhism, Vajrasattva is also celebrated as a key lineage
seems first to have been introduced in the Vajra´sekhara Tan-
holder of the Rdzogs chen (Great Perfection) teachings, and
tra. The Yoga Tantras, moreover, refer also to a transcendent
is credited with the transmission of this esoteric system into
sixth family represented by a supreme primordial buddha
the human realm in a vision revealed to the Indian mystic
(A¯dibuddha), understood as the source of the five principal
Dga’ rab rdo rje (Sanskrit, Prahevajra).
buddhas. This supreme buddha is known variously as
VAJRASATTVA IN JAPAN. The identification of Vajrasattva as
Maha¯vairocana (Great Resplendent), Samantabhadra
a divine lineage holder of the Tantric Buddhist teachings is
(Universal Goodness), Vajradhara, or more commonly,
found also in Japan, specifically in the esoteric (mikkyo¯)
Vajrasattva.
su¯tras of the Japanese Shingon tradition. Here, Vajrasattva,
known as Kongo¯satta in Japanese, is recognized as the direct
Given the overall emphasis on power in Tantric Bud-
recipient of the esoteric teachings of the supreme Buddha
dhism, it is the Vajra family that reigns supreme in the Tan-
Maha¯vairocana (Japanese, Dainichi), the teacher of the
tras. Thus, it is the buddhas and bodhisattvas who embody
Maha¯vairocana and the Vajra´sekhara Su¯tras. Vajrasattva thus
the symbolism of the vajra—identified as such in the very
appears as second patriarch after the Great Vairocana in all
names themselves—that stand at the center of the Tantric
established Shingon transmission lineages. From Vajrasattva
universe represented graphically in the form of the man:d:ala.
the teachings were then transmitted in the human world to
Although originally Vairocana held the central position in
Na¯ga¯rjuna, and, through a succession of further Indian mas-
the man:d:ala outlined in the Tattvasam
˙ graha, it is Vajrad-
ters, eventually extended to the Japanese Buddhist priest
hara, the transcendent sixth buddha, who, linked by name
Ku¯kai (774–835).
and power to the older Vajrapa¯n:i, comes eventually to re-
place Vairocana as the quintessential Tantric deity. Vajrad-
As in the Indian and Tibetan traditions, Vajrasattva in
hara is also identified with Vajrasattva, the bodhisattva associ-
Japanese Shingon represents the adamantine enlightenment
ated most closely with the fierce Buddha Aks:obhya. In some
of all buddhas. Recognized as the active and manifest power
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9516
VAJRAYA¯NA
of Maha¯vairocana, he holds leadership positions within the
Baldr’s arrival is mentioned once, although the mythology
two exclusive man:d:alas of the Shingon tradition, the taizo¯
usually associates him with Hel. The einherjar spend their
(Sanskrit, Garbhadha¯tu, “Womb/Matrix World”) and
days in endless combat, but in the evenings they join in rec-
kongo¯kai (Sanskrit, Vajradha¯tu, “Diamond World”). In the
onciliation for feasting and drinking. The boar Sæhrímnir is
ritual arena, during the esoteric initiation ceremonies and
boiled each day for their food but is restored again each
construction of the man:d:ala, Vajrasattva is invoked by prac-
night. Mead runs from the udders of the goat Heiðrún. She
titioners to help them attain buddhahood in this lifetime.
stands above Valho˛ll, feeding on the foliage of Læráðr (Ygg-
drasill), the World Tree. The stag Eikþyrnir also chews on
BIBLIOGRAPHY
the tree; from his horns fluid runs into Hvergelmir, the Well
Abé, Ryuichi. The Weaving of Mantra: Ku¯kai and the Construction
of Wisdom, and thence into mighty rivers. The proximity
of Esoteric Buddhist Discourse. New York, 1999.
of the tree and well suggests that Valho˛ll is located at or near
Beyer, Stephan. The Cult of Ta¯ra¯: Magic and Ritual in Tibet.
the center of the world.
Berkeley, Calif., 1978.
The einherjar (those belonging to one army, or splendid
Davidson, Ronald M. Indian Esoteric Buddhism: A Social History
warriors) share a special relationship with Óðinn. Called his
of the Tantric Movement. New York, 2002.
óskasynir (adopted sons, or beloved sons), they are his retain-
Snellgrove, David L. Indo-Tibetan Buddhism: Indian Buddhists
ers, destined to fight with him in the final battle at Ragnaro˛k.
and Their Tibetan Successors. 2 vols. Boston, 1987.
This relationship may be the key to the religious background
ten Grotenhuis, Elizabeth. Japanese Mandalas: Representations of
of Valho˛ll. Some scholars have sought this background in ec-
Sacred Geography. Honolulu, 1999.
static cults of Óðinn, characterized by initiation into warrior
Thupten Yeshe. Becoming Vajrasattva: The Tantric Path of Purifi-
bands (perhaps secret cult groups that used animal masks).
cation. Edited by Nicholas Ribush. Boston, 2004.
Valho˛ll would then represent a mythic projection of the Ger-
Tucci, Giuseppe. Tibetan Painted Scrolls. 3 vols. Rome, 1949.
manic chieftain’s hall, and the activities within would be a
similar projection of the warrior life. Certainly other sources
Yamasaki, Taiko. Shingon: Japanese Esoteric Buddhism. Translated
emphasize the ritual importance of feasting and drinking.
and adapted by Richard and Cynthia Peterson. Edited by Ya-
suyoshi Morimoto and David Kidd. Boston, 1988.
Many scholars believe that the Norse sources express a
BRYAN J. CUEVAS (2005)
late development of conceptions of Valho˛ll, appropriate par-
ticularly to the warrior elite of the Viking age. At an earlier
period, Valho˛ll may have simply indicated a grave mound.
VAJRAYA¯NA
Supporting this notion is the Icelandic conception of a local
SEE BUDDHISM, SCHOOLS OF,
mountain inhabited by dead family members; the sagas re-
ARTICLE ON TANTRIC RITUAL SCHOOLS OF
port that feasting was occasionally glimpsed within. Further-
BUDDHISM
more, in Sweden, certain rocks associated with the dead are
called valhall. If this explanation is correct, valho˛ll (carrion
hall) may actually be derived from valhallr (carrion rock, or
VALHO
˛ LL is the hall of Óðinn (Odin) in Norse mythol-
carrion hill,). Since val- may also mean “foreign,” valho˛ll
ogy. The fullest descriptions of it are found in the Prose Edda
might also denote “foreign hall,” and the term is used of
(c. 1220–1230) of the Icelandic mythographer Snorri Sturlu-
kings’ halls in the Eddic poem Atlakviða.
son and in the Eddic poem Grímnismál (Lay of Grímnir),
SEE ALSO Baldr; Eddas; Óðinn; Snorri Sturluson.
one of Snorri’s main sources; tenth-century skaldic poems
also make particular use of the conception. These and other
texts describe Valho˛ll as a stately palace, with a roof of shields
BIBLIOGRAPHY
and spears. A wolf hangs by the west portal and an eagle
The standard treatment of Valho˛ll remains that of Gustav Neckel,
droops above; both these animals are associated with Óðinn,
Walhall: Studien über germanischen Jenseitsglauben (Dort-
mund, Germany, 1913). Franz Rolf Schröder’s Germanen-
the god of the spear, and their actions recall his self-sacrifice.
tum und Hellenismus (Heidelberg, Germany, 1924) discusses
Valho˛ll had 540 doors, through each of which 800 warriors
the development of the concept of Valho˛ll under Middle
could pass at once. (These numbers probably employ the
Eastern influence; for instance, he points out that the sacred
Germanic long hundred and should be read as 640 and 960,
number 432,000 is the product of the 540 doors multiplied
respectively.)
by the 800 warriors. In an important article, “Valhall med
Valho˛ll served specifically as a hall for the einherjar, the
de mange do⁄rrer,” originally published in 1931 and reprinted
in his Norro
dead warriors of Óðinn. These chosen heroes were fetched
⁄ ne studier (Oslo, 1938), Magnus Olsen argues for
Roman influence in the form of amphitheaters, perhaps even
from the battlefield by valkyries, who also served them mead
the Colosseum; there, crowds surged through many doors,
in Valho˛ll, a scene probably reflected on such picture stones
warriors fought regularly, and the emperor presided, not un-
as the eighth-century Ardre VIII from Gotland, Sweden.
like a god. On ecstatic cults of Óðinn, see Otto Höfler’s Kul-
Legendary heroes, human kings, and even the god of poetry,
tische Geheimbünde der Germanen (Frankfurt am Main, Ger-
Bragi, are numbered among the einherjar in Valho˛ll. The god
many, 1934); this volume is all that appeared of a projected
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VALLABHA
9517
two-volume work. In her Prolonged Echoes, vol. 1, The Myths
literary valkyrie are those of Lise Præstgaard Andersen,
(Odense, Denmark, 1992), pp. 253 ff, Margaret Clunies
Skjo⁄ldmo⁄er—en kvindemyte (Copenhagen, 1982) and Helen
Ross discusses the picture of what she calls the “Valho˛ll com-
Damico, Beowulf’s Wealhtheow and the Valkyrie Tradition
plex” in Snorri Sturluson’s Edda as an attempt to portray
(Madison, Wis., 1984).
Óðinn as warrior chieftain in charge of a warrior elite. Ann-
Lili Nielsen, “Hedniska kult—och offerhandlingar i Borg,”
JOHN LINDOW (1987 AND 2005)
in Religion fra˚n stena˚lder till medeltid, edited by Kerstin Eng-
dahl and Anders Kaliff (Linköping, Sweden, 1996), discusses
cult activities in the chieftain’s farm found in Lofoten, Nor-
way, some of which may be relevant to notions of Valho˛ll.
VALLABHA (1479–1531), also called Vallabha¯ca¯rya,
was a Vais:n:ava Hindu philosopher and religious leader. Val-
JOHN LINDOW (1987 AND 2005)
labha was born in central India at Campa¯ran:ya (Raipur Dis-
trict, Madhya Pradesh) into a family of Vais:n:ava brahmans
originally from the Telugu country. During his childhood,
VALKYRIES, supernatural female figures of Norse myth
which was spent in Va¯ra¯n:asi (Banaras), Vallabha displayed
and literature, share many features with the dísir, fylgjur,
unusual precocity in mastering the scriptures of orthodox
hamingjur, Norns, and landvættir in the extant texts, and
Hinduism. In the course of his life he visited most of the holy
there is little terminological consistency. A primary function
places of India, publicly expounding his own interpretation
of the valkyries is indicated by the etymology of the word
of the events of Kr:s:n:a’s life as presented in the Bha¯gavata
valkyrja, a compound of valr (carrion) and a nomen agentis
Pura¯n:a. In a series of debates with adherents of the nondual-
based on the verb kyrja (to choose). Regarded as the maidens
ism (advaita) promulgated by the eighth-century philoso-
of Óðinn, the valkyries chose who was to die in battle and
pher S´ankara¯ca¯rya, Vallabha defended the doctrines of devo-
brought the chosen ones to him in Valho˛ll, where they
tional worship (bhakti). On one of these occasions he was
joined the einherjar, Óðinn’s warriors. Valkyries rode
offered and accepted the position of leader (a¯ca¯rya) of the
through the air, bore weapons, and could be fierce in appear-
Vais:n:ava school established earlier by Vis:n:usvami.
ance, although they may have been shape-changers. Their
Vallabha’s own sect, the Vallabh Samprada¯y, originated
personal names ordinarily make reference to battle. In
from two events that occurred in the Braj region around the
Valho˛ll, valkyries served mead to the einherjar, a scene per-
city of Mathura. In the first of these, Kr:s:n:a appeared to Val-
haps portrayed on the Ardre VIII picture stone (Gotland,
labha in a vision and revealed to him the brahmasambandha
Sweden; eighth century) and elsewhere. Sometimes, howev-
mantra by which human souls could be brought into direct
er, valkyries protected heroes in battle, a characteristic shared
relationship (sambandha) with the Supreme Being (brah-
with the fylgjur. The valkyrie Sigrdrífa of the Eddic poem Si-
man). In the second, Vallabha discovered on Govardhan Hill
grdrífumál may be associated with healing, which suggests
the stone image called S´r¯ı Govardhanana¯thaj¯ı (“the auspi-
the matronae of early Germanic religion. Like the Norns, val-
cious lord of Govardhan”), usually abbreviated as S´r¯ı Na¯thj¯ı;
kyries weave fate in the poem Darraarljóð. There is also con-
the statue is a representation of Kr:s:n:a holding up Govardhan
fusion with human or semidivine heroines, and in one heroic
Hill as a shelter for his devotees. The brahmasambandha
cycle a valkyrie is twice reborn in different identities.
mantra remains to this day the primary component of the
Given the existence of the matronae in ancient German-
rite of initiation into the Vallabh Samprada¯y, and S´r¯ı Na¯thj¯ı,
ic times, the general prominence of male gods and the rela-
now at Nathdwara (Udaipur District, Rajasthan), is the sect’s
tive importance of the Æsir over the Vanir in Norse mythol-
chief divine image. Vallabha was married and had two sons,
ogy, it seems apparent that female figures were of greater
Gop¯ına¯tha (1512–1543) and Vit:t:alana¯tha (1516–1586).
importance in Germanic religion than Norse mythology
would indicate. Scholars have regarded the valkyries as de-
After Vallabha’s death, first Gop¯ına¯tha and then
rived from earlier goddesses of death or perhaps a fertility
Vit:t:alana¯tha took charge of the sect. Each of Vit:t:alana¯tha’s
cult, but their association with Óðinn may be ancient and
eight sons formed his own branch of the sect and the leader-
primary. If so, believers may once have attributed to valkyries
ship within these branches passes down by inheritance
shape-changing powers and the ecstatic “sending” of their
through Vallabha’s male line. With most of its membership
spirits.
drawn from the mercantile section of Hindu society, the Val-
labh Samprada¯y is found in all important Indian cities but
SEE ALSO Eddas; Óðinn.
is strongest in the states of Rajasthan and Gujarat and in the
city of Bombay. Vallabha’s sect was in decline during most
BIBLIOGRAPHY
of the nineteenth century, but in recent years it has regained
Nils Lid discusses the various female figures of Scandinavian reli-
its position of eminence among devotional varieties of Hin-
gion in the section “Valkyrjer og diser” of his “Gudar og
duism.
gudedyrking,” in Religionshistoria, edited by Nils Lid (Oslo,
1954). Folke Ström’s Diser, norner, valkyrjor (Stockholm,
According to Vallabha the chief philosophical flaw in
1954) treats three of these groups and argues for association
S´ankara¯ca¯rya’s concept of advaita is that it accepts illusion
with a fertility cult and sacral kingship. Useful studies of the
(ma¯ya¯) as a force independent of brahman. Vallabha rectified
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9518
VALLÉE POUSSIN, LOUIS DE LA
this defect by presenting ma¯ya¯ as one of the powers of the
VA¯LM¯IKI. Legendary sage and author of the Hindu epic
Supreme Being. In this way he made pure (´suddha) the non-
Ra¯ma¯yan:a, Va¯lm¯ıki also plays a role in the epic itself. The
dualism of his philosophical system, which is, in conse-
first book of his Ra¯ma¯yan:a tells the story of the invention
quence, called ´suddha¯dvaita. The fundamental principles of
of poetry by Va¯lm¯ıki: One day Va¯lm¯ıki saw a hunter kill the
´suddha¯dvaita are as follows: Kr:s:n:a is the Supreme Being and
male of a pair of birds making love. Filled with compassion
sole existent entity. Both human souls and the material uni-
for the birds, the sage spontaneously uttered a curse at the
verse are real but limited manifestations that Kr:s:n:a projects
hunter for his cruelty. Va¯lm¯ıki’s words came forth as well-
out of himself. The souls on earth have, however, forgotten
formed, beautiful verse. The sage himself was surprised by
their true nature as fragments of the divine and have become
his utterance, which was immediately memorized and recited
centered on themselves. This egoism is the primary sin that
on the spot by his disciple Bharadva¯ja, who had accompanied
dooms human beings to separation from Kr:s:n:a and to an
him. Later, after Va¯lm¯ıki returned home, Brahma¯, the cre-
endless succession of births and deaths. In his mercy Kr:s:n:a
ator, visited him and asked him to compose the story of the
himself came in human form to earth in the Braj area and
virtuous hero Ra¯ma as outlined by the r:s:i Narada, using the
showed through his own actions the way to salvation
new meter that Va¯lm¯ıki had created. Indian literary tradition
through bhakti. The divine grace, which cannot be earned
therefore considers Va¯lm¯ıki as the first poet (adikavi) and his
through mere piety or ritual, is available to anyone, regardless
Ra¯ma¯yan:a the first poem (adikavya).
of sex or caste, who will forget the ego and center himself
In the seventh book of the epic, Va¯lm¯ıki is spoken of
or herself on Kr:s:n:a. Since Kr:s:n:a’s grace is said to be the way
as a friend of King Da´saratha. Ra¯ma’s brother Laks:man:a
(ma¯rga) for the nourishment (pus:t:i) of the soul, followers of
leaves the pregnant S¯ıta¯ (Ra¯ma’s wife) in Va¯lm¯ıki’s hermit-
Vallabha call their religion the Pus:t:ma¯rg. Salvation, the goal
age. Finally, it is Va¯lm¯ıki who shelters S¯ıta¯, raises her twin
of the Pus:t:ma¯rg, consists of eternal association with Kr:s:n:a
sons, and plays the role of reconciler between Ra¯ma and S¯ıta¯
in his paradise beyond ordinary time and space.
by testifying publicly to S¯ıta¯’s purity. In this context,
SEE ALSO Bhakti; Kr:s:n:a; Vais:n:avism, article on Bha¯gavatas.
Va¯lm¯ıki describes himself as a son of Pracetas, which makes
him a member of the family of Bhr:gus, an influential lineage
BIBLIOGRAPHY
of brahmans in ancient India.
The most important of Vallabha’s writings, all of which are in
A folk legend records that the sage was born out of an
Sanskrit, is his Subodhin¯ı commentary on the Bha¯gavata
“anthill” (Sanskrit, valm¯ıka) and therefore was called
Pura¯n:a. There is no satisfactory English translation, but the
Va¯lm¯ıki. This legend also records that he was originally a
text has been well edited by Nandkishor Sharma (Nath-
bandit, but some sages, pitying him, taught him the mantra
dwara, 1928). Vallabha outlined his basic philosophical ideas
in the Tattva¯rtha-d¯ıpa-nibandha, which has been edited in
“mara¯, mara¯, mara¯.” As he repeated the syllables, they pro-
two volumes by Harishankar Onkarji Shastri, with introduc-
duced the name Ra¯ma, and while he was deeply immersed
tion and notes in English by J. G. Shah (Bombay, 1943).
in meditating on the name of Ra¯ma, ants built anthills
This edition includes both English and Gujarati translations
around him. This story appears with minor variations in the
of the text together with expository material. In sixteen short
Ska¯ndapu¯ra¯n:a and also in the Adhya¯tma Ra¯ma¯yan:a and
works collected together as the S:od:a´sagrantha¯h:, Vallabha ex-
A¯nanda Ra¯ma¯yan:a. Many popular bhakti Ra¯ma¯yan:as, in-
plained his approach to bhakti. An excellent three-volume
cluding the Krittiva¯sa Ra¯ma¯yan:a of Bengal, adopt this story.
edition of the S:od:a´sagrantha¯h: with commentaries has been
published under the title Maha¯prabhu S´r¯ımadvallabha¯ca¯rya
Thus, there are two kinds of biographies for Va¯lm¯ıki.
Viracita¯h: S:od:a´sagrantha¯h: (Nathdwara, 1980–1981), and an
One type describes Va¯lm¯ıki as a sage-poet born of a high-
English translation of all but two of the sixteen works is in-
caste brahman family and endowed with supreme wisdom
cluded in Manilal Chhotalal Parekh’s Sri Vallabhacharya:
and the divine sensibilities that made him the creator of poet-
Life, Teachings and Movement, 2d ed. (Rajkot, 1943). A gen-
ry, while the other type describes him as a sinner transformed
eral introduction to Vallabha’s teachings and sect is provided
into a saint. The first type of biography is in conformity with
by my study The Bhakti Sect of Vallabha¯ca¯rya (Faridabad,
the status of the Ra¯ma¯yan:a as the great epic that it is in the
1976), and a survey of his philosophical thought is given by
Brahmanic tradition. The second type of biography relates
Mrudula I. Marfatia in The Philosophy of Vallabha¯ca¯rya
to the status of the Ra¯ma¯yan:a as a bhakti poem that trans-
(Delhi, 1967).
forms its readers from sinners into devotees of the god Ra¯ma.
New Sources
The two types of biographies thus reflect the two major ori-
Tagare, Ganesh Vasudeo. Brahma-Vada: Doctrine of Sri Vallabha-
entations and interpretations of the Ra¯ma¯yan:a in Hindu
carya. New Delhi, 1998.
culture.
R. K. BARZ (1987)
Scholars have suggested a historical Va¯lm¯ıki, who prob-
Revised Bibliography
ably was a resident of Kosala (a region of the modern state
of Uttar Pradesh) and traveled extensively in North India,
though he did not know much of the South. This opinion
VALLÉE POUSSIN, LOUIS DE LA SEE LA
is based on the textual evidence from the Ra¯ma¯yan:a that
VALLÉE POUSSIN, LOUIS DE
gives detailed and geographically correct descriptions of
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VANUATU RELIGIONS
9519
North India, whereas its descriptions of South India are
it beings, are also commonly attributed to a wide range of
purely fanciful. It is also suggested that Va¯lm¯ıki was one of
“natural” phenomena, including humans, animals, birds,
the ku´s¯ılavas (“singers, bards”) who sang the epic. No firm
fish, plants, and stones. It is this diffuseness of supernatural
evidence is available, however, in support of a historical
power, together with its transferability, by means of ritual,
Va¯lm¯ıki. Tradition holds, however, that Va¯lm¯ıki is also the
from its various sources to human agents, that gives Vanuatu
author of the medieval work Maha¯ra¯mayan:a, or
religions their distinctive character. The primary aim of
Jña¯nava¯´sis:t:a, a philosophical text in the form of a dialogue
Vanuatu religious practitioners is, through ritual, to gain di-
between the sage Va´sis:t:a and Ra¯ma.
rect control of extraordinary powers, rather than to suppli-
cate spirit beings to act on their behalf. The ni-Vanuatu
SEE ALSO Ra¯ma¯yan:a.
(“people of Vanuatu”), though deeply concerned with estab-
lishing and maintaining positive relations with the relevant
BIBLIOGRAPHY
power sources, cannot be said to worship such sources. Their
Bulcke, Camille. “The Ra¯ma¯yan:a: Its History and Character.”
religions, though replete with the powerful, the sacred, and
Poona Orientalist 25 (January–October 1960): 36–60.
the tabooed, are almost wholly devoid of deities, priests, and
Goldman, Robert P., trans. The Ra¯ma¯yan:a of Va¯lm¯ıki, vol. 1,
acts of worship.
Ba¯lakan:d:a. Princeton, N.J., 1984. See especially the intro-
duction (pp. 3–59).
As R. H. Codrington (1891, p. 123) long ago noted,
the ni-Vanuatu recognize two classes of spirits, those who
VELCHERU NARAYANA RAO (1987)
were once living people and those who were not. Though the
former, which include both the ghosts of the dead and ances-
tral spirits, are everywhere the prime focus of ritual attention,
VAN DER LEEUW, GERARDUS SEE LEEUW,
it is the latter who figure most prominently in an elaborate
GERARDUS VAN DER
body of mythological tales.
MYTHOLOGY. A widespread feature of Vanuatu mythology
VAN GENNEP, ARNOLD
is the representation of the leading figures as of two distinct
SEE GENNEP,
kinds—on the one hand, the exclusively male beings whose
ARNOLD VAN
personal names are often local variants of such well-known
Polynesian gods as Tangaroa or Ma¯ui, and on the other, the
sexually variable, though frequently female, beings whose
VAN RUUSBROEC, JAN SEE RUUSBROEC, JAN
personal names are of a purely indigenous kind. The Polyne-
VAN
sian-type beings—such as Qat and his eleven Tangaro broth-
ers in the Banks Islands; Takaro and his brothers or support-
ers on Maewo, north Raga, and Ambae; Tahar in the Small
VANUATU RELIGIONS. Formerly known as the
Islands; Takaru and Tokotaitai in Malo; Barkulkul (or vari-
New Hebrides, Vanuatu is a Y-shaped archipelago of mostly
ant) in south Raga and north Ambrim; Ambat, Hambat,
volcanic islands located about sixteen hundred kilometers
Kabat, and so forth on Malekula; and a variety of local vari-
northeast of the Queensland coast of Australia. The physical,
ants of Ma¯ui from Efate southward—are commonly associat-
linguistic, and cultural diversity of the 100,000 or so indige-
ed with the sky, mountain peaks, treetops, volcanic fires, the
nous inhabitants of the sixty-three occupied islands is ex-
sun and the moon, acts of a creative or originating kind, and
treme even for the western Pacific, a diversity that is fully re-
the attainment of a satisfactory life after death. By contrast,
flected in religious belief and practice. While the dominant
the non-Polynesian-type beings—such as Sukwe or Marawa
traits in all contexts may be described as Melanesian, Polyne-
in the Banks; Gaviga in Maewo; Mwerambuto or Nggelevu
sian influences, including those pertaining to religion, are
in Ambae; Lehevhev (or variant) in Malekula and surround-
sufficiently widespread and important to set this area apart
ing islands; Marrelul in south Raga; Bugliam in north Am-
from the rest of Melanesia. This article will ignore the pro-
brim—are commonly associated with the underground,
found impact of Christianity on contemporary religion, but
caves, mazes, snakes, spiders, rats, acts of a devouring or de-
it should be stressed, however, that much of what is de-
structive kind, and the failure to attain a satisfactory afterlife.
scribed here as traditional continues today to be a major part
PIG SACRIFICES. Though both classes of mythological beings
of belief and practice, even among those who have been con-
are often depicted as having transformative powers that are
verted to Christianity for some generations.
greatly in excess of those normally possessed by humans, they
SUPERNATURAL POWERS AND SPIRIT BEINGS. The tradition-
are only rarely the subject of ritual attention and are generally
al religions of Vanuatu, like religions universally, have as
deemed to be of small consequence in human affairs. There
their identifying theme the cultural and social elaboration of
is, however, one major exception: Throughout the northern
people’s ideas and emotions concerning the nature and locus
and central islands there existed in the past, and still exists
of supernatural powers. Throughout the archipelago such
today in modified form in some of the northern islands, an
powers, though mostly associated with various classes of spir-
elaborate institution that centers on the ceremonial slaughter
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9520
VANUATU RELIGIONS
of pigs, most especially tusked boars and hermaphrodites.
northern and central islands, though especially in such matri-
Though this institution has important secular functions
lineal areas as the Banks, Maewo, north Raga, and Ambae,
throughout the area, most notably in providing an elaborate
a variety of more secret and voluntary cults that centered
social and political hierarchy, the key symbolic act, that of
around the acquisition of highly dangerous powers of a pre-
pig sacrifice, is nevertheless of deep religious significance.
dominantly destructive kind. Whereas the kinds of powers
This is evident in two contexts, one of which relates the insti-
invoked through pig sacrifices derive from the benign ances-
tution to the mythological beings and the other to the ances-
tors and impart to practitioners a positive and highly es-
tral spirits. In mythology there is a widespread belief that
teemed form of sanctity, those invoked in the secret society
there are two alternative fates that await the spirits of the re-
rites derive either from malignant ghosts of the dead or from
cently dead: All those who have sacrificed at least one high-
what may be described as the “dark” side of human spirituali-
grade tusked boar are admitted to a pleasant abode presided
ty. Prominent symbolic themes include representations of
over by the principal benign spirit; all others are excluded
ghosts and sharks, usually in the form of masks and head-
from this abode, usually through being devoured by the prin-
dresses worn by members, and of such normally abhorrent
cipal malignant spirit.
and dangerous activities as incest, genital exposure, contact
with menstrual blood, and sodomy. The powers generated
These mythic themes are, however, of relatively minor
in the context of these rites were primarily utilized by partici-
significance in accounting for the religious importance of the
pants to create fear in others, and were hence closely associat-
institution compared with the belief that the sacrificial act
ed both with warfare and sorcery. It is therefore no surprise
results in the transfer of ancestral power from the slaughtered
that such rites mostly ceased to be practiced at about the
animal to its human executioner. Through a complex cogni-
same time that warfare was prohibited and sorcery came
tive and emotional process the killing of the pig has as its end
under increasing Christian and governmental attack.
result a further advancement in the spiritual progress of the
sacrificer toward the attainment of full ancestral status. Men
MALE INITIATIONS. Though similar cultural themes figure
who have advanced to high rank through the slaughter of nu-
in the ritual corpus of the more patrilineal areas of north
merous tusked boars are regarded as having attained a spiri-
Vanuatu (notably in Malekula, the Small Islands and Am-
tual condition not very far removed from that of the ances-
brim), in these communities they occur in the context of
tors. Such men must eat and sleep alone because of the
compulsory initiations into manhood rather than voluntary
danger that their high spiritual condition poses for others,
initiations into discreet secret societies. That the two institu-
especially women and children.
tions are closely related is evident in the common occurrence
of shark symbolism, representations of threatening ghosts,
ANCESTRAL SPIRITS. Further evidence for the importance of
long periods of seclusion, the importance of the phallus as
the ancestral spirits, especially in the context of the sacrificial
a locus of power, and either real or symbolic ritual male ho-
rites, can be found in the Ambrim practice of setting up
mosexuality. But whereas the secret rites were deemed both
carved tree-fern effigies of the dead. Also on Ambrim, as on
dangerous and antisocial, the compulsory versions were, and
Malekula, Epi, and as far south as Efate, the slit-gongs, which
in most communities still are, positively valued as generating
are used both at pig sacrifices and at funerary rites, stand up-
a form of sanctity similar to that attained by pig sacrifices.
right on the ceremonial ground and are carved and painted
Everywhere the key symbolic act is the removal of either part
so as to represent human forms. On the Small Islands, and
or all of the novice’s foreskin and the subsequent wearing of
most probably elsewhere also, the sounds that issue from the
a penis wrapper. Through such an act a boy takes his first
gongs are said to be the voices of the ancestral spirits. In the
step toward achieving spiritual maturity, a goal only fully at-
southern districts of Malekula, life-size effigies of the dead
tained when, after the slaughter of numerous additional
are made in which the head is formed from the deceased’s
tusked boars throughout his life, he finally succeeds, at death,
skull. These effigies are kept for some generations in the
in breaking his dependence on and identification with
men’s clubhouse and, though not the focus of specific rituals,
women. Needless to say, many men do not progress very far
are nevertheless treated as being in some degree sacred.
in their efforts to attain such a goal.
On Ambae Island, where one finds none of the above
WOMEN’S RITES. The ritual life of women, though every-
iconographic representations of ancestral spirits, they are
where less elaborate than that of men, is nevertheless of im-
nevertheless regularly made small offerings of food in the
portance in those relatively few areas about which there exists
hope that they will not cause their descendants any prob-
adequate knowledge. In some of the districts of Malekula
lems. Such offerings are usually made in a generalized way
there is a ritual association known as Lapas whose member-
to any potentially troublesome spirits that may be lurking in
ship is restricted to women and which in many respects par-
the vicinity of the living. Occasionally, ghosts, as well as
allels the principal male ritual association, Nimangki. As in
other varieties of spirit beings, are believed to befriend indi-
the latter, the women kill pigs, purchase sacred insignia, erect
vidual humans and to assist them by imparting magical
effigies of the dead, and are secluded for some days in a cere-
knowledge.
monial house that may not be entered by nonmembers of the
SECRET-SOCIETY RITES. In the period immediately prior to
association, especially men. Furthermore, just as the men are
the spread of Christianity, there existed on many of the
believed to generate through their ritual actions a specifically
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VANUATU RELIGIONS
9521
male form of sanctity or holiness, so too are the women
ously published ethnographic data on male initiations in the
deemed to generate a specifically female sanctity. These two
northern islands.
forms of sanctity, though both ultimately derived from the
Allen, Michael, ed. Vanuatu: Politics, Economics and Ritual in Is-
ancestral spirits, are nevertheless so entirely antipathetic to
land Melanesia. Sydney, 1981. Fifteen articles written by
one another that they must be rigorously kept apart. Hence
professional anthropologists, twelve of them based on field-
the pervasive importance of the sex dichotomy in the reli-
work carried out on eight islands during the 1960s and
gious life of the people of Malekula, the Small Islands, and
1970s, with the remaining three providing comparative and
Ambrim.
theoretical overviews. Most articles contain data on both tra-
ditional and contemporary religions.
Elsewhere (though most notably in the northern matri-
lineal islands of Maewo, north Raga, and east Ambae, where
Capell, Arthur. “The Stratification of Afterworld Beliefs in the
New Hebrides.” Folk-lore 49 (1938): 51–85. A useful com-
the sex dichotomy is a great deal less pervasive and impor-
pendium of early accounts, mostly from missionary sources
tant) the women, though the principal participants in and
(some unpublished), of beliefs and myths concerning the af-
organizers of rites that are of primary concern to themselves,
terworld and sky-dwelling spirit beings with Polynesian-type
such as first menstruation or body tattooing, do not exclude
names. See also a later article by the same author on the same
the men from such activities. Likewise, the men, though
theme: “The Maui Myths in the New Hebrides,” Folklore 71
again the key actors in the sacrificial rites of the graded soci-
(1960): 19–36.
ety, encourage their womenfolk to kill an occasional pig and
Codrington, R. H. The Melanesians: Studies in Their Anthropology
take supplementary titles. In west Ambae the women even
and Folklore (1891). Reprint, New Haven, Conn., 1957. An
participate as novices in the local versions of what are else-
early classic written by an exceptionally knowledgeable and
where exclusively male secret-society rituals.
sympathetic missionary. This book still remains the primary
S
source of information on the traditional religious beliefs and
ORCERY AND MAGIC. Various kinds of sorcery and magic
are practiced throughout Vanuatu, though the former was,
myths of the northern islands, especially the Banks.
at least until recently, of special importance in Ambrim,
Deacon, A. Bernard. Malekula: A Vanishing People in the New
while magic, rather than religion, seems to be the dominant
Hebrides. Edited by Camilla H. Wedgewood. London, 1934.
ritual theme in some of the southern islands, notably Tanna.
An excellent early ethnography that still contains by far the
Indeed, in Tanna there are no major communal rites of the
most detailed and reliable information on the elaborate ritu-
als and mythology of Malekula, especially in the Seniang
clearly religious kind that have been described for the north-
district.
ern islands. Even the male initiation rites, which, as in the
north, focus on circumcision, seclusion, and the donning of
Guiart, Jean. Société, rituels et mythes du nord Ambrym (Nouvelles
penis wrappers, are seemingly of a more secular and ceremo-
Hébrides). Paris, 1951. A useful ethnographic account, which
nial, rather than religious and ritual, character; the emphasis
should be read in conjunction with Patterson in Allen
(1981).
is primarily on individual status transition rather than on
joint initiation into a secret male cult. However, ethnograph-
Guiart, Jean. Un siècle et demi de contacts culturels à Tanna, Nou-
ic information concerning the traditional cultures of all the
velles-Hébrides. Paris, 1956. Still the only ethnographic
southern and central islands, including Tanna, is either frag-
monograph on the important island of Tanna, it should be
read in conjunction with Brunton, Lindstrom, and Bastin in
mentary and unreliable or nonexistent. Since this applies
Allen (1981).
most especially to their traditional magico-religious systems,
the intention here is to not be too emphatic in thus relegating
Lane, R. B. “The Melanesians of South Pentecost, New Hebri-
the religious component to a secondary position.
des.” In Gods, Ghosts and Men in Melanesia, edited by Peter
Lawrence and M. J. Meggitt, pp. 250–279. Melbourne,
MOON WORSHIP. Such caution seems especially relevant in
1965. An excellent overview of the traditional religion of an
the case of Aneityum, where, in addition to the widespread
isolated community on Raga (formerly south Pentecost) that
practice of making offerings, usually of food, though some-
was still predominantly pagan when Lane carried out his
times also human sacrifices, to a variety of unnamed spirit
fieldwork.
beings (natmas), a more elaborate ritual of worship, includ-
Layard, John. Stone Men of Malekula. London, 1942. By far the
ing prayer, song, dance, and offerings of food and kava
best and most detailed extant account of a Vanuatu religion,
placed on wooden altars, was periodically performed in sa-
based on fieldwork carried out in 1914 on Vao Island, off
cred groves dedicated to the moon. As on the neighboring
the northeast coast of Malekula.
islands of Aniwa and Futuna, the moon, who is known by
Layard, John. “Identification with the Sacred Animal.” Eranos-
the Polynesian name Sina, is represented in mythology as the
Jahrbuch 24 (1955): 341–406. A highly perceptive psycho-
wife of the sun. Unfortunately, little has been recorded of
logical analysis, from a Jungian perspective, of boar sacrifice
this mythology and even less of what seems to have been an
on Malekula.
important religious practice.
Rivers, W. H. R. The History of Melanesian Society (1914). 2 vols.
Reprint, Oosterhout, 1968. A remarkable early attempt to
BIBLIOGRAPHY
carry out a comparative and historical analysis of the then ex-
Allen, Michael. Male Cults and Secret Initiations in Melanesia.
tant body of ethnographic data on island Melanesia. Though
Melbourne, 1967. Chapter 5 provides a summary of previ-
the attempted historical reconstruction, which is mostly con-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9522
VA¯RA¯NAS¯I
tained in volume 2, has been subjected to strong and general-
there are Muslim, Sikh, Parsi, and Christian—as well as
ly well-merited criticism, the detailed ethnographic sections
Hindu—castes), the fact that the two are sometimes equated
include valuable data on the magico-religious systems of the
indicates the importance, ubiquity, and deep roots of caste
Banks and other more northerly Vanuatu islands.
in Indian society and history.
New Sources
The word varn:a means “color”—not, as was previously
Hume, Lynne. “Church and Custom on Maewo, Vanuatu.” Ocea-
thought, to refer to “race” but rather in the sense of “charac-
nia 56, no. 4 (1986): 304–313.
teristic” or “attribute.” The best translation is probably
Jolly, Margaret. “Sacred Spaces: Churches, Men’s Houses and
“class.” As applied to the realm of society, it refers to four
Households in South Pentecost, Vanuatu.” In Family and
social classes that epitomized Vedic (and Aryan) India: the
Gender in the Pacific: Domestic Contradictions and the Colo-
brahmans or priests, the ks:atriyas (warriors and rulers), the
nial Impact, edited by Margaret Jolly and Martha Macintyre.
Cambridge, Mass., 1989.
vai´syas (commoners; merchants and agriculturalists), and
the ´su¯dras (servants). These four classes, while separate in
Lindstrom, Lamont. “Knowledge of Cargo, Knowledge of Cult:
terms of function and given hierarchically different values,
Truth and Power on Tanna, Vanuatu.” In Cargo Cults and
are also quite obviously interdependent. Taken together,
Millenarian Movements: Transoceanic Comparisons of New
Religious Movements, edited by G. W. Trompf. Berlin, 1990.
they constitute a complete and well-ordered society accord-
ing to a religiously and ideologically imbued indigenous so-
Young, Michael W. “Kava and Christianity in Central Vanuatu:
cial vision.
with an Appendix on the Ethnography of Kava Drinking in
Nikaura, Epi.” Canberra Anthropology 18, nos. 1–2 (1995):
Evidence of such a division of society into four classes
62–96.
(ideologically, at least, if not in actuality) first appears in a
MICHAEL ALLEN (1987)
cosmogonic hymn found in the earliest text of Indian histo-
Revised Bibliography
ry, the R:gveda. In that hymn, the entire universe is produced
from the primordial sacrifice and dismemberment of a Cos-
mic Man, including the four classes of the social order:
VA¯RA¯NAS¯I S
“When they divided the Cosmic Man, into how many parts
EE BANARAS
did they apportion him? What do they call his mouth, his
two arms, his thighs and feet? His mouth became the brah-
man; his arms were made into the ks:atriya; his thighs the
VARDHAMA¯NA MAHA¯V¯IRA SEE MAHA¯V¯IRA
vai´sya; and from his feet the ´su¯dras were born” (R:gveda
10.90.11–12).
Here, then, is the much repeated and cited charter myth
VARN:A AND JA¯TI. The two separable but intertwined
of an ideal Indian society. Each class is produced from the
concepts of varn:a and ja¯ti may be regarded as different levels
body part of the Cosmic Man that most resembles the sup-
of analysis of the Indian system of social structure called caste.
posed traits and assigned function of that class. From the
While some scholars regard varn:a and ja¯ti as reflecting quite
mouth comes the brahman class, the priests charged with rit-
separate dimensions of Indian social and religious thought,
ual functions and the oral preservation of sacred texts. From
others insist, following the native traditions of Hinduism,
the arms, the source of physical strength and power, derive
that the two are inextricably linked. In any event, whereas
the ks:atriya warriors and rulers, and from the “thighs” (per-
the term caste is sometimes applied to social formations in
haps a euphemism for the genitals) arise the vai´sya common-
places other than India, the terms varn:a and ja¯ti are invari-
ers, who are charged with material wealth and fecundity.
ably applied exclusively to the Indian social (and religious)
And from the feet, the lowest and most impure of the body
contexts.
parts but also the foundation upon which everything rests,
come the ´su¯dras, or servants.
The caste system has occasionally been regarded as so
intrinsic, so enduring, and so distinctive to India and its long
In this system (as it was represented in the religious texts
history that it is thought to be both the kernel of Indian cul-
composed and preserved by the brahmans), the brahmans are
ture and virtually identical to the definitional essence of Hin-
invariably portrayed as hierarchically superior. They are cre-
duism. While there are many different beliefs and practices
ated prior to others and therefore take precedence over oth-
associated with the Hindu religion, and while sectarian, re-
ers; they are created from the uppermost portion of the cre-
gional, linguistic, and other variables make it difficult indeed
ator god and therefore are at the top of the social order; they
to see any unifying features in that religion, it has been ar-
are charged with (and indeed have a monopoly on) religious
gued that the caste system and its attribution of hierarchical
functions and are therefore the most pure, the most sacred,
superiority to the brahman caste is one (and perhaps the only
of the four classes. The brahmans, it is said, are also the most
one) feature all (or at least the vast preponderance) Hindu
“complete,” or the perfected instance of the human being.
traditions share. Although there are many problems in defin-
Indeed, some texts go much further and claim that members
ing Hinduism as “the religion of caste” (not the least of which
of this class are “human gods” (manushya devas): “There are
being that in India caste cuts across religious boundaries;
two kinds of gods, for the gods are gods, and those brahmans
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VARN:A AND JA¯TI
9523
who have studied and teach the Veda are human
The relationship between the “classes” or varn:as and the
gods. . . .With oblations into the fire one pleases the gods,
“castes” or ja¯tis (the latter term is related to the word for
and with sacrificial fees one please the human gods”
“birth,” indicating that one is “born into” his or her caste)
(S´atapatha Bra¯hman:a 2.2.2.6).
is a subject of scholarly debate among anthropologists and
Indologists. For some, the terms are virtually interchange-
As such, the brahmans are sometimes said to represent
able, and indeed the texts of the indigenous tradition often
the principle of “purity” in Indian social thinking. The sup-
use the terms synonymously. Other scholars, also following
posed inherent characteristics and distinctive activities (the
the native traditions, see the ja¯tis as historically deriving from
sacerdotal duties, but also practices such as nonviolence and
intermixtures between members of an original four classes.
vegetarianism) are thought to be the standard against which
Still others see the two as fundamentally different but never-
others are gauged. The other classes (and castes) are thus ran-
theless intellectually related, noting that the varn:a system
ked into a hierarchical order of relative purity—to the extent
forms the superstructure for the more complex system of
they resemble the brahman, their status increases, while to
ja¯tis. The varn:as, under this conceptualization, are the “base
the degree that they diverge from the brahman and the prin-
categories” of social analysis, which can then generate any
ciple of purity their place in the system is diminished.
number of new, ranked social groupings, which may be
This elegant and orderly vision is complicated and com-
termed ja¯tis. Many anthropologists observe that while there
promised, however, by the high place of the second of the
are but four varn:as there are thousands of discrete ja¯tis found
four varn:as, the ks:atriyas. Even in the religious texts, they are
“on the ground” in Indian society. For some of these observ-
ranked only below the brahman priests, and it is possible, if
ers, the varn:as are at best “theoretical,” while it is the ja¯tis
not likely, that in actuality throughout Indian history (at
that form the real social units of actual Indian society.
least up until the time of the British Raj, when traditional
political power was dispossessed) they took the highest places
For many in Indian society, however, the ja¯ti to which
in the social order. The characteristics and duties of the
they belong is conceived of in terms of one or another of the
ks:atriyas, however, are quite different from those of the brah-
classical varn:as. All brahmans, regardless of their identifica-
mans (and the “purity” they supposedly embody). They con-
tion as members of a wide variety of locally various, distinct,
trol the worlds of politics and power, coercion and physicali-
and endogamous ja¯tis, claim membership in a pan-Indian
ty. The functions of both rulership and the military are,
and ancient varn:a, and the same is true with members of var-
ideally, monopolized by the class most suited to them, the
ious ja¯tis identifying themselves as ks:atriyas, vai´syas, and
ks:atriyas.
´su¯dras. There are also large numbers of people assigned to
ja¯tis regarded by those of higher rank to be outside of or
The high place of the ks:atriya in a hierarchy supposedly
below the varn:a system altogether. These are what were once
governed by relative resemblance to the brahman has some-
termed untouchables or, to use the preferred term of self-
times been explained as the pragmatic insertion of a secular
identification, the dalit castes.
principle of “power” into a system otherwise organized ac-
cording to religious “purity.” Be that as it may, together, the
In anthropological discourse, it is usually the ja¯tis that
two highest varn:as clearly constitute the “ruling classes” of
are the referent of the term caste. Each ja¯ti typically preserves
the caste system. In the religious texts, the cooperation of the
a mythical account of its origins and a distinctive set of life-
two is constantly emphasized for the proper ordering and op-
cycle rites observed by its members. Each is overseen by a
eration of society (and, indeed, the cosmos as a whole). And
local council that oversees and enforces a set of rules govern-
in practical ways, bonds between the two highest varn:as are
ing, among other things, acceptable occupation. It is, indeed,
both symbolized and actualized in the important traditional
occupation that usually lends its name to the ja¯ti (e.g., Bar-
(and symbiotic) relationship between the king and his court
ber, Potter, Leatherworker), although, especially outside the
priest (the purohita).
traditional rural areas, these caste labels no longer necessarily
apply to the actual economic pursuits of individuals. While
The vai´sya class comprises all those engaged in the many
the indigenous tradition insists on ancient roots for these oc-
professions other than, on the one hand, those of the priests
cupational assignments, some modern scholars have suggest-
and rulers and, on the other, those of the lowly servants.
ed that the castes of present-day India need not ever have
Farmers, traders, proprietors, bankers, herders—all these,
been derived from ancient occupational associations that
and others involved in professions entailing wealth, increase,
over time became hereditary and endogamous marriage
and productivity of all kinds, were classified as vai´syas. Final-
groups.
ly, at the base are the ´su¯dras who, it is said, have but one duty
to perform: to serve the others. While the brahman, ks:atriya,
Another definitive characteristic of the ja¯tis is the set of
and vai´sya varn:as are designated the “twice-born” classes (be-
rules governing marriage. A member of a particular caste is
cause of the ritual “second birth” that boys from these classes
not to marry outside of that caste, and to disobey the rules
undergo, which makes them eligible to study the sacred
of endogamy usually results in expulsion from the group.
Veda), the ´su¯dras are labeled “once-born” and are prohibited
Those who are so punished become, literally, “outcastes.”
from studying (or even hearing) the Veda and from other re-
This practice reinforces the widely held belief that the multi-
ligious prerogatives.
tude of ja¯tis came into existence from the four original varn:as
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9524
VARUN:A
through an intricate series of mixed unions and subsequent
York, 1994). For important and influential works on the
expulsions.
caste system and its theoretical underpinnings, see A. M. Ho-
cart, Caste: A Comparative Study (London, 1950); J. H. Hut-
Commensality, food exchange, and other transactions
ton, Caste in India (London, 1963); Louis Dumont, Homo
between castes are also highly regulated. Acceptance or non-
Hierarchicus: An Essay on the Caste System, translated by Mark
acceptance of food (cooked in different ways or uncooked),
Sainsbury (Chicago, 1970); Celestin Bougle, Essays on the
grain, water, and leftovers play a large role in the relative
Caste System, translated by David Pocock (Cambridge, UK,
placement of castes at the local level.
1971); McKim Marriot, “Hindu Transactions: Diversity
without Dualism,” in Transaction and Meaning: Directions in
The ja¯tis, like the varn:as, are organized hierarchically,
the Anthropology of Exchange and Symbolic Behavior, edited
although with many local variations. Often enough, these hi-
by B. Kapferer, pp. 109–142 (Philadelphia, 1976); Gloria
erarchical placements are disputed and subject to constant
Raheja, The Poison in the Gift: Ritual, Prestation, and the
renegotiation and jockeying for position. Research on the
Dominant Caste in a North Indian Village (Chicago, 1988);
caste system has focused on the following areas: criteria for
and Steven Parish, Hierarchy and Its Discontents: Culture and
ranking, regional differences in ranking, ranking and social
the Politics of Consciousness in Caste Society (Philadelphia,
distance, local conflicts over rank order, strategies and cir-
1996).
cumstances of change in rank order, and the significance of
BRIAN K. SMITH (2005)
hierarchy in Indian thought and society.
Essential to the traditional underpinnings of both the
VARUN:A
varn:as and the ja¯tis is the belief in karma and rebirth. Birth
replaced the earlier god Dyaus as the sky god
into a particular class or caste was traditionally understood
in the Vedic pantheon, but early in his mythological career
to be the result of karma created in the past, and thus any
he became the god of the night sky; the myriad stars were
attempt or even inclination toward changing one’s social sit-
his eyes and, still later, his spies. The importance of such a
uation in this life was severely discouraged. Caste was reli-
sky god seems to belong to the pastoral history of the nomad-
giously ordained and legitimated in the concept of one’s
ic Aryans. The Bogazköy inscription of the fourteenth centu-
“own duty” or svadharma. And, as it is put in one of the sa-
ry BCE mentions a Mitanni god, Uru-van-nas-sil, Varun:a’s
cred texts of the Hindu tradition, the Bhagavadg¯ıta¯, “it is
prototype. Ouranos, Varun:a’s Greek parallel, was also a sky
better to do one’s own duty poorly than to do another per-
god.
son’s duty well.” If one performs his inborn caste duty well
With his thousand eyes, Varun:a watched over human
in this life, the promise is of a higher birth in the future.
conduct, judging good and evil deeds and punishing evildo-
ers. Varun:a is the only god in the Vedic pantheon with such
The religious basis of the caste system is perhaps the
strong ethical bearings. The word used in the Vedas to refer
principal reason for its endurance and pervasiveness in Indi-
to his eyes, spa´sa, derived originally from the verbal root spac
an history and society. The caste system can provide a modi-
(“see”), later came to mean “spy.” Still later, in the epics and
cum of stability, especially in times of political chaos or
the Pura¯n:as, the word underwent further linguistic evolution
change. In the past there have, however, also been religious
and became pa¯´sa (“noose”); Varun:a then ensnared the wick-
movements that have challenged, but never successfully un-
ed in his noose.
dermined, the caste system. These include some of the cults
Scholars have traced Varun:a’s name to various Indo-
within Hinduism itself, as well as certain elements within
European roots such as uer (“bind”), ver (“speak”), vr:
Buddhism, Sikhism, and some of the groups associated with
(“cover”), va¯r (“shower”), as well as to noun stems like Lithu-
the Neo-Hindu movement of the nineteenth and early twen-
anian weru (“thread”). It is possible that these all contributed
tieth centuries. And while the caste system endures in mod-
to the many layers of his mythological attributes.
ern India, many forces are challenging its traditional pillars
and especially the abuses that often have accompanied the
Ahura Mazda¯, the supreme god of the Avesta, is another
system. The political rise of the dalits, the breakdown of tra-
parallel of the Vedic Varun:a. In Vedic the Avestan name
ditional caste boundaries due to urbanization and modern-
would be rendered Asura Medhya (“holy spirit”), and indeed
ization, reformational movements, and the general influx of
the Vedas frequently refer to Varun:a as an asura. In the Aves-
democratic, secular and, to some extent, Western values into
ta, Mithra is closely related to Ahura Mazda¯, just as the Vedic
contemporary India have shaken, but not destroyed, this mil-
Mitra is related to Varun:a. Mitra is the god of the daytime
lennia-old institution.
sky whose eye is the sun. Together Mitra and Varun:a consti-
tute the sky god and replace the earlier Dyaus. In the R:gveda,
SEE ALSO Priesthood, article on Hindu Priesthood; Rites of
Varun:a enjoyed sovereignty and supremacy for a brief peri-
Passage, article on Hindu Rites; Untouchables, Religions of.
od; he was frequently called samra¯j (“emperor”), an epithet
used only occasionally for Indra. The Ra¯jasu¯ya sacrifice, of-
BIBLIOGRAPHY
fered for attaining imperial grandeur, belongs to Varun:a and
For a comprehensive overview of the varn:as in ancient Indian
Mitra; in the R:gveda Varun:a is said to have performed this
texts, consult Brian K. Smith, Classifying the Universe: The
sacrifice, presumably with the intention of becoming the su-
Ancient Indian Varna System and the Origins of Caste (New
preme god in the pantheon.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VASUBANDHU
9525
Because of his innumerable star-eyes, Varun:a was re-
mythological career closes, because as a dikpa¯la (“lord of a
garded as omniscient. His knowledge and his function as a
quarter [of the sky]”) he is no more than a wholly passive
moral judge were the chief sources of his power, as he had
god.
no remarkable achievements to his credit. He watched over
human beings: When two persons conversed, he was the in-
BIBLIOGRAPHY
visible third; when anyone sinned, Varun:a afflicted the trans-
Apte, V. M. “Varun:a in the R:gveda.” New Indian Antiquary
gressor with disease, and until the god relented, the victim
(Bombay) 8 (1946):136–156. Deals with Varun:a’s Vedic
would not be restored to health. In the solemn
background.
Varun:apragha¯sa rite, a seasonal sacrifice, the sacrificer’s wife
Bhattacharji, Sukumari. Indian Theogony: A Comparative Study of
was required to confess her sin (i.e., conjugal infidelity) be-
Indian Mythology from the Vedas to the Puranas. Cambridge
fore the officiating priest. This is a unique instance of confes-
and New York, 1970. See especially pages 22–47.
sion of sin in the early Vedic literature, and Varun:a was the
Dandekar, R. N. “Varun:a, Va´sis:t:ha and Bhakti.” In Añjali: Papers
god associated with this sacrifice. The punishment he meted
on Indology and Buddhism, a Felicitation Volume Presented to
out in such cases was called a “seizure,” hence the elaborate
Oliver Hector de Alwis Wijesekera on His Sixtieth Birthday, ed-
prayers to Varun:a for forgiveness of sins.
ited by J. Tilakasiri, pp. 77–82. Peradeniya, Ceylon, 1970.
Dumézil, Georges. Ouranos-Varuna. Paris, 1934. A comprehen-
In later literature Varun:a’s ethical role diminishes, but
sive treatise on Varun:a and his Greek counterpart, Ouranos,
early texts frequently associate his majesty or supremacy with
and the traits they share.
his function as upholder of the moral order referred to in the
R:gveda as r:ta or, sometimes, dharma (i.e., “that which up-
Hiersche, Rolf, “Zur Etymologie des Götternamens Varun:a.”
Mitteilungen des Instituts für Orientforschung (Berlin) 4
holds”) or satya (“truth”). In the Avesta this all-pervasive
(1956): 359–363. Explores Varun:a’s identity from the vari-
moral order that controls and regularly maintains the cosmic
ous derivations of his name.
forces is arata, aˇsa, urta, or arta; a cardinal concept in Zoro-
Kuiper, F. B. J. “The Bliss of Asa.” Indo-Iranian Journal 8, no. 2
astrianism, it is first mentioned in the Tel-el-Amarna Tablet
(1964): 96–129.
(c. fourteenth century BCE). R:ta is Varun:a’s special domain,
and it is often mentioned in connection with him.
Lüders, Heinrich. Varun:a. 2 vols: Vol. 1, Varun:a und die Wasser.
Vol. 2, Varun:a und das Rta. Göttingen, 1951–1959.
Another concept associated with Varun:a is the magical
Renou, Louis. “Varuna dans l’Atharvaveda.” Paideuma 7 (1960):
power known as ma¯ya¯; for example, Asura’s (i.e., Varun:a’s)
300–306 (Festgabe für Herman Lommel).
ma¯ya¯. In the Vedic context ma¯ya¯ meant both wisdom and
Thieme, Paul. “Patañjali über Varun:a und die sieben Ströme.” In
power. With his ma¯ya¯ Varun:a envelops the night and creates
Mélanges présentés à Georg Morgenstierne à l’occasion de son
the dawn. Ma¯ya¯ predominantly links him with demons, for
soixante-dixième anniversaire, pp. 168–173. Wiesbaden,
in later literature asura meant “demon,” and demons wielded
1964.
ma¯ya¯.
Thieme, Paul. “Varun:a in the Maha¯bha¯rata.” In Proceedings of the
Varun:a’s dark associations bring him close to the pri-
Twenty-Sixth Congress of Orientalists, edited by R. N. Dande-
marily chthonic gods such as Yama, Nirr:ti, Soma, and
kar, vol. 3, p. 329. Poona, 1969.
Rudra. As a chthonic god, Varun:a is associated with snakes
SUKUMARI BHATTACHARJI (1987)
(indeed, in Buddhist literature he is sometimes called the
“king of snakes”), with barren black cows, or with deformed
and ugly creatures. His ritual symbols are dark, depraved,
and deformed things or creatures. His son Bhr:gu is said to
VASUBANDHU (fifth or fourth century CE) was an em-
have descended into hell. His connection with Vasistha,
inent Indian Buddhist teacher. Said to be a younger brother
however, goes back to Indo-Iranian times: In the Avesta,
of the great Ma¯ha¯yana teacher Asan˙ga, Vasubandhu was first
Asha Vahishta (Vedic, R:ta Va´sis:t:ha) is one of the Amesha
ordained in the H¯ınaya¯na Sarva¯stivada school but later con-
Spentas who were Ahura Mazda¯’s active assistants. Varun:a
verted to the Maha¯ya¯na. Like his brother Asan˙ga, Vasuband-
is Soma’s brother. Of his wife, Varun:ani, nothing more than
hu became a great exponent of the Yoga¯ca¯ra-Vijña¯nava¯da
her name is known.
teachings. He is believed to be the author of the
The dynamic character of Varun:a’s mythological career
Abhidharmako´sa and many Ma¯ha¯yana treatises.
subsided in the later Vedic literature, where he is associated
Various problems continue to vex historians concerning
with the celestial waters. In the epics and Puranas, however,
the biography of Vasubandhu. The Bosoupandou fashi zhuan
his domain shifted from the firmament toward the earth, and
(Biography of Master Vasubandhu, T.D. no. 2049), translat-
he became the overlord of the terrestrial waters, rivers,
ed—or rather, compiled—by Parama¯rtha (499–569), one of
streams, and lakes, but primarily of the ocean. He dwelt in
the main exponents of Yoga¯ca¯ra doctrine in China, is pre-
royal splendor in an underwater palace. Like Poseidon,
served in the Chinese Tripit:aka and is the only complete bi-
Greek god of the ocean, he is often associated with horses.
ography. Apart from this, fragmentary information is found
Finally, he is relegated to the position of “lord of the West,”
in various Chinese sources, the most important of which are
another dark and chthonic association. Here the circle of his
the writings of the great Chinese translator Xuanzang (600–
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9526
VASUBANDHU
664). Various histories of Buddhism written by Tibetan his-
appeared to dispute the Ko´sa. He composed two treatises,
torians also give accounts of Vasubandhu’s life. But Chinese
one consisting of 10,000 verses and another of 120,000
and Tibetan sources alike disagree with the Biography of Mas-
verses. (According to Xuanzang’s report, it took twelve years
ter Vasubandhu (hereafter Biography) in many places. More-
for Sam:ghabhadra to finish the two works.) He challenged
over, two or three persons in Buddhist history bear the name
Vasubandhu to a debate, but Vasubandhu refused, saying,
Vasubandhu: According to some texts, a Vasubandhu is the
“I am already old, so I will let you say what you wish. Long
twenty-first patriarch in the transmission of the Buddha’s
ago, this work of mine destroyed the Vaibha¯s:ika (i.e., the
Dharma; elsewhere, Puguang (one of the direct disciples of
Sarva¯stiva¯da) doctrines. There is no need now of confronting
Xuanzang) refers to an “ancient Vasubandhu” who belonged
you. . . . Wise men will know which of us is right and
to the Sarvastivada school; and both Puguang and Ya´somitra,
which is wrong.”
a commentator on the Abhidharmako´sa, refer to a third,
known as Sthavira-Vasubandhu. The identification of and
The third section of the biography describes Vasuband-
relationship between these three persons is still unclear.
hu’s conversion to Maha¯ya¯na Buddhism. According to this
account, Vasubandhu, now proud of the fame he had ac-
BIOGRAPHY. Vasubandhu’s Biography can be divided into
quired, clung faithfully to the H¯ınaya¯na doctrine in which
three sections. The first section is introductory. It begins
he was well versed and, having no faith in the Maha¯ya¯na, de-
with a legend of Purus:apura (modern Peshawar), the native
nied that it was the teaching of the Buddha. His elder broth-
city of Vasubandhu, and then introduces his family: his fa-
er, Asan˙ga, a Maha¯ya¯nist, feared that Vasubandhu would use
ther, the brahman Kau´sika, and the latter’s three sons,
his great intellectual gifts to undermine the Maha¯ya¯na. By
Asan˙ga, Vasubandhu, and Viriñcivatsa. After a brief refer-
feigning illness he was able to summon his younger brother
ence to Viriñcivatsa’s life, an account is given of Asan˙ga’s life,
to Purus:apura, where he lived. There Vasubandhu asked
including the famous story of his meeting with the bodhisatt-
Asan˙ga to explain the Maha¯ya¯na teaching to him, where-
va Maitreya in the Tusita Heaven.
upon he immediately realized the supremacy of Maha¯ya¯na
Vasubandhu’s life comprises the second section. It be-
thought. After further study the depth of his realization came
gins by sketching the history of the Sarva¯stiva¯da school in
to equal that of his brother. Deeply ashamed of his former
Kashmir and tells of the composition of the Abhidharma
abuse of the Maha¯ya¯na, Vasubandhu wished to cut out his
treatises and the great commentary on them, the
tongue, but refrained from doing so when Asan˙ga told him
Maha¯vibha¯s:a¯, there. Knowledge of the Maha¯vibha¯s:a¯’s con-
to use it for the cause of Maha¯ya¯na. After Asan˙ga’s death, Va-
tents was jealously kept secret from outsiders, the account al-
subandhu composed commentaries on various Maha¯ya¯na
leges, but somehow it became known in Ayodhya¯ (near mod-
su¯tras, including the Avatam:saka, Nirva¯n:a, Saddharma-
ern Faiza¯ba¯d), a city far removed from Kashmir. At the time,
pun:d:ar¯ıka, Prajña¯paramita¯, Vimalak¯ırti, and S´r¯ıma¯la¯dev¯ı.
Vasubandhu was residing in Ayodhya¯, then the capital of the
He himself composed a treatise (or treatises) on the “repre-
Gupta dynasty. Vindhyava¯sin, a Sa¯m:khya teacher and a dis-
sentation only” (vijñaptima¯tra) theory and commented on
ciple of Va¯rs:aganya, came to Ayodhya¯ to challenge the Bud-
the Maha¯ya¯nasam:graha, *Triratna-gotra, *Amr:ta-mukha,
dhists there to a debate while Vasubandhu and his colleague
and other Maha¯ya¯na treatises. He died in Ayodhya¯ at the age
Manoratha were absent. Their fellow teacher Buddha-mitra
of eighty.
thus had to meet the challenge alone, but because of his age
The Biography contains legendary or even mythical ele-
he was defeated. This defeat deeply mortified Vasubandhu,
ments; the time sequence of events is ambiguous and differs
who wrote a treatise, Parama¯rthasaptatika¯, in order to con-
greatly in places from the accounts in Xuanzang’s Xiyu ji. For
fute Vindhyava¯sin. It was after this that Vasubandhu com-
example, the Biography has Vasubandhu composing the Ko´sa
posed his magnum opus, the Abhidharmako´sa (hereafter
at Ayodhya¯ and states that his conversion takes place at
Ko´sa), in six hundred verses (ka¯rika¯s). The Ko´sa was an elo-
Purus:apura; the Xiyu ji places the composition of the Ko´sa
quent summary of the purport of the Maha¯vibha¯s:a¯, and it
in the suburbs of Purus:apura, and the conversion at
is reported that the Kashmiri Sarva¯stiva¯dins rejoiced to see
Ayodhya¯. According to the Biography, Vasubandhu’s teacher
in it all their doctrines so well propounded. Accordingly,
was called Buddhamitra, who, it relates, was defeated in a de-
they requested a prose commentary (bha¯s:ya), which Vasu-
bate by Vindhyava¯sin. The Xiyu ji, however, never mentions
bandhu wrote. But the Kashmiris soon realized, to their great
Buddhamitra and names Manoratha as the teacher of Vasu-
disappointment, that the work in fact refuted many
bandhu. In the Biography, Vasubandhu engages in his literary
Sarva¯stiva¯da theories and upheld the doctrines of the
activity on behalf of the Maha¯ya¯na after Asan˙ga’s death.
Sautra¯ntika school. With the composition of the Ko´sa, how-
Xuanzang, however, tells a strange story that suggests that
ever, Vasubandhu came to enjoy the patronage and favor of
Vasubandhu died before Asan˙ga. Parama¯rtha and Xuanzang
two Gupta rulers, Vikrama¯ditya and his heir Ba¯la¯ditya, who
are the two most credible authorities for Vasubandhu’s life,
can be identified, respectively, as Skandagupta (r. about
but serious discrepancies still exist between their accounts.
455–467) and Narasim:hagupta (r. about 467–473).
Vasura¯ta, a grammarian and the husband of the younger sis-
THE DATE OF VASUBANDHU. Vasubandhu’s life has been
ter of Ba¯la¯ditya, challenged him to a debate but was defeated.
variously dated at 900, 1,000, and 1,100 years after the Bud-
Then Sam:ghabhadra, a Sarva¯stivada scholar from Kashmir,
dha’s nirva¯n:a. The figure 900 appears in the Biography, but
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VASUBANDHU
9527
elsewhere Paramartha is also said to have given another fig-
(Treatise on Buddha nature), although thought to be apocry-
ure, 1,100. The figure 1,000 is found in Xuanzang’s report,
phal by not a few scholars, exerted great influence on Sino-
but the figure 900 seems also to have been adopted by his
Japanese Buddhism by advocating the concept of
disciples. Various theories concerning the date have been of-
tatha¯gata-garbha, or Buddha nature. Vasubandhu’s works
fered by scholars. Noël Péri and Shiio Benkyo¯ give as Vasu-
also include books on logic, polemics, and other sciences.
bandhu’s dates the years 270 to 350 CE. Ui Hakuju places
Vasubandhu’s commentaries on su¯tras and ´sa¯stras are
him in the fourth century (320–400). Takakusu Junjiro¯ and
by no means less important than the above-mentioned inde-
Kimura Taiken give 420 to 500, Wogihara Unrai gives 390
pendent treatises. He wrote commentaries on three treatises:
to 470, and Hikata Ryu¯sho¯ gives 400 to 480, placing him
the Madhya¯ntavibha¯ga (Discrimination between the middle
in the fifth century.
and the extremes), Maha¯ya¯nasu¯tra¯lam:ka¯ra (Ornament of the
In order to resolve these issues, Erich Frauwallner
Maha¯ya¯na Sutras), and Dharmadharmata¯vibha¯ga (also,
(1951) proposed a new theory whereby two Vasubandhus,
-vibhan˙ga; Discrimination between existence and essence).
Vasubandhu the elder and Vasubandhu the younger, are dis-
These three treatises are all ascribed to Asan˙ga’s teacher
tinguished. The elder would be the younger brother of
Maitreya and are therefore fundamental texts for the
Asan˙ga. It is his activity that, according to this theory, is de-
Yoga¯ca¯ra school. Vasabandhu also composed a commentary
scribed in the first and third sections of the Biography and
on Asan˙ga’s Maha¯ya¯nasam:graha (Compendium of
may be dated at around 320 to 380. The younger would be
Maha¯ya¯na), the first systematic presentation of the
the author of the Ko´sa. His activity constitutes the second
Yoga¯ca¯ra-Vijña¯nava¯da doctrines. His commentary (upade´sa)
section of the Biography. Since he was associated with the two
on the Sukha¯vat¯ıvyu¯ha Su¯tra is important in that it became
Gupta rulers, he may be dated around 400 to 480. Frauwall-
a basic treatise of the Pure Land faith in China and Japan.
ner supposes that Parama¯rtha confused the two Vasuband-
The Indian Yoga¯ca¯ra-Vijña¯nava¯da is represented in China by
hus and conflated them into a single person. This mistake,
three schools, all of which developed around Vasubandhu’s
he maintains, was inherited by later historians, including
works. The first to appear, the Dilun school (established in
Xuanzang.
the first half of the sixth century), took his commentary on
the Da´sabhu¯mika Su¯tra as its central text. The second, the
Frauwallner’s lucid and revolutionary theory has been
Shelun school, emerged in the second half of the same centu-
endorsed by many scholars. But it does not seem to convince
ry organized around a Parama¯rtha’s translation of the
all. Especially doubtful is his treatment of early Chinese doc-
Maha¯ya¯na-sam:graha. The last to appear, the Faxiang school,
uments, many of which have been claimed by scholars to be
founded by Xuanzang and his disciple Kuiji in the seventh
spurious. Japanese scholars, who opposed the theory of dat-
century, took the Trim:´sika¯ as its basic text.
ing in the fourth century by negating the evidence employed
in its support, would reject Vasubandhu the elder for almost
With these works, Vasubandhu proved to be a highly
the same reasons. At any rate, Frauwallner’s theory and the
influential Maha¯ya¯na teacher. He is reverently called a bodhi-
issues it raises remain a hypothesis.
sattva, or even “the second Buddha,” in various traditions
LITERARY ACTIVITY. Vasubandhu is renowned as the author
from India to China. Vasubandhu brought to fruition doc-
of one thousand works, five hundred in the H¯ınaya¯na tradi-
trinal developments in the Maha¯ya¯na, especially in the
tion and five hundred Maha¯ya¯na treatises. However, only
Yoga¯ca¯ra-Vijña¯nava¯da tradition, that had been begun by
some forty-seven are extant, nine of which survive in the San-
Maitreya and Asan˙ga and advanced by other unknown teach-
skrit original, twenty-seven in Chinese translation, and thir-
ers. He thus marks a culmination in Buddhist history. Before
ty-three in Tibetan translation.
him, his school concerned itself chiefly with Buddhist prac-
tice (hence the name Yoga¯ca¯ra); after him, it emphasized the-
Among the independent expositions of Vasubandhu’s
oretical problems such as the analysis of consciousness (hence
own philosophy and doctrines, the Abhidharmako´sa is the
the name Vijña¯nava¯da), so that various ontological, episte-
most voluminous. In the countries of “northern” Buddhism,
mological, and logical investigations became more and more
including Tibet, it came to be regarded as a fundamental text
conspicuous. Compared with Asan˙ga, who was gifted as a re-
to be studied by all students of the tradition. The Karmasidd-
ligious leader, Vasubandhu seems more scholarly, abhidhar-
hi (Demonstration of Karma) is a short, quasi-H¯ınaya¯na
mic, and theoretical.
treatise colored, as is the Abhidharmako´sa, by Sautra¯ntika
leanings. From the Yoga¯ca¯ra point of view the most impor-
SEE ALSO Asan˙ga; Buddhism, article on Buddhism in India;
tant of Vasubandhu’s works are the Vim:´satika¯ (Twenty
Buddhism, Schools of, articles on Chinese Buddhism,
verses), Trim:´sika¯ (Thirty verses), and Trisvabha¯vanirde´sa
Maha¯ya¯na Buddhism; Maitreya; Yoga¯ca¯ra.
(Exposition on the three natures). Although these three texts
are all very brief (and the last was totally unknown in China),
BIBLIOGRAPHY
they form a sort of trinity and represent Vasubandhu’s final
A bibliography appended to Erich Frauwallner’s On the Date of
accomplishment as a Yoga¯ca¯ra-Vijña¯nava¯da teacher. The
the Buddhist Master of the Law, Vasubandhu (Rome, 1951)
Trim:´sika¯ is especially important in that it became the basic
is highly helpful in that it exhausts almost all discussions,
text of the Faxiang (Jpn., Hosso¯) school. The Foxing lun
hence almost all evidences, relevant to Vasubandhu’s date.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9528
VATICAN COUNCILS: VATICAN I
After Frauwallner, there is no independent biographical
PRELIMINARY DISCUSSIONS. Despite the reservations of
study on Vasubandhu, except a paper by Hikata Ryu¯sho¯, “A
some in the Curia Romana, which caused him to delay for
Reconsideration on the Date of Vasubandhu,” Bulletin of the
two years, Pius IX was encouraged by prominent members
Faculty of the Kyushu University 4 (1956): 53–74, which does
of the episcopate to announce his intention of convoking a
not refer to Frauwallner and a criticism of Frauwallner’s the-
council; on July 29, 1868, he officially summoned all the
ory by Padmanabh S. Jaini, “On the Theory of Two Vasu-
bishops of Christendom to come to Rome by December 8,
bandhus,” Bulletin of the School of Oriental and African
Studies 21 (1958): 48–53.
1869, along with others who had the right to attend (espe-
cially the superiors general of the major religious orders).
Vasubandhu’s thought is the subject of numerous studies. Among
During the preliminary consultations a number of bishops
the most useful are Louis de La Vallée Poussin’s
Vijñaptima¯trata¯siddhi, la siddhi de Hiuan-tsang, 2 vols.
had suggested taking advantage of the council to try to renew
(Paris, 1928–1929); Sylvain Lévi’s Un système de philosophie
contacts with separated Christians. Two apostolic letters,
bouddhique: Materiaux pour l’étude du système Vijñaptima¯tra
dated September 8 and 13, 1868, invited the Eastern prelates
(Paris, 1932); and Yuki Reimon’s Seshin Yuishiki no kenkyu¯
not in communion with Rome, the Protestants, and the An-
(Tokyo, 1955–1956).
glicans in order that they might be able to take part in the
There have been several publications of English translations of the
council. But this clumsy approach was considered very in-
French translations of Vasubandhu’s work. Among these are
sulting by those addressed and may be regarded, from an ecu-
Abhidharmako´sabhasyam, by Louis De La Vallée Poussin,
menical viewpoint, as one of the most distressing examples
English translation by Leo Pruden (Berkeley, Calif., 1988–
of a lost opportunity.
1990), and Karmasiddhiprakarana: The Treatise on Action.,
by E. Lamotte, English translation by Leo Pruden (Berkeley,
In the Catholic world the announcement of the council
Calif., 1988). Stefan Anacker’s Seven Works of Vasubandhu
almost immediately intensified the opposition between cur-
(Delhi, 1984) includes translations of Vasubandhu’s
rents of thought that had been in confrontation for several
Va¯davidh¯ı, Pañcaskandha-prakaran:a¯, Karmasiddhi-praka-
years: Neo-Gallicans and liberal Catholics, on the one hand,
ran:a, Vim:´satika, Trim:´sika¯, Madhya¯ntavibha¯gabha¯s:ya, and
and ultramontanes and opponents of modern freedoms, on
Trisvabha¯vanirde´sa; another important translation is Her-
the other. The choice of the consultors who were to prepare
mann Jacobi’s Trim:´sika¯vijñapti des Vasubandhu, mit bha¯s:ya
des a¯ca¯rya Sthiramati (Stuttgart, 1932). Louis de La Vallée
the drafts of the conciliar decrees—the group included sixty
Poussin translated the most influential work of Abhidharma
Romans and thirty-six from abroad, almost all of them
as L’Abhidharmako´sa de Vasubandhu, 6 vols. (1923–1931;
known for their ultramontane and antiliberal views—
reprint, Brussels, 1971). My Chu¯kan to yuishiki (Tokyo,
disturbed those who had been hoping that the council would
1978) contains articles discussing some philosophical ideas
provide an opportunity for bishops from the outer reaches
of the Vijña¯nava¯da; see also Seshin ronshu¯ (Tokyo, 1976) by
of the church to open up the church somewhat to modern
Kajiyama Yu¯ichi, Aramaki Noritoshi, and me.
aspirations and who thought they could discern a strategy at
NAGAO GADJIN (1987 AND 2005)
work: namely, to prepare for the council in secret, with no
challenges raised by debate and with the curial viewpoint
alone represented, and then to have the fathers accept with-
out discussion a series of ready-made propositions.
VATICAN COUNCILS
This entry consists of the following articles:
The unfortunate “Correspondence from France” that
VATICAN I
was published on February 6, 1869, in La civiltà cattolica,
VATICAN II [FIRST EDITION]
the organ of the Jesuits in Rome, seemed to confirm this ex-
VATICAN II [FURTHER CONSIDERATIONS]
pectation by predicting a definition of papal infallibility by
proclamation and thus without any possibility of restatement
VATICAN COUNCILS: VATICAN I
or discussion by the fathers. The reaction was especially in-
When Pius IX decided to convoke an ecumenical council,
tense in the Germanic countries. In particular, Ignaz von
his purpose, clarified by advice solicited from various bishops
Döllinger, the well-known professor at the University of Mu-
whom he regarded as trustworthy, was to complete the work
nich, whose hostility toward the Curia had been on the in-
of reacting against naturalism and rationalism. He had been
crease for a number of years, published under the pen name
pursuing this goal since the beginning of his pontificate by
Janus a violent and one-sided polemic against the overem-
endeavoring to establish Catholic life and thought once again
phasis on papal primacy and Roman centralization. Polemi-
on the solid foundation of divine revelation. As a result of
cal articles, though more moderate in tone, were also pub-
suggestions from the bishops he had consulted, he added to
lished in the newspapers of France, where liberal Catholics
this purpose, first, defining the true nature of the relation be-
regarded as inopportune the definition of papal infallibility
tween church and state while taking into account the new
for which the ultramontanes were calling. The question of
situation produced by the French Revolution and its conse-
papal infallibility, which had not come up in the initial pro-
quences and, second, adapting church law in ways made nec-
gram for the council, suddenly became a major issue during
essary by the profound changes that had taken place during
the months preceding the opening of the council. A number
the three centuries since the last ecumenical council.
of prominent bishops, such as Victor Deschamps, archbish-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VATICAN COUNCILS: VATICAN I
9529
op of Malines, and Henry Edward Manning, archbishop of
papal infallibility were excluded by the maneuvering of a
Westminster, asked insistently that advantage be taken of the
pressure group of which Archbishop Manning was one of the
council for a solemn definition of this truth, since it was now
main leaders. This maneuver, which many wrongly believed
being publicly challenged. On the other side, at their annual
was ordered by the Curia, was a serious mistake for two rea-
meeting in Fulda (September 1869), the majority of the Ger-
sons: first, it gave the impression that the elections were only
man bishops discreetly expressed clear-cut reservations with
a front, with the result that fathers in various groups now
regard to such a definition.
began to have doubts about the freedom of the council; and,
second, it prevented a possible dialogue that might have rec-
Though unmoved by such theological discussions, a
onciled the two opposing viewpoints.
number of European governments did become apprehensive
about possible conciliar decrees on civil marriage, the place
On December 28 the council began at last to examine
of religion in public education, and the legitimacy of free-
the first drafted constitution, which was directed “against the
dom of worship and the press. Such apprehensions could
numerous errors deriving from modern rationalism.” This
only be intensified by the desire that many bishops and some
draft, which was the work of the Jesuits Johannes Baptist
Catholic newspapers expressed, namely that the Syllabus of
Franzelin and Clemens Schrader, drew strong criticism be-
Errors (1864) be made the basis for the council’s delibera-
cause of its substance, which some found to be out of touch
tions, a desire that seems to have been welcome in Rome. All
with contemporary forms of rationalism and too apodictic
those in the church who feared the triumph of the ultramon-
on points freely discussed among theologians, and especially
tane party at the council did what they could to intensify this
because of its form, which was judged to be overly polemical
governmental mistrust in the hope of procuring diplomatic
and insufficiently inspired by pastoral concerns. After six
warnings and cautions. At one point, France considered ap-
meetings for discussion, which had the advantage of showing
pointing a special ambassador to the council, as it had at the
that the council would be freer than some had feared, the
time of the Council of Trent, while Prince von Hohenlohe,
presidents announced on January 10 that the draft would be
chancellor of Bavaria, attempted to have the European gov-
sent back to the commission for recasting and that mean-
ernments take joint steps. In the end, these governments
while the council would tackle the drafts on church disci-
chose to limit themselves to an attitude of distrustful ex-
pline. In this area twenty-eight drafts had been prepared that
pectation.
were rather tame and showed hardly any pastoral openness
to the future; to these were added eighteen others, much su-
CONCILIAR DEBATES. The council opened on December 8,
perior in character, on the adaptation of canon law to the
1869, in the presence of about 700 bishops, about two-thirds
new circumstances of the religious orders and congregations.
of those with the right to attend. Among them were 70 prel-
The discussion of the first four drafts that were distributed
ates of the Eastern rite who were in union with Rome, most
quickly got bogged down in details, especially since the time
of these being from the Middle East, and almost 200 fathers
available to the speakers was unlimited. As a result, in order
from non-European countries: 121 from the Americas (49
to speed up the pace of the work (as the great majority of
from the United States), 41 from Southern Asia and the Far
the fathers wanted), the pope, on February 20, 1870, amend-
East, 11 from Oceania, and 9 from the African missions,
ed the regulations that had been distributed at the opening
which were then in their infancy. One must remember that
of the council. By and large, the modifications were to the
while the prelates from other parts of the world made up a
good, but some fathers, who had already resented having a
third of the gathering, many of them were actually from Eu-
set of regulations imposed on them from above, saw in these
rope (the missionaries in particular) and that there was as yet
modifications a new threat to full freedom of discussion.
no native bishop in Asia or Africa. This predominantly Euro-
pean gathering was also predominantly Latin. There was in-
While the examination of texts that had little chance of
deed a sizable English-speaking group (in which those of
proving explosive was advancing with prudent caution in the
Irish origin were predominant) and about 75 Germans and
council hall, the attention of both the fathers and the public
Austrians. Spaniards and Latin Americans numbered barely
was increasingly focused on the question of infallibility.
one hundred; the French made up 17 percent of the gather-
Raised again by a clumsy statement of Bishop Felix Dupan-
ing (the majority of the missionaries of that time were from
loup in November 1869, the question soon led the fathers,
France), and the Italians over 35 percent. In addition, two-
who had initially tended to group together along national
thirds of the consultors, or experts, and all of the secretaries
and linguistic lines, to form new groups that were inspired
of the commissions were Italians, as were the five presidents
by ideological considerations.
of the council; of the primary leadership offices, only that of
secretary general was not occupied by an Italian, namely, the
On the one side, many fathers who were very hostile to
Austrian Joseph Fessler.
their contemporaries’ infatuation with liberalism were not at
all reluctant to have the council restate the principles accord-
The first three sessions of the council were spent on the
ing to which, in classical teaching, the relations between
election of the commissions. The most important of these
church and state should be ruled in an ideal Christian soci-
was the doctrinal commission (Deputatio fidei), from which
ety. Many—often the same— wanted a solemn definition of
all bishops suspected of being opposed to a definition of
the personal infallibility of the pope. Even though they did
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9530
VATICAN COUNCILS: VATICAN I
not approve of all the centralizing steps taken by the Curia,
who believed that the future in the political realm belonged
they were convinced that the Gallican and Febronian theses,
to liberal institutions and that the church had everything to
which tended to diminish the primacy of the pope in favor
lose by standing forth as the champion of autocratic authori-
of the episcopate, were simply a departure from the ancient
tarianism. There were also concerns of an ecumenical kind:
tradition to which, as they saw it, witness was given by cer-
the proposed definition would render even more difficult any
tain scriptural texts (esp. Mt. 16:18), certain patristic formu-
rapprochement with Eastern Christians; it would intensify
las (e.g., the maxim “Rome has spoken, the question is
the militant hostility of some Protestant groups; it might
closed”), and the whole body of great scholastic doctors from
even lead to a new schism in German intellectual circles,
Thomas Aquinas to Roberto Bellarmino and Alphonsus Lig-
which had been deeply impressed by Döllinger’s campaign.
uori. Those fathers met the historical difficulties of their ad-
Those who declared their opposition to the definition were
versaries with an appeal to the living faith of the church and
less numerous than those in favor of it—thus the designation
were especially impressed by the almost universal acceptance,
of them as the “minority”—but the most prominent among
in the church of their time, of the thesis of the pope’s person-
them enjoyed great authority by reason either of their theo-
al infallibility, a thesis repeated on a number of occasions
logical competence or of the important sees they occupied:
during the preceding twenty years by many provincial or re-
the entire Austro-Hungarian episcopate under the leadership
gional councils. Reasons of a nontheological kind strength-
of Cardinal Othmar Rauscher, a renowned patrologist and
ened many of these prelates in their conviction: their venera-
strong defender of the rights of the Holy See against Jose-
tion of Pius IX; their belief that an increased emphasis on
phist, or liberal, claims; all the major sees of Germany; a siz-
the monolithic character of the Roman church could only
able number of French prelates, including the archbishops
draw to this church various non-Catholics who were dis-
of Paris and Lyons; several archbishops of North America;
tressed by the hesitancies and lack of resoluteness of the
the archbishop of Milan, the most populous of the Italian
churches separated from Rome or by the contradictions of
dioceses; and three Eastern patriarchs.
philosophical systems (Manning, a convert, laid great stress
The two groups had an opportunity to count heads as
on this point); their concern to lend as much weight as possi-
early as January. The infallibilist pressure group, again acting
ble to the principle of authority in a world weakened by aspi-
independently (but in close contact with the Jesuits of La
rations toward democracy, a type of government they regard-
civiltà cattolica), circulated a petition asking the pope to put
ed as a mitigated form of revolutionary anarchy; and their
on the assembly’s agenda a draft definition of papal infallibil-
desire, in the face of the religious crisis they saw growing be-
ity, which the preparatory commission had preferred not to
fore their eyes, to give an increasingly centralized form to the
offer on its own initiative. The petition finally collected 450
defensive and offensive strategy of the church.
signatures, and, despite a counterpetition signed by 140 bish-
A comparable mixture of doctrinal considerations and
ops, Pius IX decided on March 1 to include the desired pas-
nontheological motives inspired other prelates to think that
sage in the draft of the constitution on the church that
such projects would overthrow the traditional constitution
had been distributed to the fathers some weeks earlier on
of the church and might well threaten the most legitimate
January 21.
aspirations of civil society. Some bishops remained very at-
The minority, now deeply disturbed, busied itself orga-
tached to a conception of the ecclesiastical magisterium ac-
nizing the resistance that had until then been scattered and
cording to which the pope can never decide a point of doc-
unfocused. The real center of this opposition was a young
trine independently from ratification by the body of bishops.
layman, John Acton, who as a historian shared the prejudices
More widespread seems to have been the concern to safe-
of his master, Döllinger, against the dogma and who feared
guard the second element in the divinely appointed structure
even more the indirect effects of the definition on the future
of the hierarchy; to many of the fathers the proposed defini-
chances of Catholicism in a society increasingly based on the
tion of papal infallibility seemed part of a program aimed at
idea of freedom. Conzemius’s publication of the Acton-
practically destroying the episcopate. In addition, the way in
Döllinger correspondence (3 vols., Munich, 1963–1971) has
which the question of infallibility was presented in the most
made fully clear the important role, unsuspected until now,
prominent ultramontane newspapers could only confirm in
that Acton played in organizing the conciliar minority.
their views those who were convinced that “the intention was
to declare the pope infallible in matters of faith in order
The leaders of the minority did not limit themselves to
thereby to make people think him infallible in other matters
making personal appeals to fathers they hoped they could
as well” (Leroy-Beaulieu), that is, in matters more or less re-
win to their side. Convinced as they were of the deadly effects
lated to the political order. But surely it was to be expected
on the church of the definition now being readied and of the
that the governments would not permit a development along
legitimacy of taking all effective means to stop it, a number
these lines without reacting to it, to the great detriment of
of them thought it necessary to rouse public opinion and so
the local churches.
bring outside pressure to bear on the authorities of the coun-
cil. Several of these fathers even tried to win governmental
Over and above immediate tactical considerations there
support, especially at Paris, because they knew how influen-
was a question of principle that greatly disturbed all those
tial any mediation by Napoleon III would be, since his mili-
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VATICAN COUNCILS: VATICAN I
9531
tary and diplomatic support was indispensable in preserving
of treating this chapter before the others, it was expanded
what was left of the pope’s temporal power.
into a short, independent constitution devoted entirely to
the pope.
CONCILIAR CONSTITUTIONS. Amid the growing restlessness
outside the council in the salons, newspapers, and chancel-
The general debate on the text as a whole began on May
leries, the assembly itself was going ahead with its work. The
13 but was reduced from the outset to a discussion of the
draft of the constitution against rationalism, which had been
opportuneness of the definition; at times the discussion was
recast by bishops Martin, Deschamps, and Pie with the help
impassioned. After some fifteen meetings, the fathers went
of the Jesuit Joseph Kleutgen, came before the council again
on to examine the details of the texts; this discussion focused
on March 18. The new version was favorably received by the
essentially on the chapter devoted to the definition of papal
fathers, and any discussion was now concerned only with in-
infallibility. The proposed text, although the commission
dividual points or improvements of details. On April 24 the
had already improved it by comparison with the original
council unanimously gave its solemn approval to its first dog-
draft, did not yet take sufficient account of the legitimate role
matic document, the constitution Dei filius, which respond-
that belonged to the episcopate, alongside and in collabora-
ed to pantheism, materialism, and modern rationalism with
tion with the pope, in the supreme teaching office of the
a substantial exposition of Catholic teaching on God, revela-
church. Fifty-seven speakers took the floor, emphasizing
tion, and faith; this exposition was to be for almost a century
theological arguments or historical difficulties, as well as the
the basis of the treatises which made up fundamental
practical advantages or drawbacks of a definition in the cir-
theology.
cumstances of that time. These debates, though often te-
dious, at least gave an opportunity to qualify certain expres-
Chapter 1 condemns pantheist views and briefly sets
sions and led to the elimination of some opposition.
forth Catholic teaching on providence. Chapter 2 defines,
against atheism and traditionalism, the possibility of know-
Meanwhile, the behind-the-scenes lobbying intensified.
ing the existence of God with certainty by the natural light
For, apart from the zealots of the majority and the partisans
of reason and, against deism, the absolute necessity of revela-
of unyielding resistance, the great majority of the fathers
tion if man is to have knowledge of the supernatural order.
were men of moderation who were deeply grieved and trou-
Chapter 3 defines the reasonableness of the act of faith as
bled by all the agitation. Far from desiring to see their oppo-
against the illuminism of some Protestants and against those
nents crushed, they wanted only to find a compromise for-
who deny the value of the external motives of credibility,
mula that would keep the divisions within the assembly from
such as miracles. It states that faith is both a free assent and
becoming public. This was especially true of the Italians, as
a gift of grace and reaffirms the obligation of believing all the
Michele Maccarrone has clearly shown. By reason of their
truths the ordinary ecclesiastical magisterium proclaims to
numbers these men, who had played no part in the initial
have been revealed. It asserts that the church, which proposes
steps taken to introduce the famous question, were a decisive
the truths to be believed, at the same time carries within itself
bulwark of the informal “third party” that had been taking
the guarantee of its own divine origin and that with his grace
shape since the beginning and was finally able to win the day
God confirms believers in their faith. Chapter 4 explains the
against the neo-ultramontane and anticurialist extremists.
relations that should exist between faith and reason, science
and revelation: there are mysteries that cannot be demon-
There is reason for thinking that a much larger section
strated by reason, but reason can legitimately reflect on su-
of the minority would have finally accepted the nuanced so-
pernatural truths. While claiming a proper freedom for sci-
lution that was gradually worked out if Pius IX had not been
ence, the council warns against abuses of this freedom.
so intransigent. For recent research has also shown, with the
Finally, it explains what true dogmatic development is and
help of previously unstudied documents, that the pope sever-
condemns systems according to which philosophy may give
al times directly intervened on the side of the majority ex-
new and more perfect meanings to revealed dogmas.
tremists as the discussion became protracted. Whatever the
personal responsibility of Pius IX may have been, it is a fact
It quickly became clear that, given the pace at which
that last-minute efforts to rally the opponents through small
work was proceeding, the constitution on the church, the
concessions proved fruitless, despite the good impression
text of which had been distributed to the fathers on January
made by the recapitulatory explanation given by Bishop Gas-
21, would not come up for discussion for several months;
ser in the name of the theological commission (this authori-
this was even more true of its eleventh chapter, which dealt
tative commentary is of key importance for a grasp of the nu-
with the special prerogatives of the pope. Consequently, as
ances of the conciliar text). When a final appeal of the
early as March, new petitions requested that this chapter,
minority to Pius IX had no result, some sixty bishops decided
which made the council restive, be discussed out of its proper
to leave Rome before the final vote in order not to have to
order as soon as the examination of the constitution against
cast a negative vote in the presence of the pope on a question
rationalism was concluded. Despite the reservations of three
that directly concerned him. The other members of the mi-
of the five presidents of the council, Pius IX, who was in-
nority judged that the successive improvements of the text
creasingly displeased at the opposition of the minority group,
as well as Bishop Gasser’s commentary had removed the
decided to alter the schedule. In order to avoid the anomaly
principal substantive objections and they decided therefore
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VATICAN COUNCILS: VATICAN I
to approve the final text. This text was solemnly accepted on
linger’s writings. Among the bishops of the minority a few,
July 18 by nearly everyone present.
Hefele and Strossmayer among them, wavered for several
months, but in the end none of them refused to accept the
Officially entitled First Constitution on the Church of
new dogma.
Christ, the constitution Pastor aeternus expounds Catholic
teaching on the privileges of the pope. After a lengthy intro-
When the immediate results of the council were com-
duction on the institution of the church by Christ and on
pared with its ambitious program (fifty-one drafts had still
the place therein of papal primacy as the foundation of the
to be voted on) and especially with the great hopes the con-
church’s unity, chapter 1 asserts, against some Gallicans and
vocation of the council had raised, the First Vatican Council
Febronians, that Peter received directly from Christ, and not
seemed to many to have been a failure, its principal outcome
through the church, a primacy of jurisdiction over the entire
having been to aggravate the disunity among Christians.
church. Chapter 2 states that by Christ’s will this primacy
With the passage of time, however, people became aware of
is to be continued perpetually in the successors of Peter, the
important results flowing from the intense intellectual fer-
bishops of Rome. Chapter 3 solemnly defines the nature of
ment the convocation of the council had produced. The
the pope’s primacy: the pope has an ordinary, immediate,
work done by the commissions which dealt with the im-
“episcopal” jurisdiction not only in questions of faith but
provement of church law was not wasted, nor were the many
also in matters of church discipline, and this authority, which
suggestions sent in writing by those at a distance. Extensive
does not depend on approval by an ecumenical council, is
use was to be made of these materials in the encyclicals of
to be exercised over pastors as well as the faithful. The con-
Leo XIII and especially in the revision of the Code of Canon
cern to provide explicit safeguards for the authority of the
Law under Pius X. The first dogmatic constitution that had
bishops is at the root of the third paragraph, the main point
been passed in April 1870 exercised a clarifying influence on
of which is that bishops govern their flocks as “true pastors”
subsequent theological teaching, especially in the burning
and are therefore not mere delegates of the pope.
question of the relations between reason and faith. On the
The fourth chapter declares that authority as supreme
other hand, it also strengthened the tendency to enlarge the
teacher is included in the primacy and then recalls how over
role of authoritative doctrinal interventions in the develop-
the course of time the popes had always exercised this func-
ment of Catholic thought; this tendency was strengthened
tion by drawing upon the faith of the universal church as ex-
even more by the definition of papal infallibility.
pressed in particular by the teaching of the bishops. The
While the solemn approbation given to the ultramon-
chapter then goes on to define solemnly that this supreme
tane movement, which continued to develop for another half
teaching office has attached to it the prerogative of infallibili-
century, did not bring about the revolution in church gov-
ty, provided the pope is speaking ex cathedra, that is, provid-
ernment that some opponents had anticipated, it did none-
ed that “in exercising his office as teacher and shepherd of
theless lead to more numerous direct interventions of the
all Christians he defines, in virtue of his supreme apostolic
Holy See in the dioceses and to an emphasis on Roman cen-
authority” (that is, with the intention of unequivocally put-
tralization. At the same time, however, it must be recognized
ting an end to all discussion) “that a doctrine concerning
that by defining very strictly the rare cases in which the privi-
faith or morals must be held by the universal Church; such
lege of papal infallibility comes into play, the council ruled
definitions are irreformable of themselves and do not require
out the exaggerated ideas that were beginning to spread
ratification by the episcopate (ex sese non autem ex consensu
abroad before 1870 under the influence of bishops like Man-
Ecclesiae).” This final formula is a bit ambiguous, for, accord-
ning and journalists like Veuillot. In the final analysis, the
ing to the commentary given by Bishop Gasser in the name
nuanced character of the definition, which was the result of
of the doctrinal commission, while the words reject the con-
impassioned discussion and satisfied the legitimate demands
sensus Ecclesiae as the source of papal infallibility, they do not
of many minority bishops, was the best safeguard against the
mean to deny that the pope, as spokesman for tradition,
excesses of what has been called “neo-ultramontanism,” a
must remain in constant close contact with the “mind of the
fashion of excessive devotion, more sentimental than theo-
Church” (sensus Ecclesiae) in the exercise of his ministry.
logical, to the pope.
After the vote taken on July 18 the council continued
its work for two more months, but at a slower pace, since
SEE ALSO Döllinger, Johann; Gallicanism; Modernism, arti-
the majority of the fathers had left Rome for the summer.
cle on Christian Modernism; Pius IX; Ultramontanism.
The occupation of Rome by the Italians on September 20
brought the work to a definitive end, and on October 20 the
BIBLIOGRAPHY
pope announced that the council was adjourned indefinitely.
The main documents that inform us of the preparation and course
of the council have been published in volumes 49–53 of the
The termination of the debates did not immediately
S. Conciliorum nova et amplissima collectio (Arnhem, 1923–
bring a calm to all hearts. The agitation continued for some
1927). The two most detailed histories of the council are ten-
time, and there were sad apostasies, especially in the Ger-
dentious: Johann Friedrich’s Geschichte des vatikanischen
manic countries where the Old Catholic schism developed
Konzils, 3 vols. (Bonn, 1877–1887), is excessively critical
around some university professors who appealed to Döl-
from an Old Catholic point of view; Theodor Granderath’s
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VATICAN COUNCILS: VATICAN II [FIRST EDITION]
9533
Geschichte des vatikanischen Konzils, 3 vols. (Freiburg, 1903–
Council of Trent and one hundred years after the First Vati-
1906), is a systematic defense by a Jesuit who refuses to allow
can Council, as well as the realization of this idea, must be
any legitimacy to the reservations of the minority. Good pre-
seen in historical perspective. The principal formative influ-
sentations are Edward Cuthbert Butler’s The Vatican Coun-
ence on the life of the Roman Catholic church until the Sec-
cil, 2d ed., 2 vols. (London, 1965), and Michele Maccar-
ond Vatican Council, besides the impact of the institutional
rone’s Il Concilio Vaticano I, “Italia Sacra,” vols. 7 and 8
and doctrinal differentiation of Christian churches resulting
(Padua, 1966). A shorter presentation is my Vatican I (Paris,
from the Reformation, was the Council of Trent (1545–
1964).
1563), especially through its decisions on faith and morals.
Worthy of special mention among the studies of the national epis-
Although the First Vatican Council, through its definition
copates are James Hennesey’s The First Council of the Vati-
of the universal jurisdictional primacy and infallibility of the
can: The American Experience (New York, 1963); Frederick
J. Cwiekowski’s The English Bishops and the First Vatican
pope, had expanded to some extent the decisions made at
Council (Louvain, 1971); Klaus Schatz’s Kirchenbild und
Trent, it did so without addressing the question of the rela-
päpstliche Unfehlbarkeit bei den deutschsprachigen Minoritäts-
tionship of primacy and episcopacy. The problem of confor-
bischöfen auf dem I. Vatikanum (Rome, 1975); and Constan-
mity between proclamation of the faith and pastoral care was
tin Patelos’s Vatican I et les évêques uniates (Brussels, 1982).
not considered, nor were the altered circumstances resulting
Doctrinal commentaries on the constitution Dei filius in-
from industrialization. On the one hand, the French Revolu-
clude Alfred Vacant’s Études théologiques sur les constitutions
tion and secularization had shaken the foundations of radical
du Concile du Vatican d’après les actes du concile, 2 vols. (Paris,
episcopalism evidenced in such national movements as Galli-
1895), and on the constitution Pastor aeternus, Gustave
canism, Josephism, and Fabronianism, but on the other
Thils’s La primauté pontificale (Gembloux, France, 1972),
hand, an extreme papalism (or rather curialism) was no lon-
and the same author’s L’in-faillibilité pontificale (Gembloux,
ger possible after the dissolution of the Papal States.
France, 1969). August B. Hasler’s Pius IX (1846–1878), päp-
stliche Unfehlbarkeit und 1. vatika-nisches Konzil, 2 vols.
The way was clear, however, for new forms of thinking
(Stuttgart, 1977), raises real questions but is spoiled by a lack
about and actualizing the church and its relationship to the
of historical criticism. See also Giacomo Martina’s “Pio IX
world. Before discussing the conduct of the Second Vatican
e il Vaticano I, di A. B. Hasler, rilievi critici,” in Archivum
Council itself, we shall examine these tendencies briefly.
historiae pontificiae 16 (1978): 341–369, and Joseph Hoff-
mann’s “Histoire et dogme: la definition de l’infaillibilité
THE CHURCH BEFORE THE COUNCIL. The liturgical move-
pontificale à Vatican I,” in Revue des sciences philosophiques
ment, whose roots go back to the time of the Reformation,
et théologiques 62 (1978): 543–557 and 63 (1979): 61–82.
reached a peak of activity in the twentieth century. The
A very complete analytical and critical bibliography is
movement sought to revive liturgical forms in order to create
J. Goñi Gastambide’s “Estudios sobre el Vaticano I,” Sal-
the church anew by means of daily participation in the objec-
man-ticensia 19 (1972): 145–203, 381–449.
tive events of liturgy and the mysteries of the church. Con-
New Sources
nected with this was a new valuation of sacramentality and
Bermejo, Luis M. Infallibility on Trial: Church, Conciliarity and
of the proclamation of the word (for example, in kerygmatic
Communion. Westminster, Md., 1992.
theology, that is, pastoral theology, culminating in the devel-
Costigan, Richard F. “The Consensus of the Church: Differing
opment of a new practical theology). The liturgical move-
Classic Views.” Theological Studies 51 (March 1990): 25–49.
ment found magisterial support in the encyclical Mediator
O’Gara, Margaret. Triumph in Defeat: Infallibility, Vatican I, and
Dei (1947) of Pius XII.
the French Minority Bishops. Washington, D.C., 1988.
Paralleling the liturgical movement was the biblical
Pottmeyer, Hermann Josef. Toward a Papacy in Communion: Per-
movement, which rediscovered the immediate religious
spectives from Vatican Councils I and II. Translated by Mat-
meaning of holy scripture by means of new translations into
thew J. O’Connell. New York, 1998.
vernacular languages and the formation of Catholic Bible as-
Thils, Gustave. Primaute et Infallibilite du Pontife Romain a Vati-
sociations. The Bible was studied according to the norms of
can I et Autre Etudes d’Ecclesiologie. Leuven, 1989.
modern scholarship and the canons of scientific exegesis. The
Thompson, Daniel Speed. The Language of Dissent: Edward Schil-
epoch-making encyclical Divino afflante Spiritu (1943) of
lebeeckx on the Crisis of Authority in the Catholic Church.
Pius XII removed the prevailing ecclesiastical obstacles to a
Notre Dame, Ill., 2003.
truly critical study of the Bible.
ROGER AUBERT (1987)
The involvement of the laity in the ministry of the
Translated from French by Matthew J. O’Connell
church also changed. Catholic Action was founded in 1923.
Revised Bibliography
Laypeople were becoming conscious of their responsibilities
and rights in the church. Manuals on doctrine and moral
theology written especially for lay-people appeared, culmi-
VATICAN COUNCILS: VATICAN II [FIRST
nating in Yves Congar’s Lay People in the Church (rev. ed.;
EDITION]
Westminister, Md., 1965).
The idea of holding a church council, which can be attribut-
The church’s consciousness of itself changed. This was
ed to Pius XI and Pius XII, four hundred years after the
primarily a matter of the dissolution of the one-sided canoni-
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cal understanding of the church as juridical, an understand-
world, and the various projects in moral theology or ethics
ing that had been set forth in the late Middle Ages and was
were preparatory for a new outlook. The true relationship of
firmly established once and for all by the Code of Canon Law
the Christian and of the church to the world lies between in-
(1917). The change was signaled in 1922 by Romano
tegralism and esotericism. And this middle ground must not
Guardini, who declared the “awakening of the church in
be understood as a cheap compromise necessitated by cir-
souls,” and was confirmed in 1943 by the understanding of
cumstances, a compromise possible only because, unfortu-
the church as the mystical body of Christ set forth in Pius
nately, the world cannot ever be integrated totally into the
XII’s encyclical Mystici corporis, which, however, still identi-
ecclesial-religious sphere or because the pious cannot avoid
fied the church with the official hierarchical Roman church.
serving the profane reality of life. This is a middle that stands
The change culminated in ecclesiological projects during and
above the extremes as an original unity. Of itself, it actually
after World War II that engendered an understanding of the
constitutes the unity and difference between the explicitly
church as people of faith subject to the Word.
Christian and churchly, on the one hand, and the world and
worldly activity, on the other. And here there must be a clear
The ecumenical movements, which since the beginning
distinction between the relationship of the official church to
of the twentieth century had brought together and united the
the world and that of the Christian to the world.
non-Catholic Christian church communities through world
church conferences and the founding of the World Council
HISTORY AND THEMES OF THE COUNCIL. The Second Vati-
of Churches, stood distanced for a long time from the
can Council was the twenty-first ecumenical council (accord-
Roman Catholic church. The opening of the Roman offices
ing to the official count of the Roman Catholic church), held
for ecumenism by John XXIII was made possible by contacts
from 1962 to 1965 at Saint Peter’s Basilica in Rome. On
and conversations between Protestant and Catholic theolo-
May 17, 1959, after the first official announcement on Janu-
gians and church leaders that took place for mutual defense
ary 25, 1959, John XXIII designated a commission that was
against antiecclesiastical totalitarianism. These contacts were
to make preparations for the council under the direction of
expanded after the founding of a Catholic ecumenical board
the cardinal secretary. All bishops, the Curia Romana, and
in Fribourg, Switzerland, in 1951. The question of the reuni-
the theological and canonical faculties voted on topics for
fication of all Christians appealed to parts of Catholic Chris-
discussion. On June 5, 1960 the pope ordered ten specialized
tendom and exercised a great influence on theological reflec-
commissions to work on the schemata (protocols). There
tion about the church’s unity in diversity and its
were also two permanent secretariats (one for the mass
understanding of ministry, eucharist, and primacy.
media, another for Christian unity). A central preparatory
committee was responsible for organizing the work of the
Another important tendency in the Roman Catholic
council. The formal summoning of the council to Rome oc-
church before the calling of the council involved changes in
curred on December 25, 1961. On January 2, 1962 the
theology itself. Certain theological efforts and approaches
opening was set for October 11, 1962. According to the rules
went beyond basic or scholastic theology and carried on a di-
of procedure, ten cardinals were to head the ten council com-
alogue with the consciousness of the times and with the theo-
missions assigned to work into the protocols the suggestions
logians of the separated Christian churches. The most im-
introduced in the general assembly. Two-thirds of the mem-
portant stages were attempts to overcome through
bers of these commissions were to be chosen by the assembly;
kerygmatic theology the objectivistic and unhistorical or su-
one-third were to be named by the pope. The council deci-
perhistorical point of view of neoscholasticism; “nouvelle
sions required a two-thirds majority.
théologie,” which emphasized open thinking and opposed
As so-called periti (expert advisers), about two hundred
scholasticism; transcendental theology, which reflected on
theologians (generally professors of theology) were called to
the conditions of the possibilities of man; the acquisition of
Rome. Of the 2,908 legitimate delegates, 2,540 participated
a genuinely theological understanding of history in herme-
in the opening. Of the invited non-Catholic Christian
neutical theology; and finally the inclusion of the societal di-
churches and communities, seventeen were present through
mension in political theology. These positions gained more
thirty-five representatives. In the end, twenty-eight non-
and more significance with regard to the church’s self-
Roman churches, including the Russian Orthodox church,
understanding and its relationship to the world. It became
were represented by ninety-three observers. There were
a church that no longer defined itself in the triumphalist
eighty-six governments and international bodies represented
terms of the Counter-Reformation but understood itself as
at the opening.
a pilgrim church waiting for its eschatological completion.
The council met in four sessions: October 11 to Decem-
The inner transformation of the church corresponded
ber 8, 1962; September 29 to December 2, 1963; September
to a new orientation in the relationship of the church to the
14 to November 21, 1964; and September 4 to December
world. Integralism, the world viewed simply as material for
8, 1965. Ten public sessions and 168 general assembly meet-
the activity and self-preservation of the church, and esoteri-
ings were held.
cism, the world as irrelevant for salvation, prompting flight
from it, needed new alternatives. Here especially the theolo-
From the time of its proclamation, the council was in-
gy of earthly realities (Gustave Thils), the theology of the
tended to have a double goal: reform within the church and
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9535
preparation for Christian and world unity. But already in the
itself. Although the selected topics, reflected in the sixteen
opening address this goal was expanded and deepened. The
documents accepted by the council, may appear to be hap-
council was given the task of proclaiming the entire Chris-
hazard, these four constitutions, nine decrees, and three dec-
tian truth “through a new effort” whereby it was of great con-
larations do form a unified network that makes the council
sequence to distinguish between the truths and the “way in
a council about the church.
which they are proclaimed.” Aggiornamento (Ital., “coming
The subjects treated in the documents produced by the
together”) was to demonstrate the credibility of the church,
council can be summarized briefly. The basic self-
and the church’s relationship to non-Christians was to be im-
understanding of the church is addressed in the Dogmatic
proved.
Constitution on the Church. The inner life of the church is
In the first session, which included the first thirty-six
discussed in various documents: the work of salvation
general assemblies, the commission members were not cho-
through liturgy (the Constitution on the Sacred Liturgy); the
sen according to the prepared list but rather, at the sugges-
church’s function of oversight (the Decree on the Bishops’
tion of Cardinal Achille Liénart (Lille), according to recom-
Pastoral Office in the Church and the Decree on Eastern
mendations of the different groups of bishops. John XXIII
Catholic Churches); the teaching office (the Dogmatic Con-
died on June 3, 1963. His successor, Paul VI, continued the
stitution on Divine Revelation, including discussions of
council. At the reopening of the second session (general as-
scripture, tradition, and teaching office, and the Declaration
semblies 37–89) on September 29, 1963, Paul VI empha-
on Christian Education); and vocations (the Decree on the
sized the pastoral orientation of the council. It was to deal
Ministry and Life of Priests, the Decree on Priestly Forma-
with the nature of the church and the function of the bish-
tion, the Decree on the Appropriate Renewal of the Religious
ops, to make efforts toward the unity of Christians, and to
Life, and the Decree on the Apostolate of the Laity). The
set in motion a dialogue with the contemporary world. From
mission of the church to the world is likewise elaborated on
the presidency, which had been expanded to twelve mem-
in several documents: the church’s relationship to non-
bers, four moderates were named (Cardinals G. P. Agagiani-
Catholic Christianity (the Decree on Ecumenism and the
an, Julius Döpfner, Jacobus Lercaro, and L. J. Suenens), who
Decree on Eastern Catholic Churches); its relationship to
were alternately to direct the general assembly. The protocols
non-Christians (the Declaration on the Relationship of the
were contracted to seventeen, and a press bureau was set up.
Church to non-Christian Religions, which makes special ref-
In the third session (general assemblies 90–127), the pope,
erence to the Jews, and the Decree on the Church’s Mission-
by way of the theological commission, had the so-called nota
ary Activity); its relationship to the contemporary secular sit-
explicativa praevia (“previous explanatory note”) included in
uation of the world in general (the Pastoral Constitution on
the Constitution on the Church as an authoritative explana-
the Church in the Modern World and the Decree on the In-
tion of the chapter on the collegiality of pope and bishops
struments of Social Communications); and its relationship
in their responsibility for the whole church. The decisions
to the philosophical pluralism of the present age (especially
of the First Vatican Council were thereby once again main-
in the Declaration on Religious Freedom).
tained. At the opening of the fourth session (general assem-
The council’s understanding of the church. The
blies 128–168), Paul VI announced the establishment of a
church is the subject not only of the Dogmatic Constitution
synod of bishops to be convened regularly. This was to em-
on the Church (Lumen gentium) but also of all the other doc-
phasize the idea of collegiality between the pope, the bishop
uments. The Second Vatican Council, in contrast to Trent
of Rome, and the other bishops. All the decisions of the
and to Vatican I, was oriented neither toward dogma nor to-
council were confirmed and proclaimed in public session.
ward theological controversy; rather it was pastorally ori-
Paul VI solemnly closed the council on December 8, 1965.
ented in that it set forth the meaning of the church, its mes-
The task of carrying out the decisions of the council was as-
sage, and its missions for the world and for humanity. The
signed to the appropriate commissions. The Secretariat for
church, it declared, wishes to encounter humanity through
Christian Unity continued in existence, and two new bodies
acceptance and solidarity, through dialogue and cooperation.
were set up: a secretariat for relations with non-Christian re-
ligions and one for relations with unbelievers.
In Lumen gentium the council set aside juridical and
controversial questions and defined the church first as a mys-
The Second Vatican Council was a council of the
tery, as a sacrament of unity between God and human beings
church about the church. In order to protect its freedom,
and among human beings themselves. It presented the mys-
John XXIII specifically avoided formulating a systematic
tery of the church in the perspective of salvation history as
plan of discussion. The council was to be pastorally oriented
people of God, body of Christ, and temple of the Spirit, and
so that the church could ask itself all the questions about the
it articulated the mission of the church for faith and for ser-
contemporary situation that were being asked within it and
vice in word and sacrament. It made the designation of the
in the world. Beyond that, however, nothing was really pre-
church as people of God its central statement and thereby
scribed. That fact is demonstrated by the seventy preconciliar
set aside a one-sided hierarchical understanding of the
proposals for future council decrees, which had to do with
church. It emphasized the pilgrim character and historicity
almost everything with which the church could at all concern
of the church as well as its instrumental quality and its non-
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identity with the kingdom of God. The ministry of the
languages there will develop, in a necessary and irreversible
church was characterized as gift and service. The council, in
process, a diversity of liturgies. The relationship between
full support of Vatican I, dealt extensively with the college
sameness and diversity of the regional liturgies cannot be cer-
of bishops. It accentuated the principles of collegiality and
tainly and precisely predicted. In the long run, the liturgy of
synod as structural elements of the church and the meaning
the universal church will not be a mere translation of the lit-
of the local church as representative of the whole church.
urgy of the Roman church but rather a liturgy formed from
With reference to the priesthood of all believers, the council
the unity in diversity of regional liturgies in which each has
stressed the dignity, role, and responsibility of the laity as
its own unique form that does not result from its language
well as the presence of the church in the world, which is often
only but also from other cultural factors such as gesture and
possible only through the laity.
dance. If the essence of the church, and thereby the essence
Concerning the question of the identification of the
and character of a local church, derives essentially from the
Roman Catholic church with the church of Jesus Christ, the
liturgy, which is one of its highest actualizations, then a truly
exclusive est (“is”) was replaced by the more open subsistit
independent local church is formed. Such a church is more
(“subsists,” Lumen gentium 8). The council characterized the
than an administrative district of a uniform, centrally orga-
church’s relationship to the other churches and Christian
nized state.
confessions not through the instrumental definition of union
Relationship to the world. In several decrees, to which
with Rome but through the living realities in these commu-
belong primarily the Pastoral Constitution on the Church
nities that are constitutive of church. These realities make it
in the World (Gaudium et spes) and the Decree on Religious
legitimate, and also necessary, to address and recognize other
Freedom, the council attempted to describe its fundamental
churches as means of salvation. The relationship of these
relationship to the secular world on the basis of its nature and
churches to the Roman church is defined by the formula
not simply by the force of external circumstances. The coun-
“coniunctum esse” (“to be joined together”). This union is
cil spoke about the renunciation of external means of force
rooted in baptism, faith in God and Christ, and in other sac-
in matters of religion, the dignity even of an errant con-
ramental and spiritual realities. The call to Christian unity
science, and the building of a legitimate secular world that
is understood not merely as a summons to the others but as
was not to be judged by ecclesial standards alone. These may
an appeal to the church itself, a call for its own constant con-
seem like statements forced upon the church against its most
version. According to Vatican II, therefore, the unity of the
inner sensibilities by a secularized world rather than as objec-
church is not to be sought by imposing uniformity, that is,
tive expressions of the reality of Christianity itself. One must
by an all-defining centralization, but in a legitimate plurality
consider, however, that the church, even where it has or
that strengthens unity and does not endanger it.
could have greater power in the secular realm, must support
A council of the world church. The council seemed to
the renunciation of that power, as the council stated, because
be the first act in which the Catholic church began to realize
this is required of the church by virtue of its own nature (al-
itself as a truly worldwide community, but this does not dis-
though in its history it has all too often disregarded this re-
pute the importance of preceding events. In the nineteenth
quirement). The temptation for the church to reassert a false
and twentieth centuries, the church slowly and tentatively
superiority over the world continues to exist, but since the
developed from a potential world church to an actual world
decisions of Vatican II the church in principle can no longer
church, from a European, Western church with European
yield to this temptation, because the council formulated an
settlements around the world, to a universal church present
irrevocable norm. No longer, since the decrees of the council,
in the whole world, even if in very differing degrees of inten-
can the limitation of freedom in the name of goodness and
sity, and no longer seen in terms of European-North Ameri-
justice be so easily rationalized by the church. For the sake
can affiliates. Throughout the world the church was develop-
of the common good, as the council says, there will always
ing a native clergy that was conscious of its independence
be force and power in the world. But with Vatican II the
and responsibility for itself. This world church acted for the
church renounced a share of that power, which it had previ-
first time at the council with historical clarity concerning
ously claimed without inhibitions whenever it could. A bor-
faith and morals. In spite of the undeniably powerful pres-
der over which it was no longer possible to return, not even
ence and influence of the European and North American re-
in small matters, had thus been crossed.
gional churches, the members of this council, in contrast to
Theology of the council. The theological situation in
all previous councils, were bishops from the whole world and
which the council found itself was transitional and difficult
not simply, as at Vatican I, European missionary bishops sent
to define. On the one hand, neoscholastic theology was self-
out to the whole world.
evident; it was the dominant theological position represented
The council was also the cause of the abolition of Latin
in the proposals that had been prepared for the council by
as the common cultic language. There will always be an ulti-
Roman commissions. Linked inextricably with the Latin lan-
mate liturgical unity among the regional liturgies because of
guage, this neoscholastic theology used the New Testament
the unity of the church and the sameness in theological es-
in the old style as a collection of proofs (dicta probantia). On
sence of the Christian cult, but from the diversity of cultic
the other hand, the theology of the council was more critical-
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9537
ly related to scripture than was neoscholasticism. It had
others. This legacy, which is theologically self-evident and
opened itself to subject matter that did not originate in the
was always present, can give the impression that nothing has
repertory of neoscholasticism. It exercised a certain braking
actually changed in the relationship between the church and
effect against theological excess (for example, in Mariology).
the rest of humanity. But the Catholic theologian, in con-
It made an effort to be considerate of ecumenical needs. It
trast to an all too naive nontheologian, cannot understand
also held that one could say something theologically impor-
the new closeness and the positive relationship of the Chris-
tant even if one did not proclaim it solemnly as dogma. The
tian confessions among themselves and the relationship of
theology of the council was, then, a theology of transition.
Christianity with the non-Christian religions as if serious dif-
The question still remains whether, how, and how quickly
ferences, divisions, or tasks for unification do not exist. The
this theology will be further developed now that it has re-
Catholic theologian does not understand the Catholic
ceived a certain official legitimation by the council. Although
church to be only a particular form of historical coincidence,
impulses from the conciliar theology can be felt in the work
which religious history or church history has produced
of the Sacred Congregation of the Doctrine of the Faith since
among many other equally valid forms.
the close of the council, that office remains too neoscholastic
Christianity has always been convinced that there is a
in its anxious defense against certain modern theological ef-
true history of revelation and faith in which the same thing
forts and too fearful and not creative enough about the ques-
does not just happen again and again but in which new and
tions that engage contemporary theology.
radical changes occur. Naturally, with the event of Jesus
Roman theology will not be able to lead the theology
Christ there occurred an unsurpassable summit and irrevers-
of the whole church back over the border crossed at the
ible stage of revelation history that should not be hidden or
council. On the contrary, theology will almost of necessity
trivialized. Nonetheless, the council initiated a point of view
become a world theology, in accord with the council. That
that it ratified as truly Christian, namely, that Catholic
is, it will no longer exist in the non-European and non-
Christianity had assumed a different and new position rela-
North American countries simply as a Western expression.
tive to other Christians and their churches and relative to the
Latin America and sub-Saharan Africa have already an-
non-Christian religions of the world.
nounced a claim to a theology of their own. Liberation theol-
The crucial point in this ecumenical change of attitude,
ogy does not have to remain the only watchword for such
in the broadest sense, is that the extent and radicality of this
an independent Latin American theology. Perhaps East Asia
change is hidden and rendered innocuous in our ordinary
will also soon develop a theology of its own in a creative dia-
consciousness by a modern liberal and relativistic mentality
logue with its own culture and history. These theologies will
that assumes a priori that such a new ecumenical openness
have to concern themselves with the questions that are fore-
and readiness to learn is banal and self-evident. It should not
most in the respective cultural arenas and are not the same
be denied that this modern liberal mentality was part of the
everywhere. The undeniable diversity that emerges from this
climate in which the new ecumenical consciousness could
process will help shape and determine the character of the
grow for the first time. But this consciousness also and espe-
whole of theology. European and North American theology
cially grew out of a genuinely Christian root; it is in itself
can actually contribute to the development of non-Western
Christian. It definitively leaves behind an older mentality
theologies, in spite of the hoped-for independence of the rest
that had been operative for a millennium and a half; more-
of the world, because the West, with its Enlightenment and
over, it remains obligatory for the history of the church, like
technological rationality, is becoming in increasing measure
other great decisive moments of faith history.
a partner in the fate of the rest of the world practically and
theologically.
Without denying the seeds of the future in the past, it
is necessary to maintain that before the council the Catholic
Change in ecumenical attitude. The council signified
church considered the non-Roman Catholic churches and
a break in the history of the relationship of the Catholic
communities to be organizations and societies of people who
church both with other Christian churches and communities
differed with the old church only through errors and defi-
and with the non-Christian religions of the world. Naturally
ciencies and who ought to return to it in order to find in it
there were always contained in the faith consciousness of the
the full truth and fullness of Christianity. From the point of
church convictions that in principle legitimized the newly
view of the old attitude, the non-Christian religions were all
emerging relationship of the Catholic church with other
forms of paganism, that is, religion that human beings, sin-
Christian churches and communities and the non-Christian
fully and without grace, produced on their own. (This was
religions. But in the past these convictions had no effective
also the opinion of Martin Luther and Karl Barth.) It was
impact. The theological grounds that legitimized this new
not at all explicit in the actual consciousness of the church
breakthrough were already present in the past: the conviction
that the non-Catholic churches could bring with them in an
of God’s will for universal salvation in Christ and the doc-
ecumenical accord a positive legacy of Christian history into
trines of the possibility of justification without sacraments,
the one church of the future, or that the non-Christian reli-
of the implicit desire to belong to the church, and of the va-
gions could exercise in their institutionality a positive salvific
lidity of baptism even outside the Catholic church, among
function for non-Christian humanity. Those views were
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changed by Vatican II, and since then a position of accep-
ation. It is likewise true that before the council the church
tance can no longer be excluded, because it is understood not
already taught belief in a universal salvific will. But this pre-
as an aspect of the liberal modern mentality but rather as an
conciliar teaching was thought of very abstractly and was
integral element of Christian conviction.
equipped with not a few “ifs” and “buts” that could no lon-
ger be maintained after the council. The council courageous-
Universal optimism about salvation. Given the multi-
ly postulated a real revelation and therefore a real possibility
faceted nature of Augustine’s theology, the following charac-
of faith where the Christian proclamation does not yet reach.
terization may not do him justice in every respect. One may
It did not even consider a profession of atheism to be un-
also not ignore the fact that the history of the church’s faith
equivocal proof of the hopelessness of salvation, which cer-
consciousness has progressed by many small steps from Au-
tainly did not agree with the traditional doctrine previous to
gustine to the present. But if one considers these limitations
the council. With its rejection of a theoretical doctrine of uni-
and that many historical causes have functioned as catalysts
versal salvation, the church, in the council and in its practical
in the above-mentioned change of faith consciousness of the
attitude, proceeded from the principle that the grace of God
church, one can still say that Augustine inaugurated and gave
is offered to a person’s free choice and that in this freedom
to Christianity a consideration of world history in which, be-
it is also universally effective. This attitude has naturally had
cause of the incomprehensibility of God’s providence, world
a long developmental history. In Vatican II, however, it be-
history remained the history of the damned, of whom in the
came clear and irreversible because such a hope can certainly
end only a few were saved through a rarely given grace of
grow, but it cannot actually any longer diminish.
election. The world was dark for Augustine and only dimly
illumined by the light of God’s grace, the gratuitousness of
The world church made its appearance as such in the
which was manifested in its rarity. Even if Augustine knew
council, and it says to the world, at once incomprehensibly
that there were many in the church who seemed to be outside
and self-evidently, that in all the abysses of its history and
it, and vice versa, the circle of those who are to be saved was
all the darkness of its future this world is surrounded by God
nearly the same as the group of those who believed explicitly
and God’s will. In boundless love this God is self-
in a Christian and ecclesiastical way. The rest, because of an
communicated to the world as its ground, power, and goal.
incomprehensibly just judgment of God, were among the
Out of such love, God assures the effectiveness of this offer
damned of humanity. On the whole, hell was the future of
to the freedom of history. In the council the church became
world history.
new because it became a world church. As such, it proclaims
to the world a message that, although it certainly has always
Augustine’s pessimism about salvation was slowly re-
been the heart of the message of Jesus, is proclaimed today
constructed and transformed in the theoretical and existen-
more unconditionally and more courageously than before—
tial consciousness of the church by an extremely painstaking
and thus it is new. In both respects, in the proclaimer
process. The emerging optimism about salvation, consisting
and in the message, something new has happened that is irre-
of insights acquired one by one, was viewed as limited only
versible.
by the bad will of the individual, and even then it was hoped
that the power of grace would once again transform this mal-
SEE ALSO Roman Catholicism; Trent, Council of.
ice into free love for God. Until the council, however, the
church had not yet actually ratified and taught these insights
BIBLIOGRAPHY
with dogmatic finality. It did teach, however, that even those
The best complete presentations of the course of the council are
who are convinced atheists are connected with the Easter
given by Hanno Helbling in Das Zweite Vatikanische Konzil
mystery of Christ as long as they follow their consciences;
(Basel, 1966), Hubert Jedin in Kleine Konziliengeschichte
moreover, all human beings who know God in some way are
(Freiburg, 1978), and René Laurentin in Bilan du Concile:
in touch with God’s revelation and can, in the theological
Histoire, textes, commentaires (Paris, 1966). The best intro-
sense of a saving act, believe. The church through Vatican
duction to the topical problems is given in Joseph Ratzinger’s
Die erste Sitzungsperiode des Zweiten Vatikanischen Konzils:
II declared that even those who search in shadows and images
Ein Rückblick (Cologne, 1963), Das Konzil auf dem Weg:
for the unknown God are not far from the true God who
Rückblick auf die zweite Sitzungsperiode (Cologne, 1964), Er-
wills that all human beings be saved if only they make an ef-
gebnisse und Probleme der dritten Konzilsperiode (Cologne,
fort to lead a righteous life. It was emphasized by the council
1965), and Die letzte Sitzungs-periode des Konzils (Cologne,
that the church is not so much a society for those who are
1966). A comprehensive chronicle of the council is provided
saved but the primary sacramental symbol and germination
in Il Concilio Vaticano II, 5 vols. (Rome, 1966–1969). An
cell of salvation for the whole world.
English-language chronicle can be found in Council Day-
book, 3 vols., edited by Floyd Anderson (Washington, D. C.,
One could say that the council’s optimism about uni-
1965–1966).
versal salvation remained hypothetical, that salvation could
Texts, minutes, and concordances concerning the proceedings can
fail for individuals through unrepented guilt, and that, hypo-
be found in Acta et documenta Concilio oecumenico Vaticano
thetically, such optimism was the normal teaching of the
II apparando, “Series Antepraeparatoria,” 5 vols. (Vatican
church even before the council. It is true that the church,
City, 1960–1961), and “Series Praeparatoria,” 3 vols. (Vati-
even after the council, does not proclaim universal reconcili-
can City, 1964–1969); The Documents of Vatican II in a New
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VATICAN COUNCILS: VATICAN II [FURTHER CONSIDERATIONS]
9539
and Definitive Translation, edited by Walter M. Abbott
to a fuller self-appropriation, than it is an object to be pos-
(New York, 1966); Commentary on the Documents of Vatican
sessed.
II, 3 vols., edited by Herbert Vorgrimler (New York, 1967–
1969); and Acta synodalia Concilii oecumenici Vaticani II
This understanding of human history and culture pro-
(Vatican City, 1970–1978). Concordances of the council
foundly influenced the documents of Vatican II and the the-
texts can be found in Indices verborum et locutionum decre-
ology developed from these documents. Pius XII’s landmark
torum Concilii Vaticanii II (Florence, 1968–). An outstand-
encyclical Divine Afflante Spiritu (1943) marked the begin-
ing council bibliography can be found in the Archivum Hi-
ning of a new era in Catholic biblical studies, one marked
storiae Pontificiae (Rome, 1963–).
by an acknowledgement of the historicity of sacred texts.
KARL RAHNER (1987)
However, not until after Vatican II and the promulgation of
ADOLF DARLAP (1987)
Dei Verbum (1965) were nonscholars introduced to new
Translated from German by Charlotte Prather
ways of appropriating the Scriptures and modern biblical
scholarship found its way into seminaries. Consequently
whole areas of doctrine, such as original sin, which had been
based on a literal understanding of Scripture, had to be re-
VATICAN COUNCILS: VATICAN II [FURTHER
thought.
CONSIDERATIONS]
Until Vatican II (1962–1965) pronouncements of the Cath-
Besides applying the concept of historicity to Scripture,
olic Church were deduced from objective truths expressed in
theologians applied it to theology. Whereas most theologians
essentialist, ahistorical language. In contrast, the sixteen doc-
would agree that truth may be unchanging, they would also
uments of the Twentieth Ecumenical Council are marked by
stipulate that it is expressed in historically conditioned cate-
a sense of historicity. Analogously, before Vatican II, author-
gories and that, as history and culture change and develop,
ity in the church was exercised in a monarchical manner. In
so do doctrines. This profoundly affected the study of Chris-
the documents of Vatican II, collegiality and subsidiarity be-
tology. As Elizabeth Johnson has pointed out, the emphasis
came hallmarks of authentic authority.
on the historicity of Jesus, coupled with the fifteenth cente-
THE METHODOLOGICAL SHIFT. Neither the implications of
nary anniversary of the Council of Chalcedon (451 CE),
historicity for morality and doctrine nor a more inclusive un-
opened a whole new corpus of reflections on the humanity
derstanding of the exercise of authority have run a smooth
of Jesus and its relation to divinity. If Jesus was historically
course since the close of the council. Nothing, however, that
conditioned, so were his life choices and teachings and so was
has transpired during that time remains unaffected by these
the founding of the church.
two characteristics that permeated the council’s delibera-
Once historicity has been accepted as a category or lens
tions. Indeed one’s attitude toward the work of the council
through which one looks at the dogmas of faith, the entire
is most frequently dictated by one’s acceptance or nonaccep-
symbol system is open to reinterpretation. The hierarchy—
tance of the paradigm shift in ecclesial self-understanding oc-
those entrusted with the authentic passing on of the faith—
casioned by the twin concepts of historicity and shared au-
often equates historicity with the danger of relativism. As
thority. Further, developments in liturgical practice, more
philosophers and theologians have pointed out, historicity is
than in any other area, illustrate the interplay of historicity
not antithetical to truth, nor does it necessarily result in rela-
and authority.
tivism. The relation between historicity and relativism re-
HISTORICITY. Common to modern philosophers of history
mains, however, a principal focus of magisterial concern.
and cultural anthropologists is the understanding that hu-
mans are shaped by the empirical, particular circumstances
Of special concern to the hierarchy is the preservation
of their lives. Within these circumstances a set of meanings
of the teachings that Jesus is the universal savior of human-
and values emerges that develops into particular cultures,
kind and that Christianity is not simply one great religion
which, because of their particularity, cannot claim absolute
among others. The Vatican II document on the church,
universality for their values. Cultures generate horizons in
Lumen Gentium (1964), spoke to both issues. Concerning
which participants of that culture live, think, ask questions
the latter, it invited a renewed discussion of interfaith dia-
and receive answers, seek meaning, perceive value, and create
logue with its striking but somewhat ambiguous statement
symbol systems. However, these cultures are not static. Due
that truth subsisted (subsistit) in the Catholic Church while
to various influences, they change and develop. Some would
inviting the faithful to discover the truth in other religions.
say cultures are open-ended and that the ever-receding hori-
Pontiff John Paul II, following in the footsteps of John
zon is God—a horizon, however, never reached. The Jesuit
XXIII, has been particularly open to Christian-Jewish rela-
theologians Karl Rahner (1904–1984) and Bernard Loner-
tions. He has, however, at the same time been extremely cau-
gan (1904–1984) worked with this notion of horizon. If one
tious in accepting any account of the salvific quality of reli-
adopts this position, one can speak of absolute truth only
gions, which would, in his opinion, relativize the absolute
within a certain horizon. Human beings can know truth but
role of Christ. Various of his writings have addressed this
never completely possess it. Indeed within this understand-
issue. Notable among them are Redemptor Homines (1979)
ing truth is more a lure, urging individuals and communities
and Ecclesia Asia (1999), which was a response to the Synod
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9540
VATICAN COUNCILS: VATICAN II [FURTHER CONSIDERATIONS]
of Asian Bishops and their attempt to enter into dialogue
This use of Marxist economic categories raised the suspicions
with indigenous and world religions in their respective areas.
of ecclesial authorities. Although warnings were issued, liber-
ation theology was never condemned by John Paul II. Born
AUTHORITY. It is perhaps in the area of authority that the
on Latin soil and addressing issues of the materially op-
church reveals its deepest frustration. This is not unexpected
pressed, liberation theology also gave impetus to the libera-
and perhaps unavoidable. Although the council enunciated
tion movements of women, African Americans, and other
the principals of collegiality and subsidiarity, it retained as
marginalized groups. The fundamental option for the poor
fundamental its hierarchical structure. For example, Lumen
voiced by these liberation theologians has remained the motif
Gentium (21–23) specified that bishops receive their authori-
of those movements throughout the world that strive for so-
ty from Christ, not from the pope, and that the universal
cial justice.
church results from the union of local churches. It further
stated that the pope and bishops form a college of discourse.
LITURGY. Modifications in liturgical rites, especially the Eu-
Yet bishops may not exercise their authority without the ap-
charist, are the most notable results of the council and have
probation of the pope, but there is no imperative that the
affected the laity more than most other outcomes of the
pope consult the bishops. This situation represents a clash
council. The changes in the liturgy also illustrate the ancient
of concepts regarding the exercise of authority. What was in-
maxim, Lex orandi, lex credendi (as the church prays, so the
tended as a complement to Vatican I’s promulgation of papal
church believes). Most conspicuous of these transformations
infallibility remains a source of frustration because of its con-
are the celebration of Mass in the vernacular, the change
ceptual ambiguity.
from the celebrant facing the altar to facing the people, re-
ceiving the sacred host in one’s hand rather than on the
Subsidiarity, the principal that decisions and actions
tongue, receiving the consecrated wine, and the incorpora-
should occur at the lowest possible level of authority and
tion of the laity into the ritual, including the introduction
competence, is vexed by the same concern. The fathers of the
of lay lectors and lay ministers of the Eucharist into the cele-
council clearly had in mind a new model of leadership, but
bration.
their trust that the ambiguities resulting from the docu-
ment’s conflicting models of authority would be resolved in
These changes bespeak a new ecclesiology that stresses
the life of the church was overly optimistic.
the communion that exists among the members of the
church and the fact that the priest leads the congregation
Symbolic of this and bringing together the various issues
rather than acts as a mediator between God and the assem-
relative to authority is the 1968 encyclical of Paul VI, Hu-
bly. These modifications also lessen the mystique that previ-
manae Vitae. In this encyclical Paul VI restated the tradition-
ously surrounded the celebrant as well as the emphasis on the
al prohibition of artificial birth control although the majority
distinction between the ordained and the laity. The architec-
of members of a panel of experts constituted by him, consist-
ture that characterized most churches constructed in the first
ing of scientists and theologians, clergy and laity, advised
few years after the council also emphasized these ecclesiologi-
him to do otherwise. This event marked a crisis of papal au-
cal changes. Many of these were churches in the round, with
thority because many laity and moral theologians dissented
the pews surrounding the altar. Except for statues of Mary
from this teaching, something nearly unthinkable before
and Joseph and perhaps the patron saint of the community,
Vatican II. To stem the increasing occurrences of dissent on
there was an absence of statues. This was to emphasize the
this and other issues, the Vatican commissioned The Cate-
centrality of Christ and direct the congregation’s attention
chism of the Catholic Church, which was published in 1994.
to the celebration of his mysteries in the Eucharistic obser-
This publication offers the official teaching of the Catholic
vance. Consequent on this new emphasis, there was a great
Church in all areas of faith and morals.
reduction in the number of private devotions such as nove-
Christus Dominus (1965), The Decree on the Pastoral Of-
nas and the public recitation of the rosary.
fice in the Church, provided for regional synods of bishops
It is in regard to the liturgy that the magisterium exer-
to address particular questions of their cultures and jurisdic-
cises the most caution and control. As lay persons become
tions. In 1968 the bishops of Latin America met in Medellín,
more involved in ministry, at times out of necessity, the Vati-
Colombia, and from this meeting liberation theology was
can has found it necessary to institute regulations that em-
born. This must be ranked among the most far-reaching ef-
phasize the difference in kind between clergy and laity. Any
fects of the council. Liberation theology is based on the
modifications initiated by the local church, including the use
premise that the appropriation of the gospel’s message of the
of inclusive language, must be approved by Rome, and that
Kingdom of God implies the responsibility of the church, ac-
approval is difficult to obtain. Rahner had great hope that
tualized in local communities, to seek not only the spiritual
the Roman Church would finally become a world church.
but also the material welfare of its members.
This, he said, would involve not only the celebration of the
Liberation theology recognized too the systemic nature
liturgy in the vernacular but the liturgy’s being celebrated in
of sin and advocated a more just distribution of the world’s
the cultural idiom of a particular people. The Roman
goods. Often a Marxist economical analysis (although not a
Church insists on the translation of the Roman liturgy into
Marxist ideology) was applied to an oppressive situation.
the vernacular. In the spirit of Rahner, one must ask if one
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VATICAN COUNCILS: VATICAN II [FURTHER CONSIDERATIONS]
9541
must put on the mind-set of a white European male to em-
believe remains to be done in the church’s reception of
brace Catholicism.
Vatican II.
Lumen Gentium declared that all persons were called to
Dupuis, Jacques. Jesus Christ at the Encounter of World Religions.
the perfection of love. For the first time in centuries the voca-
Translated by Robert R. Barr. New York, 1991. The author
explores the position of Jesus Christ in view of the claims of
tions of married couples and single men and women were
other world religions.
regarded as having the same potential for holiness as those
called to priesthood and religious life. A perhaps unforeseen
Dupuis, Jacques. Toward a Christian Theology of Religious Plural-
ism. Maryknoll, N.Y., 1997. A groundbreaking work that
consequence partially accounted for by this teaching was a
considers other world religions in their own right without
vast exodus of men and women from consecrated life. Cou-
comparison to Christianity.
pled with a great decrease in the numbers of those embracing
Fiorenza, Elisabeth Schüssler. In Memory of Her: A Feminist Theo-
such a life, the church is facing a dilemma in how to provide
logical Reconstruction of Christian Origins. New York, 1983.
the Eucharist for the faithful. Paul VI in his declaration Inter
This is a masterful study of New Testament scholarship
Insigniores (1976) declared that women could not be admit-
based on principles of feminist interpretation.
ted to ministerial priesthood. This position has been even
Flannery, Austin, O.P., ed. Vatican Council II. Rev. ed. New
more forcefully stated by John Paul II. Both Paul VI and
York, 1992. An authorized translation of the sixteen docu-
John Paul II have restated the dedication of the Roman
ments of Vatican II and selected postconciliar writings. Each
Church to the discipline of mandatory celibacy. This issue
entry has a summary introduction.
of who may preside at the Eucharist remains a central point
Gutierrez, Gustavo. A Theology of Liberation: History, Politics, and
of contention among the magisterium, theologians, and
Salvation. Translated and edited by Sister Caridad Inda and
laity, especially as the number of priests continues to decline.
John Eagleson. New York, 1973. Gutierrez is considered the
The same may be said for the issue of optional celibacy. Per-
father of liberation theology. This book is an exposition of
haps the questions of ordination and celibacy, more than
the basic premises of that theology.
many others, illustrate the crisis resulting from the clash of
Guzie, Tad. Jesus and the Eucharist. New York, 1974. The book
cognitive viewpoints and the tension that sometimes charac-
is a careful study of the Catholic doctrine of the real presence
terizes the relationships among the pope, theologians, and
using nonscholastic philosophical and theological principles.
laity since Vatican Council II.
Guzie, Tad. The Book of Sacramental Basics. New York, 1981. A
clear and accessible account of the symbolic nature of sacra-
SEE ALSO Liberation Theology; Lonergan, Bernard; Priest-
mentality as well as an exposition of individual sacraments.
hood, overview article; Rahner, Karl; Roman Catholicism.
Johnson, Elizabeth. Consider Jesus. New York, 1990. The book
constitutes a series of essays that emphasize the humanity of
BIBLIOGRAPHY
Jesus and Jesus as liberator.
Baum, Gregory. Man Becoming: God in Secular Language. New
Johnson, Elizabeth. She Who Is: The Mystery of God in Feminist
York, 1970. Based largely on the philosophy of Maurice
Theological Discourse. New York, 1992. Based on significant
Blondel (1861–1949), the book shifts Christian doctrine
research and firmly rooted in the tradition of Christianity,
from a propositional method to a method incorporating his-
Johnson’s work recasts the mystery of the Trinity in feminist
torical consciousness.
concepts.
Brown, Raymond E. The Critical Meaning of the Bible. New York,
Lonergan, Bernard J. F. Method in Theology. New York, 1972. A
1981. One of the foremost Catholic biblical scholars inter-
systematic work that bases theological method on an empiri-
prets the Bible using modern biblical scholarship.
cal cognitive theory of intentionality analysis.
Brown, Raymond E., Joseph S. Fitzmyer, and Roland E. Murphy,
Lonergan, Bernard J. F. A Second Collection. Philadelphia, 1975.
eds. The New Jerome Biblical Commentary. Collegeville,
A collection of essays that treats various questions from the
Minn., 1992. Using modern biblical scholarship, this book
viewpoint of historical consciousness.
includes commentaries on every book in the Bible. Included
Rahner, Karl. Foundations of Christian Faith: An Introduction to
also are scholarly articles on various areas of biblical studies,
the Idea of Christianity. Translated by William V. Dych. New
such as the various forms of criticism.
York, 1978. This is a comprehensive and systematic overview
Burns, Robert A., O.P. Roman Catholicism after Vatican II. Wash-
of Christian faith.
ington, D.C., 2001. The author gives a balanced view of the
Rahner, Karl. Concern for the Church, vol. 20 of Theological Inves-
thinking about various questions, such as women’s issues, or-
tigations. Translated by Edward Quinn. New York, 1981.
dination, Christology, and Catholicism and world religions.
This work is among the more accessible of Rahner’s works.
Catechism of the Catholic Church. A Translation of Catechismus
Rahner’s vision of the post–Vatican II church is drawn out
Ecclesiae Catholicae. New Jersey, 1994. This is the officially
in a series of essays.
sanctioned catechism of the Catholic Church. It includes
Schillebeeckx, Edward. Christ: The Sacrament of the Encounter
short essays on doctrine and morality. The method is un-
with God. Translated by Paul Barret. New York, 1963. A
even, at times employing contemporary categories of scholar-
landmark work on the sacramentality of the humanity of
ship and at other times using premodern categories.
Christ.
Cernera, Anthony J., ed. Vatican II: The Continuing Agenda. Fair-
Schillebeeckx, Edward. Ministry: Leadership in the Community of
field, Conn., 1997. Various experts outline the work they
Jesus Christ. Translated by Paul Bowden. New York, 1981.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9542
VEDA¯N
˙ GAS
A study of ministry in the early church from a historical-
mance. In this sense it can be said that all the earliest sciences
critical perspective.
of ancient India spring from ritual (and not, as in ancient
Segovia, Fernando. Decolonizing Biblical Studies. New York,
Greece, for example, from mathematics). The Kalpasu¯tras
2001.
are directly concerned with the rules for the correct perfor-
Theobald, Christoph, and Dietmar Mieth, eds. Unanswered Ques-
mance of the ritual acts. Grammar, phonology, prosody, and
tions. Maryknoll, N.Y., 1999. This volume of concilium dis-
etymology originated in order to ensure the proper and exact
cusses areas opened by Vatican II, such as sexuality, interfaith
preservation and recitation of the Vedic mantras (inherently
dialogue, and images of God, that remain in the state of de-
powerful verbal spells) that were an essential part of the per-
velopment.
formance of the ritual. And the science of jyotis:a came into
N
being to guarantee precision in the calculations for accurately
ANCY C. RING (2005)
timing the occurrences of the various rituals.
The Veda¯n˙gas, then, are “limbs” of the Vedas in that
they help one correctly preserve, understand, and apply the
VEDA¯N
˙ GAS. Veda¯n˙gas (Sanskrit, “limbs of the Veda”)
material in those sacred texts. It is said in later texts that
are subjects supplementary and subsidiary to the Vedas, the
grammar is the mouth of the Vedas, etymology is its ears,
sacred texts of the pre-Hindu religion of ancient India.
ritual procedure is its hands, phonetics is its nose, prosody
While the earliest sections of the Vedas date back to at least
its feet, and astronomy/astrology its eyes.
1000 BCE, and probably earlier, the first works classified as
Veda¯n˙ga were composed not before the sixth or seventh cen-
Of the six primary Veda¯n˙gas, phonetics or S´iks:a¯ (literal-
turies BCE, and the initial appearance of much of the classic
ly meaning “the study” or “teaching”) is usually listed first
literature of this genre is usually dated to no earlier than the
and is regarded as the most important. Because the Vedas
fifth and fourth centuries BCE.
were preserved and transmitted orally, rules for precise pro-
nunciation were crucial for maintaining the accuracy and in-
The Veda¯n˙gas are those subjects that were to be studied
tegrity of the texts. Phonetics emerged as the first branch of
in order to correctly understand the Vedas and perform the
linguistics, and its categories—sound, accent, quantity, articu-
rituals those texts enjoin. The texts categorized as Veda¯n˙gas
lation, recital, and connection—were fundamental for the
are in the form of technical treatises written in the extremely
subsequent development of linguistic studies. Important
condensed, aphoristic, and mnemonic style known as su¯tra
works on phonetics were composed by Pa¯n:ini, Na¯rada,
(literally “thread,” referring to the idea that each aphorism
Vya¯sa, and others.
is woven together with the others into a whole rather than
tied sequentially into a linear chain). Because of the brevity
Vya¯karan:a (“distinction,” “separation”) is so termed be-
and concision of their prose style, these works require further
cause grammar distinguishes roots, suffixes, and prefixes: it
explication on the part of a teacher or through written com-
is the science that analyzes the parts and structure of a word
mentary.
and the method for such divisions. It also explains how cor-
Although clearly appendages to the sacred Vedas, the
rect words and sentences are formed from basic elements so
Veda¯n˙gas were among the earliest texts to be categorized as
that the intended meaning is clearly expressed, and is there-
smr:ti, that is, “remembered” or traditional texts passed on
fore also a crucial science for both the preservation and the
from teacher to pupil and ultimately traceable back to a
understanding of the Vedas. Pa¯n:ini’s As:t:a¯dhya¯y¯ı (Eight chap-
human author. While thus differentiated from the absolutely
ters) is the foundational text on grammar, along with impor-
authoritative Vedas (which were classified as “revealed” or
tant commentaries by Ka¯tya¯yan¯ıputra (Ka¯tya¯yana) and
´sruti, and regarded as not being the product of human be-
Patan¯jali.
ings), the Veda¯n˙gas are nevertheless often treated as approxi-
Chandas, or prosody, is the Veda¯n˙ga that gives rules for
mating, if not fully equaling, the status of the Vedas them-
the various meters in which the Vedas are recited, and lays
selves. The Veda¯n˙gas are, as one scholar has said, “at the
out their classification and characteristics. The meters are di-
same time without and within the Veda.”
vided into fourteen types ranging from those with twenty-
The Vedas and Veda¯n˙gas depict a religion entirely con-
four letters (the ga¯yatr¯ı) to those with seventy-six. The word
cerned with the performance, meaning, and implications of
chandas is sometimes used a synonym for Vedic speech itself,
ritual and fire sacrifice. But as opposed to the often loosely
as opposed to common language (bha¯s:a¯).
structured hymns, myths, and speculative prose characteris-
According to tradition, there were originally some four-
tic of the Vedas per se, the Veda¯n˙gas are precise, rationally
teen works of etymology included in the Veda¯n˙ga designated
and systematically organized, and highly technical.
Nirukta. Only one of these survives. The sole extant repre-
The subjects covered in the six primary
sentative of the Veda¯n˙ga dealing with etymology is the
Veda¯n˙gas—ritual action (kalpa), grammar (vya¯karan:a), pho-
Nirukta by Ya¯ska (dated ca. 500 BCE), which is a commen-
nology or phonetics (´siks:a¯), prosody (chandas), etymology
tary on an older work (called the Nighantu) consisting of
(nirukta), and astrology and astronomy (jyotis:a)—all
lists, groupings, and synonyms of words from the R:gveda.
emerged out of necessities related to correct ritual perfor-
Ya¯ska provides etymologies for these words and explanations
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VEDA¯NTA
9543
of the stanzas from the R:gveda in which they occur. In the
Literature, vol. 1 (1907; reprint, Delhi, 1981), esp.
Nirukta, Ya¯ska says he composed his text to insure that the
pp. 249–270; Arthur A. Macdonnell, A History of Sanskrit
correct meaning of the Veda is preserved even as people’s
Literature (London, 1913); and Arthur Berriedale Keith, The
abilities decline the further removed they are from the time
Religion and Philosophy of the Veda and Upanishads (Cam-
of the original seers, who “heard” the Veda with direct intu-
bridge, Mass., 1925). For particular Veda¯n˙gas, consult (for
itive insight. Without the aid of etymology, Ya¯ska claims, the
the Kalpasu¯tras) Jan Gonda, The Ritual Su¯tras (Wiesbaden,
Germany, 1977); (for grammar, phonetics, and etymology),
meaning of the Veda cannot be properly determined.
Hartmut Scharfe, Grammatical Literature (Wiesbaden, Ger-
Vedic rituals were performed regularly at the various
many, 1977); and (for astronomy/astrology), David Pin-
“junctures” of time: sunrise and sunset, the advent of new
gree’s Jyotih´sa¯stra: Astral and Mathematical Literature (Wies-
and full moons, the turn of the seasons, and the beginning
baden, Germany, 1981).
of the new year. The ancient Indian science of astronomy de-
BRIAN K. SMITH (2005)
veloped out of the need for exact computations of the proper
times for performing those rituals. Additionally, works on
this subject also address what we would label astrology: the
casting of horoscopes and predictions made on the basis of
VEDA¯NTA. The word veda¯nta literally means “end
the location of the planets and stars, which helped the spe-
[anta] of the Veda,” that is to say, the concluding part of the
cialist adduce the most auspicious times for important
apaurus:eya, or revealed Vedic literature, which is traditional-
events.
ly believed to comprise the Sam:hita¯s, the Bra¯hman:as, the
A¯ran:yakas, and the Upanis:ads. Veda¯nta thus primarily de-
Finally, the Veda¯n˙ga called Kalpa (from the Sanskrit
notes the Upanis:ads and their teachings. Metaphorically,
root meaning “to prepare, design, arrange, or accomplish”)
Veda¯nta is also understood to represent the consummation
consists of the rules and procedures for the actual perfor-
or culmination (anta) of the entire Vedic speculation, or in-
mance of rituals. Kalpasu¯tras were produced by different rit-
deed of all knowledge (veda). The Hindu philosophical tradi-
ual schools attached to one or another of the Vedas and are
tion, however, generally recognizes three foundations
named after their mythical or semi-mythical founders (e.g.,
(prastha¯nas, literally, “points of departure”) of Veda¯nta,
Baudha¯yana, A¯pastamba, etc.). A full Kalpasu¯tra consists of
namely, the Upanis:ads, the Bhagavadg¯ıta¯, and the Brahma
four principal components. First, there is the S´rautasu¯tra,
Su¯tra. Of these three, the Bhagavadg¯ıta¯, which primarily
which deals with the rules for performing the most complex
deals with the problems of social ethics, and which attempts
rituals of the Vedic repertoire. Next comes the Gr:hyasu¯tra,
a kind of religio-philosophical synthesis, can hardly be char-
which lays out the injunctions governing performance of the
acterized as a strictly Vedantic treatise. Historically, one may
simpler “domestic” or household rituals. Third is the
speak of three periods of Veda¯nta—the creative period repre-
Dharmasu¯tra, which extends the reach of ruled, ritualized
sented by the Upanis:ads, the period of systematization and
behavior to ethics and purity as they pertain to nearly every
harmonization of the Upanis:adic teachings represented by
sector of daily life. Finally, a complete Kalpasu¯tra will also
the Brahma Su¯tra, and the period of exposition, elaboration,
contain a S´ulbasu¯tra that gives the rules of measurement for
and diversification represented by the commentaries on the
the construction of ritual altars. From this last component
Brahma Su¯tra, the commentaries on those commentaries,
developed the Indian sciences of geometry, trigonometry,
and many independent treatises. The traditional grounding
and algebra.
of Veda¯nta is thus consistently emphasized, it being implied
In addition to these six primary Veda¯n˙gas, four second-
that Veda¯nta is largely an exercise in scriptural exegesis rather
ary “limbs” (upa¯n˙gas) to Vedic literature are also sometimes
than an independent philosophical formulation.
listed: history (pura¯n:a), logic (nya¯ya), ritual exegesis (mi-
UPANIS:ADS. More than two hundred texts call themselves
mamsa), and teachings on religious duty (dharma´sa¯stra). To
Upanis:ads, but they include even such recent works as the
this list of four Vedas, six Veda¯n˙gas, and four Upa¯n˙gas are
Christopanis:ad and the Allopanis:ad. The Muktikopanis:ad
added four so-called “secondary Vedas” (upavedas)—
gives a traditional list of 108 Upanis:ads, but, even out of
medicine (a¯yurveda), the science of archery (dhanurveda),
these, many texts seem to have been called Upanis:ads only
musicology
(gandharvaveda), and political science
by courtesy. Usually 13 Upanis:ads, namely, I´sa, Kena,
(artha´sa¯stra)—to complete the list of eighteen divisions of
Kat:ha, Pra´sna, Mun:d:ada, Ma¯n:d:u¯kya, Taittir¯ıya, Aitareya,
the literature of the “orthodox” tradition stemming from the
Cha¯ndogya, Br:hada¯ran:yaka, Sveta¯´svatara, Kaus:¯ıtaki, and
Vedas.
Maitra¯yan:¯ı, are regarded as the principal Upanis:ads (eighth
to fourth century BCE). They are traditionally connected with
SEE ALSO Nya¯ya; Pura¯n:as; S´a¯stra Literature; Su¯tra
one Vedic school (´sa¯kha¯) or another, and several of them ac-
Literature.
tually form part of a larger literary complex.
B
The Upanis:ads do not, by any means, constitute a sys-
IBLIOGRAPHY
For a summary of the Veda¯n˙gas, see Kanchi Kamkoti Peethad-
tematic philosophical treatise. They rather represent the fear-
heeshwar, The Vedas and Vedangas, rev. ed. (Kumbakonam,
less quest for truth by essentially uninhibited minds. They
India, 1988); Maurice [Moriz] Winternitz, History of Indian
seek, among other things, to investigate the ultimate reality
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9544
VEDA¯NTA
“from which, verily, these beings are born, by which, when
and ending with the final instruction that the essential Self
born, they live, and into which, when departing, they enter”
is different from and transcends the embodied self in its con-
(Taittir¯ıya Upanis:ad 3.1.1), to delve into the mystery of the
ditions of wakefulness, dream, and deep sleep. The essential
a¯tman “by whom one knows all this” but whom one cannot
Self is of the nature of pure self-consciousness. It is neither
know by the usual means of knowledge (Br:hada¯ran:yaka
the knower nor the known nor the act of knowing, though
Upanis:ad 4.5.15), and generally to promote “that instruction
this last necessarily presupposes the existence and direct
by which the unheard becomes heard, the unperceived be-
awareness of the essential Self. The essential Self does exist—
comes perceived, and the unknown becomes known”
it is sat (existence)—but not in any particular form; it is pure
(Cha¯ndogya Upanis:ad 6.1.3). It is true that the Upanis:ads
sat, that is to say, it is of the nature of existence as such. It
arose out of a kind of intellectual and social revolt against
is also conscious, but not of any particular object, internal
the closed mechanical sacerdotalism sponsored by the
or external; it is pure cit (consciousness), that is to say, it is
Bra¯hman:as. But the Upanis:adic teachers soon realized that
of the nature of consciousness as such.
the ultimate reality could not be comprehended through
In another significant analysis of the human personality
mere logical reasoning, for “words return [from it] along
(Taittir¯ıya Upanis:ad 2.2.5), the Upanis:adic teacher proceeds
with the mind, not attaining it” (Taittir¯ıya Upanis:ad 2.9.1).
from the grosser to the subtler forms of the Self, it being im-
“Not by reasoning is this apprehension attainable,” they de-
plied that each succeeding subtler and more internal form is
clared (Kat:ha Upanis:ad 1.2.4). It is accordingly seen that the
more real and essential than the preceding one. He there
Upanis:ads present only the results of their speculation with-
speaks of the physical form (annama¯ya¯), the vital form
out making much ado about the logical processes, if any,
(pra¯n:ama¯ya¯) which inheres within the physical form, the
which lead to those results. For the Upanis:ads the true con-
mental form (manoma¯ya¯) which inheres within the vital
summation of all knowledge lies in the direct experience of
form, the form of consciousness (vijña¯nama¯ya¯) which in-
the ultimate reality.
heres within the mental form, and finally concludes by af-
The Upanis:ads, however, presuppose a certain develop-
firming that within the form of consciousness inheres the
ment of thought. The origin of some of their doctrines can
subtlest and the most internal, and, therefore, the most real
be traced back to the R:gveda, or in certain cases, even to the
and the most essential form, namely, the form of bliss
pre-Vedic non-Aryan thought complex. It will also be seen
(a¯nandama¯ya¯). The essential Self is thus pure existence (sat),
that, from the methodological as well as from the conceptual
pure consciousness (cit), and pure bliss (a¯nanda).
point of view, the Upanis:ads owe not a little to the
Side by side with the analysis of the human personality,
Bra¯hman:as, as a reaction against which they were largely
the Upanis:adic thinker has attempted an analysis of the ex-
brought into existence. The word upanis:ad is usually under-
ternal world as well. The thinker has thereby arrived at the
stood in the sense of esoteric teachings imparted by the
conclusion that at the basis of this gross, manifold, changing
teacher to his pupils who sit (sad) near (upa) him in a closed
phenomenal world—which ultimately is a conglomeration
exclusive group (ni). But literally the word would rather seem
of mere names and forms—there lies one single, uniform,
to denote “placing side by side; equivalence, correlation,”
eternal, immutable, sentient reality (see, e.g., Cha¯ndogya
and then, secondarily, doctrines taught through equivalences
Upanis:ad 6.1). The natural and logical next step is to identify
or correlations. In a sense, the Upanis:ads represent an exten-
the deepest level of the subjective person, namely, the essen-
sion of the tendency of the Bra¯hman:as toward bandhuta¯, that
tial Self (a¯tman), with the ultimate basis of the objective uni-
is, toward perpetually establishing equivalences between en-
verse, namely, the cosmic reality (brahman, also called sat).
tities and powers apparently belonging to different levels and
The world appearance or the relation of the world to brah-
to different spheres. It is, of course, inevitable that there
man are not major concerns in the Upanis:ads.
should be no uniformity of method and teaching in such
The Upanis:ads have not developed any epistemology.
composite and heterogeneous texts as the Upanis:ads, but
Nor have they enunciated any ethical system as such. They
there certainly is a definite uniformity of purpose and out-
are more or less exclusively concerned with the ideal of
look in them.
moks:a, or humanity’s release from its involvement in the phe-
The Upanis:ads clearly betray a trend toward inwardiza-
nomenal world and its realization of the identity of its essen-
tion and spiritualization, which presumably has its origin in
tial self with the cosmic reality. Even the doctrine of karman
their general aversion for the physical body and sensual expe-
has not been systematically elaborated in the early
rience (Maitr¯ı Upanis:ad 1.3). The Upanis:adic teachers have
Upanis:ads. It is regarded as something not to be spoken of
consistently emphasized the view that the essential or real self
openly (Br:hada¯ran:yaka Upanis:ad 3.2.13). As for the doctrine
(a¯tman) has to be differentiated from the empirical or em-
of rebirth, its first clear indications are seen in a passage of
bodied self (j¯ıva). Indeed, true philosophical knowledge con-
the Br:hada¯ran:yaka Upanis:ad (6.2.15–16), where it is men-
sists in not confusing the one for the other. This teaching
tioned as one of three eschatological alternatives.
is very well brought out in the famous parable from the
BRAHMASU¯TRAS. For various reasons, the period immediate-
Cha¯ndogya Upanis:ad (8.7–12), in which Praja¯pati is seen
ly following the major Upanis:ads marked a kind of break in
leading Indra progressively on the path of true knowledge
the continuity of Brahmanic thought and tradition. But it
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VEDA¯NTA
9545
proved to be only an interregnum. Soon a vigorous and com-
in the form of ka¯rika¯s or memorial verses. The
prehensive cultural movement was set in motion that sought
Gaud:apa¯daka¯rika¯ constitutes the earliest treatise on absolute
to resuscitate the Brahmanic way of life and thought by reor-
nondualism (kevala advaita). The very names of the four
ganizing, systematizing, simplifying, and popularizing it.
books that make up the work—namely, A¯gama (Scripture),
The literary monuments of this movement were generally
Vaitathya (Unreality of the World Experience), Advaita
clothed in a practical literary form, namely, the su¯tras, or
(Nondualism), and Ala¯ta´sa¯nti (Extinction of the Revolving
aphorisms, that were defined as being at once brief but un-
Firebrand)—bring out the entire teaching of Gaud:apa¯da in
ambiguous and to the point. By their very nature, the
a nutshell. The first book the Gaud:apa¯daka¯rika¯, which alone
Upanis:adic teachings, which were often sheer flashes of spiri-
is directly related to the Ma¯n:d:u¯kya Upanis:ad, deals with the
tual radiance rather than coherent philosophical formula-
self in its four states: wakefulness, dream, deep sleep, and the
tions, were characterized by inherent ambiguities, inconsis-
“fourth” state (tur¯ıya), identified with moks:a. In the second
tencies, and contradictions. In order that they should prove
book, Gaud:apa¯da for the first time asserts that the world
reasonably meaningful, it was necessary to systematize and,
does not exist in reality, but that “the Self (a¯tman) apparently
more particularly, to harmonize them. This is exactly what
creates the self by the self” through its own ma¯ya¯ and cog-
the Brahma Su¯tra (also called Veda¯nta Su¯tra or
nizes various things (Gaud:apa¯daka¯rika¯ 2.12). In other
Uttara-m¯ıma¯m: Su¯tra) of Ba¯dara¯yan:a (third to second centu-
words, the world subsists in a¯tman through ma¯ya¯. The third
ry BCE) attempted to do.
book teaches that duality does not exist in reality. Just as
space (a¯ka¯´sa), which is without duality, is manifested as por-
Apparently, the Brahma Su¯tra was not the only work of
tions of space, such as the space enclosed in a pot
this kind, for Ba¯dara¯yan:a mentions several predecessors, as,
(ghat:a¯ka¯´sa), so too is the Self manifested as j¯ıvas. Similarly,
for example, A¯treya, A¯´smarathya, Ka¯´sakr:tsna, and Jaimini.
just as when the pot is destroyed the space that it had en-
Little is known about the writings of these teachers except
closed merges into a¯ka¯´sa, so too do j¯ıvas merge into the Self.
for Jaimini, who is believed to have been the author of the
In reality no j¯ıva is ever born. The fourth book speaks of the
Pu¯rva-mima¯m:sa Su¯tra. The literary form of the Brahma
two standpoints—sam:vr:ti, or the practical standpoint, and
Su¯tra no doubt eminently suited its original purpose; in the
parama¯rtha, or the highest standpoint—and of the three
course of time, however, it inevitably rendered the su¯tras
stages in understanding, namely, laukika (“ordinary”), in
multivocal. By themselves they could hardly be made to yield
which both objects and a subject are cognized as real; ´suddha
any cogent philosophical teaching. Yet it seems that the
laukika (“purified ordinary”), in which perceiving itself, but
Brahma Su¯tra favors a kind of bheda¯bheda, or doctrine of dis-
not the objects of perception, is cognized as real; and lokot-
tinction-cum-nondistinction. The world is represented as a
tara (“supramundane”) in which neither objects nor perceiv-
transformation of the potency of God, God himself remain-
ing is cognized. This section emphasizes that consciousness
ing unaffected and transcendent in the process. Hardly any
(vijña¯na) alone is real, though it may appear in various guises
of Ba¯dara¯yan:a’s su¯tras can be shown to be unequivocally
as objects with beginnings and ends, movements, and so on.
nondualistic in purport. It also seems that the Brahma Su¯tra
It is analogous to a revolving firebrand that appears as a fiery
is specifically disposed against Sa¯m:khya dualism and
hoop; in the same way vijña¯na, when it flickers, appears as
M¯ıma¯m:sa¯ ritualism. But after all, the Veda¯nta of the Brahma
both perceiver and perceived.
Su¯tra is what the different commentators have chosen to de-
rive from them. Indeed, each commentator exploits
There can be hardly any doubt about the strong Bud-
Ba¯dara¯yan:a’s work to develop his own peculiar thesis with
dhist influence on Gaud:apa¯da’s thought. The Buddhist ter-
a relentless vertical consistency regardless of the conse-
minology used in books two to four is quite unmistakable.
quences such a procedure may have on collateral issues.
One may leave aside such questions as whether Gaud:apa¯da
himself was a Buddhist, or whether the authorship of all four
GAUD:APA¯DA. The earliest complete extant commentary on
books belongs to him, yet the Gaud:apa¯daka¯rika¯ creates an
the Brahma Su¯tra is that of S´an˙kara (788–820 CE). But in
irresistible impression that the Buddhist S´u¯nyava¯da and the
his thinking S´an˙kara is more vitally influenced by
Vijña¯nava¯da schools present philosophical positions that are
Gaud:apa¯da (fifth to sixth century) than by Ba¯dara¯yan:a. It is
in no small measure consistent with those presented by the
true that the doctrine of bheda¯bheda and, to a certain extent,
major classical Upanis:ads.
the Yoga of Patañjali provide the technical framework for
S´an˙kara’s philosophy, but it is the uncompromising nondu-
S´AN˙KARA. S´an˙kara is by far the most outstanding and the
alism reclaimed by Gaud:apa¯da from the Upanis:ads that
most widely known exponent of Veda¯nta, particularly of the
S´an˙kara strongly vindicates, though he never goes so far in
doctrine of absolute nonduality (Kevala Advaita). Many
the direction of phenomenalism as does Gaud:apa¯da.
works pass as having been written by him, but among the
philosophical works that can be ascribed to him with reason-
Gaud:apa¯da is traditionally believed to have been the
able certainty are the commentaries on nine Upanis:ads; the
teacher of S´an˙kara’s teacher Govinda, although there is clear
commentaries on the Brahma Su¯tra, the Bhagavadg¯ıta¯, the
evidence that he must have lived at least three centuries be-
Gaud:apa¯daka¯rika¯, the Yogasu¯tra-bha¯s:ya, and the Adhya¯t-
fore S´an˙kara. True to the usual practice of Hindu thinkers,
mapat:ala of the A¯pastamba Dharmasu¯tra; and the
Gaud:apa¯da has set forth his philosophy in his commentary,
Upade´sasaha¯´sr¯ı (with its nineteen verse tracts and three prose
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9546
VEDA¯NTA
tracts). Some scholars have suggested that S´an˙kara was origi-
tionship between brahman and jagat is of the nature of vi-
nally an adherent of Pa¯tañjala Yoga and only later became
varta (“manifestation, appearance”), which is to be clearly
an Advaitin. His background of theism and a kind of doc-
distinguished from parin:a¯ma (“evolution, transformation”).
trine of distinction-cum-nondistinction, though not directly
The ultimate reality that is one does not become many; it can
discernible, may also be validly assumed. But it is clearly
only appear as many. Jagat is thus not absolutely real, for the
Gaud:apa¯da who influenced S´an˙kara’s teachings the most.
experience of the world with its diversity of particular phe-
Many of S´an˙kara’s doctrines, illustrations, and arguments are
nomena is sublated by realization of the one ultimate reality;
clearly anticipated by Gaud:apa¯da, though in rather extreme
but it is also not absolutely unreal, for until the world appear-
forms. Indeed, in his teachings S´an˙kara may be said to have
ance is sublated by true knowledge it does possess empirical
represented Guadapada’s philosophy without its overtones of
viability. S´an˙kara propounds a kind of phenomenalism with-
Buddhist Vijña¯nava¯da and S´u¯nyava¯da.
out any suggestion of either nihilism or subjective idealism.
S´an˙kara’s philosophy, like most Indian philosophy, is
The world appearance, according to S´an˙kara’s absolute
oriented toward the one practical aim of moks:a, which im-
nondualism, is the result of avidya¯ (“nescience”), which is a
plies liberation from suffering and regaining of the original
radical constitutive adjunct of the embodied self (j¯ıva).
state of bliss. It is based on ´sruti (scripture), especially the
Avidya¯ not only conceals (avaran:a) the true nature of brah-
Upanis:ads, rather than on tarka (logical reasoning), which
man but it also distorts (viks:epa) it, so that brahman, for the
according to S´an˙kara belongs to the realm of avidya¯. S´an˙kara
time being, appears as the phenomenal world. The oneness
takes for granted the validity of the Upanis:ads as an embodi-
of brahman experience is made to give way to the multiple
ment of the highest truth, and uses logic either to support
experience of the world of names and forms. Viewed from
his interpretation of the Upanis:ads or to refute other systems
yet another angle, the world is described as the result of
of thought. In his commentary on the Brahma Su¯tra he seeks
ma¯ya¯. If avidya¯ represents the weakness of j¯ıva, ma¯ya¯ repre-
to harmonize the apparently contradictory teachings of the
sents the potency imagined of brahman for cosmological pur-
Upanis:ads through the assumption of two points of view, the
pose. It is by means of ma¯ya¯ that brahman, or rather the em-
ultimate (pa¯rama¯rthika) and the contingent (vya¯vaha¯rika).
pirically posited creative aspect of brahman that is referred
He has obviously inherited this device of argumentation
to as sagun:a brahman (God), produces the illusion of the
from Gaud:apa¯da. Indeed, it is in the many portions of his
world. It is emphasized, however, that ma¯ya¯ does not consti-
commentary that do not relate directly to the text of the
tute a duality with brahman, that it does not affect brahman,
Su¯tra (that is, in the utsu¯tra discussions) that one gets
and that it is not a permanent character of brahman, for
glimpses of S´an˙kara’s original philosophical contribution.
when, as the result of true knowledge, the world appearance
vanishes, ma¯ya¯ also vanishes and only pure nirgun:a brahman
The main plank of S´an˙kara’s philosophy is the belief in
remains as the ultimate reality. In a sense, ma¯ya¯ and avidya¯
the unity of all being and the denial of the reality of the many
may be regarded as the two sides of the same coin.
particular entities in the universe. Reality is that which is one
without a second, which is not determined by anything else,
The “why” of avidya¯ is, however, beyond comprehen-
which is not sublated at any point of time, which transcends
sion. One, indeed, finds oneself in avidya¯. For j¯ıva is the Self
all distinctions, to which the familiar categories of thought
(a¯tman), who, under the influence of avidya¯, which is begin-
are inapplicable, and which can be only intuitively realized.
ningless, has forgotten his essential identity with the one ulti-
Such is brahman of S´an˙kara’s Advaita. S´an˙kara’s most dis-
mate reality, namely, brahman. Like the world, j¯ıva also is
tinctive contribution is the philosophical and dialectical de-
empirically real albeit transcendentally unreal; but whereas
velopment of the concept of brahman as without qualities
with the dawn of true knowledge the world completely van-
(nirgun:a). Nirgun:a brahman is not to be understood as
ishes, j¯ıva sheds its body and other appurtenances occasioned
“void” or “blank”; it only signifies that nothing that the
by avidya¯ and regains its essential nature, namely, identity
mind can think of can be attributed to it. Sat (pure, unquali-
with brahman.
fied being), cit (pure consciousness), and a¯nanda (pure bliss),
which are often affirmed of brahman, are not qualifying attri-
S´an˙kara has not developed any significant epistemology.
butes of brahman but rather together constitute the essential
Nor has he specifically discussed any ethical issues. He seems
nature of brahman.
to take the observance of dharma in the phenomenal world
for granted. For him the four prerequisites for brahman real-
S´an˙kara’s main problem is how to reconcile the
ization are discrimination between the eternal and the tem-
Upanis:adic accounts of creation and the Upanis:adic denial
poral, renunciation of nonspiritual desires, moral equip-
of plurality. He resolves it by pointing out that the world be-
ment, consisting of tranquility, self-control, and so forth,
longs to a level of being that is different from that of reality,
and an intense longing for moks:a. S´an˙kara’s personality is,
namely, the level of appearance. The world (jagat) may be
in many respects, paradoxical. While strongly advocating the
regarded as the imaginary translation of brahman—which is
doctrine of Kevala Advaita, he is believed to have composed
the only reality in the ultimate sense—to the space-time
some very beautiful and moving hymns; while sponsoring a
plane. The world is grounded in brahman as the illusory ap-
life of complete renunciation, he is himself known to have
pearance of a serpent is grounded in a rope. The causal rela-
traveled almost the whole length and breadth of India as an
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9547
active religious missionary with a view to founding mat:has
to merge the teachings of S´an˙kara and Man:d:ana Mi´sra into
(monasteries) for the propagation of his teachings.
one system. He propounds the view that avidya¯ has brahman
POST-S´AN˙KARA TEACHERS OF KEVALA ADVAITA. The school
as its object (vis:aya) and j¯ıva as its support (a¯´sraya). The
of S´an˙kara’s Kevala Advaita can boast of a long line of teach-
San˙ks:epa´sa¯r¯ıraka of Sarvajña¯tmamuni (tenth century), a
ers and pupils who through their writings have brought tre-
pupil of Sure´svara, is a popular treatise in verse on the main
mendous popularity to that school. Some of them have rein-
teachings of S´an˙kara. Sarvajña¯tman asserts that brahman is
forced S´an˙kara’s teachings with keen dialectic, some others
the ultimate cause of everything through the instrumentality
have elaborated certain specific aspects of those teachings,
of avidya¯. Like the Bha¯mat¯ı subschool of Advaita,
while still others have presented those teachings in the form
Pra¯ka´sa¯tman (fl. 1200) inaugurated another independent
of more practical compendia. Again, some of S´an˙kara’s fol-
subschool—the Vivaran:a subschool—through his Vivaran:a
lowers have given a significant twist to the original doctrines
(exposition) of Padmapa¯da’s Pañcapa¯dika¯. Pra¯ka´sa¯tman en-
of the great master and are, therefore, credited with having
dorses the view of Sarvajña¯tman that brahman is both the
founded more or less independent subschools of Advaita.
support and the object of avidya¯. While in respect of j¯ıva the
Man:d:ana Mi´sra was a contemporary, perhaps a senior
Bha¯mat¯ı subschool puts forth the doctrine of limitation
contemporary, of S´an˙kara. He was originally a M¯ıma¯m:saka
(avaccheda), the Vivaran:a subschool puts forth the doctrine
and had written several treatises on M¯ıma¯m:sa¯. But later he
of reflection (pratibimba). The Khan:d:anakhan:d:akha¯dya of
became an Advaitin. His Brahmasiddhi shows that he is di-
S´r¯ıhars:a (fl. 1190) is a Vedantic dialectic against Nya¯ya,
rectly influenced by S´an˙kara’s philosophy. Indeed, there is
while the Veda¯ntaparibha¯s:a¯ of Dharmara¯ja¯dhvar¯ıinda (six-
a strong tradition—which is, however, equally strongly con-
teenth century) deals with, among other things, the episte-
tested—that identifies Man:d:ana Mi´sra with S´an˙kara’s pupil
mology of Veda¯nta. Among other writers belonging to the
Sure´svara. Man:d:ana Mi´sra emphasizes that it is the j¯ıvas
school of S´an˙kara are Vidya¯ranya (fourteenth century), au-
who by their own individual avidya¯ create for themselves the
thor of the famous Pañcada´s¯ı; Praka¯´sa¯nananda (sixteenth
world appearance on the changeless brahman; he discounte-
century), who wrote the Veda¯ntasiddhantamukta¯val¯ı; Mad-
nances the theory that the world originates from the ma¯ya¯
husu¯dana Sarasvat¯ı (sixteenth century), author of the Ad-
of brahman. Tradition is unanimous in holding that
vaitasiddhi and the Siddha¯ntabindu; Appayya D¯ıks:ita (six-
Sure´svara was a direct pupil of S´an˙kara. Sure´svara’s va¯rttika
teenth century), who wrote the Siddhantalesamgraha and the
on S´an˙kara’s commentary on the Br:hada¯ran:yaka Upanis:ad
Parimala, a commentary on the Kalpataru of Amala¯nanda
is one of the longest philosophical treatises extant in Sanskrit.
(thirteenth century); and Sada¯nanda Vya¯sa (seventeenth cen-
Its introductory part, called Sam:bandha-va¯rttika, deals with
tury), who commented on the Advaitasiddhi of
the relationship between the two sections of the Veda, the
Madhusu¯dana Sarasvat¯ı and also wrote a handy compendi-
ritualistic and the spiritualistic. Sure´svara is also the author
um called Veda¯ntasa¯ra.
of the va¯rttika on S´an˙kara’s commentary on the Taittir¯ıya
Upanis:ad and of an independent Vedantic treatise called
S´ABDA¯DVAITA. Although there is generally evident a tenden-
Nais:karmyasiddhi. Some of the important points made by
cy to equate Veda¯nta with S´an˙kara’s Kevala Advaita, one
Sure´svara are that ritual action is in no way helpful to attain-
cannot afford to ignore the other schools of Veda¯nta that
ment of moks:a; that ma¯ya¯ is only an aperture (dva¯ra) through
have been substantially influential. The doctrine of
which the one brahman appears as many; that avidya¯ is based
´sabda¯dvaita, a monistic ontology presenting language as the
not upon j¯ıvas but upon pure cit itself; and that there is no
basis of reality, was propounded by Bhartr:hari (d. 651) in
reason to characterize the world as unreal before realization
his Va¯kyapad¯ıya; this doctrine cannot be said to belong to
of the oneness of a¯tman.
Veda¯nta proper, since it is not derived from any of the three
prastha¯nas. Still, according to Bhartr:hari the ideas that the
Padmapa¯da is believed to have been the first pupil of
ultimate reality, brahman, which is without beginning and
S´an˙kara, and was, according to a tradition, nominated by the
end, is of the nature of the “word” and that the world pro-
master as the first pontiff of the mat:ha at Puri. His only avail-
ceeds from it can be traced back to the revelation of the
able work, though called Pañcapa¯dika¯ (“gloss [or t:ika¯] on five
Word par excellence, the Veda itself. This ultimate reality is
quarters”), actually consists only of the t:ika¯ on S´an˙kara’s
one, but because of its many powers it manifests itself as
commentary on the first four su¯tras of the Brahmasu¯tras.
many in the form of experiencer, the object of experience,
Padmapa¯da invests ma¯ya¯ with a sort of substantiality and also
and experience itself (the purpose of experience also being
assigns to it cognitive as well as vibratory activity. Brahman
sometimes mentioned). This view of Bhartr:hari may be re-
in association with ma¯ya¯ as characterized by this twofold ac-
garded as a precursor of S´an˙kara’s theory of vivarta. The
tivity is, according to Padmapa¯da, the root cause of jagat,
most important of the powers of brahman, according to
while avidya¯ manifests itself in j¯ıva.
Bhartr:hari, is time (ka¯la). The different kinds of actions and
It is, however, Va¯caspati (fl. 841), author of the
changes that bring about multiplicity in being all depend
Bha¯mat¯ı, a commentary on S´an˙kara’s commentary on the
upon ka¯la. Bhartr:hari, however, adds that time itself is the
Brahmasu¯tras, who may be said to have founded an indepen-
first result of avidya¯. In the state of true knowledge, there is
dent subschool of S´an˙kara’s Veda¯nta. Va¯caspati has sought
no place for time.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9548
VEDA¯NTA
BHA¯SKARA. The proper post-S´an˙kara Veda¯nta begins with
ture. The liberated soul, which is completely dissociated
Bha¯skara (fl. 850). Unlike the other post-S´an˙kara schools of
from the body, becomes similar to, but not identical with,
Veda¯nta, Bha¯skara’s Veda¯nta does not seem to have gained
God.
wide currency, presumably because it was not linked up with
any theistic sect. From his commentary on the Brahma Su¯tra
In Ra¯ma¯nuja’s theory, God can be known only through
it becomes clear that Bha¯skara knew S´an˙kara’s commentary,
scripture; besides the Veda, Ra¯ma¯nuja recognizes the
for he follows S´an˙kara’s arguments for refutation point by
Pañcara¯tra A¯gama also as revealed. For him, religious acts
point. It further becomes clear that, for much of their inter-
comprehend both Vedic ritual and the practices (kriya¯yoga)
pretation, both S´an˙kara and Bha¯skara must have drawn on
prescribed by the A¯gama. Ra¯ma¯nuja recommends to all per-
a common traditional source. According to Bha¯skara, brah-
sons, irrespective of caste, rank, or sex, complete self-
man has a dual form: brahman as pure being and intelligence,
surrender to God (prapatti or ´saran:a¯gati) as the most effica-
formless, the causal principle, which is the object of one’s
cious means of attaining the summum bonum.
highest knowledge; and brahman as the manifested effect or
DVAITA¯DVAITA. The philosophy of Nimba¯rka (fl. mid-
the world. Thus brahman represents unity (abheda) as well
fourteenth century?) is generally known as Sva¯bha¯vika
as distinction (bheda), both of which are real. J¯ıva is brahman
Bheda¯bheda or Dvaita¯dvaita. It is set forth briefly, precisely,
characterized by the limitations of the mind substance. Thus,
and without much polemic or digression in his commentary
unlike the material world, j¯ıva is not the effect of brahman.
on the Brahma Su¯tra, called Veda¯ntapa¯rija¯tasaurabha, and
Bha¯skara is at one with most of the post-S´an˙kara schools of
which is elaborated in such works as the Veda¯ntakaustaubha
Veda¯nta in rejecting outright S´an˙kara’s view of the world ap-
of S´r¯ıniva¯sa (who is believed to have been a direct pupil of
pearance. Indeed, such rejection was the main obsession of
Nimba¯rka), the Veda¯ntaratnamañju¯s:a of Purus:ottama (a
those schools.
pupil of S´r¯ıniva¯sa), and the Veda¯ntakaustubhaprabha¯ of
Ke´sava Ka¯´sm¯ırin (fourteenth century). Presumably influ-
VIS´IS:T:A¯DVAITA. To Ra¯ma¯nuja (1017–1137) belongs the
enced by Ra¯ma¯nuja, Nimba¯rka assumes the ultimate reality
credit for successfully attempting to coordinate personal the-
of the three entities, namely, Parama¯tman or Purus:ottama
ism with absolutistic philosophy. Indeed, Ra¯ma¯nuja may be
(God), J¯ıva, and Jagat. He does not accept avidya¯ as a cosmic
said to have secured for Vais:n:avism the sanction of the
principle producing the world appearance. Rather, according
Upanis:ads. In this, of course, he was heir to a fairly distin-
to him, God actually transforms himself into the world of
guished tradition of teachers such as Na¯thamuni (fl. 950)
material objects and individual souls, but does not lose him-
and Ya¯muna¯ca¯rya (fl. 1000), who is believed to have been
self in these. He is simultaneously one with (abheda) and dis-
Ra¯ma¯nuja’s teacher’s teacher. Among the followers of
tinct from (bheda) the world of j¯ıvas and matter. This is so,
Ra¯ma¯nuja are Sudar´sana Su¯ri (fl. 1300), Ven˙katana¯tha,
not because of any imposition or supposition (upa¯dhi), but
more popularly known as Veda¯ntade´sika (fl. 1350), and
because of the specific peculiarity of God’s spiritual nature
S´r¯ıniva¯sa¯ca¯rya (fl. 1700). Ra¯ma¯nuja’s commentaries on two
(svabha¯va). God alone has independent existence, while indi-
of the three prastha¯nas, namely, the Brahma Su¯tra (called
vidual souls and matter, which are but derivative parts of
S´r¯ıbha¯s:ya) and the Bhagavadg¯ıta¯, have been preserved.
God, are entirely dependent on and controlled by him. Lib-
Ra¯ma¯nuja is also the author of an independent philosophical
eration in Nimba¯rka’s theory implies realization of and par-
treatise called Veda¯rthasam:graha. According to Ra¯ma¯nuja,
ticipation in the true nature of Lord S´r¯ı Kr:s:n:a (who is the
God, who possesses supremely good qualities, is the only ab-
ultimate brahman) and is possible only through Kr:s:n:a’s
solute reality and therefore the only object worthy of love
grace.
and devotion. Matter (acit) and souls (cit), which are equally
ultimate and real, are the qualities (vi´ses:an:as) of God, but,
S´UDDHA¯DVAITA. Tradition speaks of four main schools of
as qualities, they are entirely dependent on God in the same
what may be called Vais:n:ava Veda¯nta, namely, the S´r¯ı school
way as the body is dependent on the soul. They are directed
of Ra¯ma¯nuja, the Sanaka school of Nimba¯rka, the Brahma
and sustained by God and exist entirely for and within him.
school of Madhva, and the Rudra school of Vis:n:usva¯min,
Ra¯ma¯nuja’s doctrine is therefore known as Vi´sis:t:a Advaita
which last is more commonly associated with its later expo-
or the doctrine of one God qualified by cit (souls) and acit
nent Vallabha (1479–1531). Many works, large and small,
(matter). These three factors (tattva-traya) form a complex
are ascribed to Vallabha, the most important among them
(vi´sis:t:a) organic unity (advaita). The omnipotent God
being the An:ubha¯s:ya, a commentary on the Brahma Su¯tra
creates the world of material objects out of himself, that is,
(up to 3.2.34); the Tattva¯rthad¯ıpanibandha, an independent
out of acit (which is eternal in him), by an act of will.
philosophical treatise; and the Subodhini, a commentary on
Ra¯ma¯nuja emphasizes that creation is a fact, a real act of
a major part of the Bha¯gavata. Vallabha’s son Vit:t:halana¯tha
God. What the Upanis:ads deny is the independent existence
(1516–1584) completed the unfinished An:ubha¯s:ya and also
of material objects and not their existence as such. J¯ıva is
composed independent works such as the Vidvanman:d:ana
made up of the human body (which is related to acit) and
and the S´rn˙ga¯rarasaman:d:ana. The S´uddha¯dvaitamartan:d:a
the soul (which is related to cit), which become associated
by Giridhara (1541–1621) and the Prameyarana¯rn:ava by
with each other on account of karman. Souls are eternal and
Ba¯lakr:s:n:a D¯ıks:ita (seventeenth century) are other notable
atomic and are conscious and self-luminous by their very na-
works of the Rudra school. S´uddha advaita (“pure nondual-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VEDAS
9549
ism”) and pus:t:ima¯rga are the two fundamental tenets of Val-
one’s pure intrinsic nature as a servant of Lord S´r¯ı Kr:s:n:a, and
labha’s Veda¯nta. S´uddha advaita implies that the one brah-
devotion to him is the chief means of attaining moks:a.
man, free from and untouched by ma¯ya¯, is the cause of the
individual souls and the world of material objects. J¯ıvas and
SEE ALSO Avidya¯; Ba¯dara¯yan:a; Brahman; Gaud:apa¯da; Mad-
the material world are, in reality, brahman, for they represent
hva; Ma¯ya¯; M¯ıma¯m:sa¯; Moks:a; Nimba¯rka; Ra¯ma¯nuja;
S´an˙kara; Su¯tra Literature; Upanis:ads.
but partial manifestations of the essential attributes of brah-
man. Brahman (God) pervades the whole world. Vallabha’s
B
doctrine is therefore also known as brahmava¯da. While ex-
IBLIOGRAPHY
Agrawal, Madan Mohan. The Philosophy of Nimba¯rka. Agra,
plaining the relation between brahman and the world, Val-
1977.
labha propounds avikr:taparin:amava¯da, the theory that the
Dasgupta, Surendranath. A History of Indian Philosophy. 3 vols.
world is a transformation of brahman, which latter itself,
London, 1922–1940.
however, remains unchanged. It is like gold, which always
Deutsch, Eliot. Advaita Veda¯nta: A Philosophical Reconstruction.
remains itself no matter how it is formed into various orna-
Honolulu, 1969.
ments or objects. God manifests his qualities of sat and cit
in the form of j¯ıvas, but the quality of bliss (a¯nanda) remains
Hacker, Paul. Untersuchungen über Texte des frühen Advaitava¯da,
vol. 1, Die Schüler S´an˙karas. Wiesbaden, 1953.
unmanifested. Vallabha teaches that it is through pus:t:i (liter-
ally, “nourishment, spiritual nourishment”), or the special
Hacker, Paul. “S´an˙kara der Yogin and S´an˙kara der Advaitin.
grace of God, that j¯ıvas attain goloka (“the world of cows”),
Einige Beobachtungen.” In Festschrift für Erich Fraunallner,
special issue of Wiener Zeitschrift für die Kunde Süd- und
the world of bliss, and participate in the eternal sport presid-
Ostasiens 12/13 (1968–1969): 119–148.
ed over by Lord S´r¯ı Kr:s:n:a.
Hacker, Paul. “S´an˙ka¯ra¯carya and S´an˙karabhagavatpa¯da: Prelimi-
MADHVA. Among the Veda¯ntins, Madhva (1238–1317) is
nary Remarks Concerning the Authorship Problem.” In Kl-
reputed to be a confirmed dualist (dvaitin). One wonders,
eine Schriften, edited by Lambert Schmithausen, pp. 41–58.
however, whether the doctrine that Madhva advocates in his
Wiesbaden, 1978.
commentaries on the three prastha¯nas and in his other
Hiriyanna, Mysore. Outlines of Indian Philosophy. New York,
works—a doctrine endorsed by other teachers of his school,
1932.
such as Jayat¯ırtha (fourteenth century) and Vya¯sara¯ya
Sharma, B. N. K. A History of the Dvaita School of Veda¯nta and
(1478–1539)—can be designated strictly speaking as dual-
Its Literature. 2 vols. 2d rev. ed. Bombay, 1981.
ism in the sense in which the Sa¯m:khya doctrine is designated
New Sources
as dualism. Madhva no doubt speaks of two mutually irre-
Comans, Michael. The Method of Early Advaita Vedanta: A Study
ducible principles as constituting reality, but he regards only
of Gaudapada, Sankara, Suresvara, and Padmapada. Delhi,
one of them, namely, God, as the one infinite independent
2000.
principle, whereas the finite reality comprising matter, indi-
Sharma, Arvind. The Rope and the Snake: A Metaphorical Explora-
vidual souls, and other entities is regarded as dependent. He
tion of Advaita Vedanta. New Delhi, 1997.
emphasizes that Lord S´r¯ı Hari, who is omnipresent, omni-
Tagare, Ganesh Vasudeo. The Veda and Vedanta. Delhi, 1996.
scient, omnipotent, and without beginning and end, is the
R. N. DANDEKAR (1987)
highest independent reality. The ungodly traits that are
Revised Bibliography
sometimes imputed to his character in descriptions of his
various incarnations are not native to him but are intended
to delude the demons and similar evil beings. The material
world is essentially real, for whatever is created by God by
VEDAS. Specifically, the Vedas are often understood to
veridical volition cannot be unreal. Furthermore, on the
comprise four collections of hymns and sacrificial formulas.
strength of the evidence of direct perception, inference, and
In a more general sense, however, the term Veda does not
scripture (which Madhva considers to be the only valid
denote only these four books, or any single book, but a whole
sources of knowledge) it can be established that the distinc-
literary complex, including the Sam:hita¯s, the Bra¯hman:as, the
tion between God and j¯ıva is real and beginningless. Indeed,
A¯ran:yakas, the Upanis:ads, the Su¯tras, and the Veda¯n˙gas.
Madhva asserts the verity of the fivefold distinction, namely,
The many texts, varied in form and content, that make up
the distinction between God and j¯ıvas, the distinction be-
the Veda were composed over several centuries, in different
tween God and insentient objects, the mutual distinction
localities, and by many generations of poets, priests, and phi-
among j¯ıvas, the distinction between j¯ıvas and insentient ob-
losophers. Tradition, however, will not admit the use of the
jects, and the mutual distinction among insentient objects.
word compose in this context, for the Veda is believed to be
J¯ıvas, which are infinite in number, are subject and subservi-
apaurus:eya, “not produced by human agency.” It is eternal.
ent to God. There is a gradation of high and low among
Its so-called authors have merely “seen” or discovered it, and
them in accordance with their karman, and this gradation
they are thus appropriately called r:s:is, or seers.
persists even in the state of emancipation. Moks:a, according
Vedic tradition notes that the apaurus:eya character of
to Madhva, implies the unblemished blissful experience of
the Veda accords it ultimate validity in every respect. More-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9550
VEDAS
over, the Veda is said to comprehend all knowledge (veda).
cery, and witchcraft, and relating to which mantras were also
Indeed, most of the later Brahmanic disciplines claim the
being composed. When, soon after, the Vedic Aryans had
Veda as their fountainhead. The Veda has been passed from
settled down in their new home to a life of comparative
generation to generation by oral transmission. This fact ex-
peace, leisure, and prosperity, poet-priests collected all the
plains the name ´sruti (“what is heard”) by which the Veda
scattered mantras, old and new and relating to both the
is known. In order to preserve this extensive literature intact
Proto-Aryan and Vedic religions. They revised and edited
without the aid of writing, and to facilitate its precise memo-
them, grouped them together into suitable hymns (where
rizing, the Vedists devised various ways of reciting the Veda
they were not already so grouped), and arranged those hymns
(pa¯t:has or vikr:tis) that involve permutations and combina-
according to a certain plan. As a result, two primary “collec-
tions of the words in mantras (versus) and prose formulas.
tions” (sam:hita¯s) were brought into existence: the R:gveda
The emergence of various schools (sa¯kha¯s) and subschools
Sam:hita¯ and the Atharvaveda Sam:hita¯ (2000–1700 BCE).
(caran:as) of Vedic study has also substantially helped the
R:GVEDA SAM:HITA¯. The R:gveda Sam:hita¯ has come down to
preservation of this large corpus of literature. At the same
the present according to the recension of the Sakala school.
time, oral transmission may have resulted in the loss of a con-
It consists of 1,028 su¯ktas (hymns) made up of varying num-
siderable portion of Vedic literature in the course of time.
bers of metrical verses (mantras, more commonly called r:ks,
EARLY HISTORY OF THE VEDA. The literary history of the
which accounts for the name R:gveda). The hymns are assem-
Veda is usually divided into four periods: the Sam:hita¯ period
bled in ten different books or man:d:alas whose formation is
(c. 2000–1100 BCE), the Bra¯hman:a-A¯ran:yaka period
governed mainly by the criterion of authorship. Among the
(c. 1100–800 BCE), the Upanis:adic period (c. 800–500 BCE),
classes of the Vedic Aryans, a few families had already ac-
and the Su¯tra-Veda¯n˙ga period (c. 500 BCE onward). Broadly
quired some measure of socioreligious prestige. The mantras
speaking, these four periods represent a chronological se-
or hymns, which were traditionally believed to have been
quence, and a thread of logical development running
“seen” by the progenitor and other members of a particular
through them invests them with a kind of unity. Yet only
family, were collected together to form the book of that fami-
the literature of the first three periods is traditionally regard-
ly. The nucleus of the R:gveda is formed of six such family
ed as apaurus:eya. In particular, four collections of texts from
books, which are numbered from two to seven and which
the Sam:hita¯ period are commonly referred to as the four
are ascribed respectively to the families of Gr:tsamada,
Vedas. These are the R:gveda Sam:hita¯ (the oldest collection),
Vi´sva¯mitra, Va¯madeva, Atri, Bharadva¯ja, and Vasis:t:ha.
the Atharvaveda Sam:hita¯, the Sa¯maveda Sam:hita¯, and the Ya-
Within a family book, the hymns are grouped according to
jurveda Sam:hita¯.
the divinities to whom they are related. These divinity
groups are then arranged in a certain fixed order, the group
Before the Vedic Aryans migrated into the northwestern
of hymns relating to Agni being placed first. Within each di-
region of India, then called Saptasindhu (“land of seven riv-
vinity group, the hymns are arranged in descending order ac-
ers”), their ancestors had lived together with the ancestors of
cording to the number of stanzas. The majority of hymns in
the Iranian Aryans, presumably in Balkh and its environs, for
the eighth book belong to the Kan:va family. The first book
a fairly long time (2200–2000 BCE). It was there that the
is a collection of miniature man:d:alas. Book nine is ritualisti-
Proto-Aryan language and religion acquired their specific
cally oriented, all the hymns included in it, irrespective of
characteristics. The religion of the Proto-Aryans consisted
authorship, being related to soma. The tenth book, which
mainly of the concepts of cosmic law (Vedic, r:ta; Avestan,
contains the same number of hymns as the first book (191),
aˇsa) and its administrator (Vedic, Asura Varun:a; Avestan,
is a collection of residual hymns. There is another, later me-
Ahura Mazda¯), a simple fire worship, and a cult centering
chanical arrangement of the R:gveda that is obviously directed
on the sacred drink (Vedic, soma; Avestan, haoma). Mantras
to the purpose of memorizing the Sam:hita¯. According to this
(magically potent verses) or hymns (groups of mantras usual-
system, the entire R:gveda Sam:hita¯ is divided into eight divi-
ly involving a single theme) relating to this religion were
sions (as:t:akas), each division into eight chapters (adhyayas),
composed by the ancestors of the Vedic Aryans in an earlier
and each chapter into about thirty-three sections (vargas) of
form of Vedic Sanskrit. In the course of time, the ancestors
about five stanzas each.
of the Vedic Aryans left their home in Balkh and proceeded
toward the alluring “land of seven rivers,” while the ancestors
The bulk of the R:gveda consists of mythology and the
of the Iranian Aryans migrated toward Iran. During their ex-
panegyrics and prayers that are either dependent on or inde-
pedition to Saptasindhu and because of subsequent conflicts
pendent of that mythology. The exclusively naturalistic, or
and colonization in that region, a significant strain was im-
ritualistic, or mystic interpretation of Vedic mythology is
posed on the old Vedic religion in the form of a hero cult
now generally discountenanced, and an evolutionary ap-
with Indra as its chief divinity. The activity of composing
proach is increasingly favored. One may speak of three main
mantras and hymns relating to the old (Proto-Aryan) as well
phases of the evolution of the Rgvedic mythology: the phase
as the new Vedic (Indra) religion continued unabated
represented by R:ta-Varun:a, Agni, and Soma; the phase rep-
throughout this time. Side by side with this religion of the
resented by Indra and other heroic gods; and the phase repre-
“classes” among the Vedic Aryans developed the religion of
sented by the admission into the Vedic pantheon of popular
the “masses,” which was largely constituted of magic, sor-
Aryan divinities (e.g., Vis:n:u) and pre-Vedic non-Aryan di-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VEDAS
9551
vinities (e.g., Rudra). Apart from mythology, the R:gveda also
udga¯tr: priest and/or his assistants. The name Sa¯maveda is,
contains a few hymns of sociohistorical and philosophical
however, a misnomer; it is not a collection of sa¯mans, or
purport.
chants, but rather a collection of verses, mostly derived from
the R:gveda, which are intended to form the basis of proper
ATHARVAVEDA SAM:HITA¯. The Atharvaveda, which is aptly
sa¯mans (sa¯mayoni mantras). Out of the traditionally men-
described as the Veda of the masses, is more heterogeneous
tioned thirteen sa¯kha¯s of the Sa¯maveda, only three are known
and less inhibited than the R:gveda. The name
today: the Kauthuma, the Ra¯n:a¯yan¯ıya, and the Jaimin¯ıya, or
Atharva¯ngirasah:, often used in reference to this Veda, indi-
Talavaka¯ra. The Kauthuma Sam:hita¯ of the Sa¯maveda is
cates the twofold character of its contents—the wholesome,
made up of two parts, the Pu¯rva¯rcika and the Uttara¯rcika.
auspicious “white” magic of Atharvan, and the terrible, sor-
cerous “black” magic of An˙girgas. Another name of this Veda
The Pu¯rva¯rcika consists of 585 mantras and the Uttara¯rcika
is Brahmaveda. The name has been explained by the fact that
of 1,225 mantras. However, the total number of mantras in
the Atharvaveda consists of brahmans (magically potent for-
the Sa¯maveda, not counting those that are repeated, is
mulas), or by the fact that this Veda is the special concern
1,549—all but 78 of them having been taken from the
of the brahman priest in the Vedic ritual. There is another
R:gveda, mostly its eighth and ninth man:d:alas. For their use
explanation of the name. Because of the peculiar character
in the soma ritual, the sa¯mayoni mantras are transformed into
of the contents of this Veda, it was for a long time not recog-
chants or ritual melodies, called ga¯nas, by means of such de-
nized as being as authoritative as the other three Vedas
vices as the modification, prolongation, and repetition of the
(trayi). In reaction against this exclusivism, the Athar-
syllables in the mantras and the occasional insertion of addi-
vavedins went to the other extreme and stated that the
tional syllables (stobhas). Such ga¯nas are gathered in four
R:gveda, the Sa¯maveda, and the Yajurveda were essentially
books: the Gra¯mageyaga¯na, the Aran:yaga¯na, the U
¯ haga¯na,
“limited,” for brahman alone was infinite, and this brahman
and the U
¯ hyaga¯na. Of course, these ga¯na collections are quite
was truly reflected only in the Atharvaveda. Thus, the Athar-
distinct from the Sa¯maveda. Since one sa¯mayoni mantra can
vaveda was called Brahmaveda. The Atharvaveda is also
be chanted in a variety of ways, it gives rise to several ga¯nas.
known by several other names, each of which emphasizes a
Consequently, the number of ga¯nas is much larger than the
specific trait of its character: It proves particularly efficacious
number of sa¯mayoni mantras. For instance, the number of
in the performance of the duties of the purohita (royal priest),
ga¯nas belonging to the Kauthuma school is 2,722.
and is thus known as the Purohitaveda; it contains many
Whereas the Sa¯maveda concerns itself exclusively with
hymns pertaining to the ks:atriyas (ruling or warrior class),
just one feature of the soma sacrifice, the Yajurveda treats the
and is thus called the Ks:atraveda; and it is the guide for the
entire sacrificial system. Indeed, the Yajurveda may be re-
performers of the practices described in the five (pañca) main
garded as the first regular textbook on the Vedic ritual as a
ancillary texts (kalpas) of this Veda, and thus is known as the
whole. It deals mainly with the duties of the adhvaryu, the
Veda of the Pañcakalpins.
priest responsible for the actual performance of the various
The Atharvaveda is available in two recensions, the
sacrificial rites. There are two major recensions of the Yajur-
S´aunaka and the Paippala¯da (which is only partially avail-
veda, the Kr:s:n:a (“black”) Yajurveda and the S´ukla (“white”)
able). The S´aunaka recension consists of 730 hymns grouped
Yajurveda. The difference between them lies not so much in
into twenty books (ka¯n:d:as). About five-sixths of these hymns
their contents as in their arrangement. In the Kr:s:n:a Yajurve-
are metrical (arthasu¯ktas), whereas the remaining ones
da, the mantras and the yajus (sacrificial formulas in prose)
(parya¯ya-su¯ktas) are made up of prose units (avasa¯nas). The
and their ritualistic explanation and discussion (called
Atharvaveda is less sophisticated in its meter, accent, and
bra¯hman:a) are mixed together. Thus, in its form and content
grammar than the R:gveda. The contents of the Atharvaveda
the Sam:hita¯ of the Kr:s:n:a Yajurveda is not particularly distin-
may be broadly classified under the following headings:
guishable from the Bra¯hman:a or the A¯ran:yaka of that Veda.
charms to counteract diseases and possession by evil spirits;
In contrast, the S´ukla Yajurveda contains only the mantras
prayers for health and longevity and for happiness and pros-
and the yajus, the corresponding ritualistic explanation and
perity; spells pertaining to various kinds of relationships with
discussion being reserved for the S´atapatha Bra¯hman:a that
women; hymns concerning the affairs of the king, as well as
belongs to that Veda.
those intended to secure harmony in domestic, social, and
The Sam:hita¯s of four schools of the Kr:s:n:a Yajurveda—
political fields; and formulas for sorcery and imprecation and
namely, the Taittir¯ıya, the Kat:ha (or Ka¯t:haka), the
for exorcism and counterexorcism. Finally, the Atharvaveda
Maitra¯yan:¯ı, and the Kapis:t:hala Kat:ha—are available today
contains quite a few hymns embodying highly theosophic
either whole or in fragments. Incidentally, it may be noted
and philosophical speculations.
that the Taittir¯ıya school has preserved its literature perhaps
SA¯MAVEDA AND YAJURVEDA SAM:HITA¯S. The Sa¯maveda and
most fully of all the Vedic schools, maintaining the continu-
the Yajurveda are essentially liturgical collections and con-
ity from the Sam:hita¯ period, through the Bra¯hman:a-
ceptually mark the transition from the Sam:hita¯ period to the
A¯ran:yaka-Upanis:ad periods, up to the Su¯tra period. The
Bra¯hman:a period. The Sa¯maveda Sam:hita¯ is a collection of
Taittir¯ıya Sam:hita¯ is divided into seven ka¯n:d:as, and, togeth-
mantras to be chanted at the various soma sacrifices by the
er with the Taittir¯ıya Bra¯hman:a and the Taittir¯ıya A¯ran:yaka,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9552
VEDISM AND BRAHMANISM
it covers almost the whole gamut of Vedic ritual. However,
(Poona, 1965); Jogiraj Basu’s India of the Age of the
in these texts, the different sacrifices are not dealt with in any
Bra¯hman:as (Calcutta, 1969); and Sylvain Lévi’s La doctrine
rational order.
du sacrifice dans les bra¯hman:as (Paris, 1898).
A significant feature of the S´ukla Yajurveda is that its
Secondary sources on Vedic literature include my Vedic Mythologi-
entire literary corpus has come down in two distinct versions,
cal Tracts (Delhi, 1979) and Insights into Hinduism (Delhi,
1979), especially the chapter entitled “Literature of Brah-
the Ma¯dhyandina and the Ka¯n:va. However, there is little es-
manism in Sanskrit,” pp. 320–372, and Jan Gonda’s Vedic
sential difference between them in content and arrangement.
Literature (Wiesbaden, 1975).
The S´ukla Yajurveda Sam:hita¯, which is also known as the
Va¯jasaneyi Sam:hita¯ in the Ma¯dhyandina version, consists of
New Sources
forty chapters (adhya¯yas). The first twenty-five adhya¯yas con-
Choudhary, B. K. From Kinship to Social Hierarchy: The Vedic Ex-
perience. Patna, 1999.
tain mantras and formulas relating to the principal sacrifices;
the next four adhya¯yas include additions to these basic man-
Elizarenkova, Tatyana J. Language and Style of the Vedic Rsis. Alba-
tras and formulas; adhya¯yas 30–39 deal with such sacrifices
ny, 1995.
as the Purus:amedha, the Sarvamedha, the Pitr:medha, and
Facets of Vedic Studies. Edited by Bidyut Lata Ray. New Delhi,
the Pravargya; and the last adhya¯ya constitutes the well-
2000.
known ¯I´sa Upanis:ad.
Inside the Texts, Beyond the Texts: New Approaches to the Study of
the Vedas: Proceedings of the International Vedic Workshop.
SEE ALSO Bra¯hman:as and A¯ran:yakas; Pristhood, article on
Harvard University, June 1989. Cambridge, Mass., and Co-
Hindu Priesthood; Su¯tra Literature; Upanis:ads; Veda¯n˙gas;
lumbia, Mo., 1997.
Vedism and Brahmanism.
Jamison, Stephanie W. The Ravenous Hyenas and the Wounded
Sun: Myth and Ritual in Ancient India. (Myth and Poetics.)
BIBLIOGRAPHY
Ithaca, N.Y., 1991.
Translations of the R:gveda can be found in Hymns from the Rigve-
Jamison, Stephanie W. Sacrificed Wife/Sacrificer’s Wife: Women,
da, translated by A. A. Macdonnell (Calcutta, 1922); The
Ritual, and Hospitality in Ancient India. New York, 1996.
Hymns of the Rigveda, 2 vols., translated by T. H. Griffith
Mahony, William K. The Artful Universe: An Introduction to the
(Varanasi, 1920–1936; reprint, 1967); R:gveda Man:d:ala VII,
Vedic Religious Imagination. Albany, 1998.
translated by Hari Damodar Velankar (Bombay, 1963); and
The Soma-hymns of the R:gveda, 3 vols., translated by Shrikr-
Malamoud, Charles. Cooking the World: Ritual and Thought in
ishna Sa¯kha¯ram Bhawe (Baroda, India, 1957–1962).
Ancient India. Translated from the French by David White.
Delhi; New York, 1996.
Translations of other Vedas include three works translated by T.
H. Griffith: The Hymns of the Samaveda (Varanasi, 1893; re-
R. N. DANDEKAR (1987)
print, 1963), The Texts of the White Yajurveda (Varanasi,
Revised Bibliography
1899), and The Hymns of the Atharvaveda, 2 vols. (Varanasi,
1895–1896; reprint, 1968); The Veda of the Black Yajus
School Entitled the Taittiriya Sanhita, translated by Arthur
Berriedale Keith (Cambridge, Mass., 1914); and Atharvaveda
VEDISM AND BRAHMANISM. The somewhat
Samhita¯, edited by C. R. Lanman and translated by William
imprecise terms Vedism and Brahmanism refer to those forms
Dwight Whitney (Cambridge, Mass., 1905).
of Hinduism that revolve primarily around the mythic vision
The few English translations of the Bra¯hman:as include Rigveda
and ritual ideologies presented by the Vedas. These terms are
Bra¯hman:as, translated by Arthur Berriedale Keith (Cam-
classifications that have been used by historians to categorize
bridge, Mass., 1920); Pan:cavim´sa-bra¯hman:a, translated by
in a typological manner a variety of religious beliefs and prac-
W. Caland (Calcutta, 1931); and The S´atapatha-Bra¯hman:a,
tices in ancient and contemporary South Asia. Vedic and
translated by Julius Eggeling (Oxford, 1882–1900; reprint,
Brahmanic religious sensibilities are thereby distinguished
Delhi, 1966).
from Agamic, Tantric, and sectarian forms of Hinduism,
The A¯ran:yaka literature is represented in English by The Aitareya
which look to a variey of non-Vedic texts as the source of
A¯ran:yaka, edited and translated by Arthur Berriedale Keith
religious authority. Vedism is older than Brahmanism, which
(Oxford, 1909; reprint, 1969).
developed from and remains true to the Vedic worldview but
Secondary sources on Vedic religion include Maurice Bloomfield’s
accommodated and remolded the religious ideas and prac-
The Religion of the Veda (New York, 1908; reprint, Varanasi,
tices of non-Vedic South Asian traditions.
1972); Arthur Berriedale Keith’s The Religion and Philosophy
of the Veda and Upanishads (Cambridge, Mass., 1925); Her-
Vedism applies more specifically to the religious ideas
mann Oldenberg’s Die Religion des Veda, 2d ed. (Stuttgart
and expressions of the Indian branch of the Indo-Europeans
and Berlin, 1917); Louis Renou’s L’Inde classique (Paris,
who gradually entered the valley of the Indus River in succes-
1947); and my Exercises in Indology (Delhi, 1981), especially
sive waves in the second millennium BCE. These communi-
the chapter entitled “The Cultural Background of the Veda,”
ties regard as sacred and authoritative texts only those orally
pp. 68–93.
transmitted collections of poetic hymns (mantras), ritual in-
The religion of the Bra¯hman:as is discussed in Religion and Mythol-
structions (Bra¯hman:as), and some of the early philosophical
ogy of the Brahmanas, “Govind Vinayak Devasthali Series”
speculations (A¯ran:yakas and Upanis:ads) of the Vedic literary
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VEDISM AND BRAHMANISM
9553
corpus. Together, these works are said to constitute sacred
legendary sacrificer Videgha Ma¯thava (whose name recalls
“knowledge” (veda, hence Vedism) and are known as ´sruti,
Videha, present-day Bihar); the fire then relentlessly rolled
“revealed truth.”
eastward from the Sarasvat¯ı River in the west to the Sadanira,
the boundary river of Videha, in the east, and finally was es-
Brahmanism developed as the Vedic Indians moved fur-
tablished even beyond that boundary (S´atapatha Bra¯hman:a
ther into the subcontinent to settle in the regions drained by
1.4.1.10–19). Bengal (Vanga), however, remained, as far as
the Ganges River and then southward to the tip of India. It
the Veda is concerned, a “barbarian” country.
is loosely known as Brahmanism because of the religious and
legal importance it places on the bra¯hman:a (priestly) class of
Apart from its antiquity, the most striking features of
society. Brahmanism takes as sacred truth, in addition to the
the Veda are its rigid codification and internal organization
Veda, various law books (the Dharma´sa¯stras and
as well as its faithful oral transmission among specialized
Dharmasu¯tras), mythic epics (the Maha¯bha¯rata and
brahmans up to the present day. Although no decisive argu-
Ra¯ma¯yan:a), and a wide range of non-Vedic myths recounted
ments can be adduced, the codification of the Veda may date
in the Pura¯n:as. These texts, the earliest of which may date
from the middle of the first millennium BCE. (This is to be
to the second part of the first millennium BCE and the latter-
distinguished from partial compilations, which are generally
most of which to the medieval period, are known as smr:ti,
assumed to have already been in existence at the rise of Bud-
“remembered truth.”
dhism in the sixth century BCE.) During the second half of
that millennium further ancillary texts were added to the
Both Vedism and Brahmanism, then, accept the Veda
corpus.
as sacred. The difference between the two is that Brahman-
ism also includes doctrines and mythic themes that do not
Organization of the Veda. The primary principle of
specifically derive from the Vedas and therefore is ideologi-
the internal organization of the Vedic corpus is strictly ritual-
cally more inclusive than Vedism. Some of these ideas find
istic, the texts being arranged according to their function
expression in various ritual practices such as temple worship
with regard to the sacrificial ritual. The initial textual layer
and the domestic ceremony known as pu¯ja¯, in the notion of
consists of formulas (mantras)—both metrical and in
a society arranged according to vocational function (varn:a)
prose—to accompany the ritual acts (karman) and descrip-
and stage of life (a¯´srama), in meditation and renunciatory
tions of the ritual (Bra¯hman:as). The latter are thus differenti-
practices, in vegetarianism and reverence for the cow, in the
ated in rules regulating the ritual (karmavidha¯na) and in ex-
importance of the teacher (guru) for transmitting the tradi-
planation or discussion (arthava¯da; A¯pastamba S´rautasu¯tra
tion, and in other non-Vedic themes that play important
24.1.31–34). Though this primary division gives no special
parts in Hindu religious life and thought.
place to the Upanis:ads, the speculative extension of the
T
Bra¯hman:a texts, it clearly illustrates the ritualistic divide be-
EXTUAL CORPUS. The collection of metric and prose texts
that form the Veda (or, taken individually, Vedas) is by far
tween karman, or act, and mantra, or formula.
the largest single documentary source of archaic Indo-
The repositories of the mantras are known as the
European religious thought. At the same time, however, this
Sam:hita¯s (named after the continuous mode of recitation in-
collection amply documents a particular line of intellectual
volving sam:dhi, or changes taking place at the juncture of
development that went far beyond its archaic beginnings and
words succeeding each other), first collected in the R:gveda
gave the Veda its pivotal but never undisputed place in Indi-
or “Veda of the Stanzas.” Though the time of its final compi-
an religion and philosophy.
lation may not greatly differ from the period of the
Bra¯hman:as, the R:gveda contains, generally speaking, the old-
Though no definite dates can be assigned to the Veda
est materials. The exposition of the ritual (including the ex-
or any of its parts, some of its materials, especially in the met-
planation of the mantras and their use) in the Bra¯hman:as
rical texts, may be dated back to the twelfth century BCE, or
provides the second layer. The third layer is formed by the
even earlier, when the later Indo-Aryans were still in direct
A¯ran:yakas (“forest books”) and the Upanis:ads. They are at-
contact with the Iranian branch of the Indo-European peo-
tached to the Bra¯hman:as and are composed in the same style.
ples. This common Indo-Iranian period is attested by lin-
The A¯ran:yakas, which derive their name from their having
guistic, lexical, formulaic, and cultic similarities between the
to be studied outdoors, in the wilderness (aran:ya) because of
Veda and the Avesta (e.g., the sacred beverage, soma in the
their supposedly dangerous or secret nature, deal with partic-
Veda and haoma in the Avesta, and the use of these beverages
ular parts of the ritual. The Upanis:ads start from and often
in the cult; the Vedic hotr: priest and his Avestan counterpart,
refer to the ritual but their meta-ritualistic content goes be-
zaotar). The formation of the Veda as currently known ex-
yond and even supersedes it.
tended over the first half of the last millennium BCE, bearing
witness to a gradual move from the northwest of the subcon-
To these three layers of texts, which form the ´sruti (lit.,
tinent, the upper Indus area, where the R:gveda had its origi-
“hearing”), the “revealed” tradition in the strict sense, the
nal home, to the watershed between the Indus and Ganges
Kalpasu¯tras (kalpa, “arrangement”; su¯tra, “guideline”), con-
basins and into the Ganges plain. This movement is epito-
cisely worded manuals, must be added. These comprise the
mized in the story of the sacrificial fire, which was forced by
S´rautasu¯tras—manuals for the ´srauta (derived from the
means of a ritual formula to come out of the mouth of the
´sruti), or “solemn” ritual based on the Bra¯hman:as—and
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9554
VEDISM AND BRAHMANISM
the Sma¯rtasu¯tras, summarizing the smr:ti (“remembrance”),
priest and his descendants, Atharvan is related to the Old Ira-
the secular tradition. The latter are again divided into the
nian a¯thravan, or fire priest, but does not refer to a specific
Gr:hyasu¯tras, manuals for the domestic ritual (gr:ha, “house”),
priestly function in Vedic ritual. The relationship of the
which exhibit a ritual close to the ´srauta pattern, and the
Atharvaveda with the ´srauta ritual is a slight one. The con-
Dharmasu¯tras, on religious law and custom, which are at a
nection with the brahman’s function is made no earlier than
greater distance from the ´sruti, though they are supposedly
in the comparatively late Bra¯hman:a of the Atharvaveda (Go-
authorized by it.
patha Bra¯hman:a 1.2.9). The contents of its Sam:hita¯ appear
to be related to special rites for promoting well-being, for
The Kalpasu¯tras belong to the six Veda¯n˙gas (“members
averting or undoing evil, for curing illness, and for harming
of the Veda”), ancillary branches of knowledge meant to ex-
enemies, which belong to the sphere of activity of the puro-
plain the Veda and to sustain its preservation. In addition
hita (domestic priest or royal chaplain) rather than to the
to the Kalpa, the system of ritual rules, these branches of
brahman’s function in the ´srauta ritual. This seems also to
knowledge are S:iks:a¯ (“phonetics”), Chandas (“meter”),
be underlined by the fact that the Atharvaveda’s Gr:hyasu¯tra
Vya¯karan:a (“grammar”), Nirukta (“etymology”), and Jyotis:a
has priority over its S´rautasu¯tra in both age and importance.
(“astronomy”). While the systematic elaboration and stan-
Although the Atharvaveda’s codification patterned after the
dardization of Kalpa has the rationalistic trappings that qual-
“Triple Veda” is comparatively late, this does not mean that
ify it as a “prescientific” science, astronomy and especially
its contents are equally late in origin. Thus the so-called rice-
grammar developed into full-fledged sciences independent of
dish sacrifice (Savayajña), though recast to parallel the soma
the Veda.
sacrifice, may well have ancient roots. The Savayajña gives
The partly chronological division in Sam:hita¯s,
prominence to the sacrificial meal, which in the ´srauta ritual
Bra¯hman:as, A¯ran:yakas, Upanis:ads, and Kalpasu¯tras is joined
is reduced to a minimum. Generally speaking, it would seem
by a second, equally ritualistic, principle of organization run-
that the Atharvaveda became a repository of rites and incan-
ning vertically through the successive layers. This division
tations for which the fully developed ´srauta system of ritual
corresponds to the four priestly functions in the performance
had no place anymore—such as, for instance, the exaltation
of the soma sacrifice, that is, the functions of the hotr:
of the vra¯tya, the warrior-sacrificer to whom the fifteenth
(“reciter”); the udga¯tr: or chandoga (“cantor” or “chanter”);
book of the Sam:hita¯ is devoted.
the adhvaryu (officiating priest), who is in charge of the ritual
Finally, there is still a third principle subdividing the
acts and so of the overall proceedings; and the brahman, who
Vedic texts, namely by “schools,” each having its own recen-
acts as a mainly silent overseer and corrects possible mistakes
sion of one of the four Vedas. If such a “school” has its own
in the performance of the ritual. To each of these four func-
version of the Sam:hita¯ it is known either as a ´sa¯kha¯
tions a separate Veda is assigned, consisting of its own
(“branch”) or as a caran:a (liturgical observance). The most
Sam:hita¯, Bra¯hman:a, and Kalpasu¯tra. Thus the hotr:’s Veda
subdivided of the four Vedas is the Yajurveda. First, there is
is the R:gveda, from which the invitatory and offering stanzas
the division between the so-called Kr:s:n:a (“black”) Yajurveda
as well as the longer recitations (´sastra) are taken. The
and S´ukla (“white”) Yajurveda schools. The older Black Ya-
S´a¯maveda cites the texts of the R:gveda and their “melodies”
jurveda is characterized by alternating mantra and Bra¯hman:a
(sa¯man) that are to be chanted by the udga¯tr:. The adhvaryu
portions in its Sam:hita¯s, while the younger White Yajurveda
operates with the Yajurveda or “Veda of the Formulas”
neatly separates the mantras from the Bra¯hman:a, the cele-
(yajus). These “formulas” are defined as non-r:c (that is,
brated S´atapatha Bra¯hman:a. Whereas the White Yajurveda
non-R:gvedic), although the Sam:hita¯ contains many R:gvedic
has two closely related ´sa¯kha¯s (Ma¯dhyandina and Kanva), the
mantras as well. Finally, the brahman relies, at least in theory,
Black Yajurveda shows marked differentiation between
on the Atharvaveda, but because of his overseeing function
´sa¯kha¯s and their subdivisions, or caran:as (the Maitra¯yan:¯ı
he should also be conversant with the other three Vedas.
Sam:hita¯ with the Ma¯nava and Va¯ra¯ha Su¯tras; the closely re-
There are, then, four Vedas. Tradition, however, em-
lated Ka¯t:haka, whose su¯tra has been lost; and the Taittir¯ıya
phasizes the “Triple Veda” (tray¯ı vidya¯, “threefold sacred
Sam:hita¯, with the A¯pastamba, Hiran:yake´sin, Bha¯radva¯ja,
knowledge”), that is, R:gveda, Yajurveda, and S´a¯maveda. The
Baudha¯yana, Vaikha¯nasa, and Va¯dhu¯la Su¯tras).
Atharvaveda was added as a fourth according to a well-
The Sam:hita¯ of the R:gveda is known in only one recen-
known pattern based on the numbers three and four: the
sion but has two subdivisions, A¯svala¯yana (with the Aitareya
three “twice-born” varn:as (social classes) of bra¯hman:as (Eng.,
Bra¯hman:a and the A¯svala¯yana Su¯tra) and S´a¯nkha¯yana (with
brahmans), ks:atriyas, and vai´syas—their second birth being
the S´a¯nkha¯yana Bra¯hman:a—also known as the Kaus:¯ıtaki
their initiation to the Veda—joined by the fourth varn:a of
Bra¯hman:a—and the S´a¯nkha¯yana Su¯tra). The S´a¯maveda
the ´sudras. The pattern also represents the three aims or du-
boasts two ´sa¯kha¯s that in fact differ only minimally, the
ties of life: dharma (religious law), artha (wealth), and ka¯ma
Kauthuma-Ra¯na¯yan¯ıya and the Jaimin¯ıya; the Bra¯hman:a of
(sexuality)—to which moks:a (liberation from mundane exis-
the latter is called Jaimin¯ıya Brahman:a, and it is known for
tence) is added as a fourth.
the richness of its mythical and legendary data. Finally, the
The position of the Atharvaveda as regards the other
Atharvaveda knows two ´sa¯kha¯s, the Saunaka and the
three Vedas is somewhat puzzling. The name of a legendary
Paippala¯da.
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VEDISM AND BRAHMANISM
9555
Though scholarly attention has mostly been directed to-
is not to arrive at a precise delineation of the deity invoked
ward the R:gveda and the problems raised by its language, sty-
and his power, but, on the contrary, to compress several asso-
listics, and mythological conceptions, from the strictly Indi-
ciations and layers of meaning within the bounded, metrical
an point of view the main interest of Vedism is in the
compass of a stanza. In this respect R:gvedic mythology is es-
structure and development of ritual. This is evident in the
sentially different from the mythological statements of the
internal organization of the Vedic corpus of texts, which, as
Bra¯hman:as. The R:gveda works by multi-interpretable sug-
has been seen, are arranged according to the needs of the
gestion and allusion rather than by explicit statement, leaving
´srauta system of ritual. The elaboration and standardization
unexpressed the inner connection of the images and mean-
of this system are, however, a late Vedic development. The
ings that are suggested or alluded to. In this way a vast or
division of mantra and Bra¯hman:a is more than a technical-
even unbounded field of symbolic relationships is evoked to
ritualistic one. It represents a caesura between, on the one
enhance (and exploit) the power of the deity. Hence the in-
hand, the older state of cult and belief that forms the back-
determinacy of R:gvedic mythology, which is a matter of
ground of the R:gveda’s stanzas, and on the other the stan-
principle rather than of pristine fluidity.
dardized system of ritual that developed in the Bra¯hman:as
This feature has given rise to F. Max Müller’s well-
and was perfected in the Su¯tras. It is also to be observed that,
known but misleading term henotheism, or kathenotheism, to
although the standardized ritual draws liberally on the
characterize Vedic religion. Insofar as it describes the appar-
R:gveda as a source of metrical mantras, only part of it is actu-
ent tendency to provide the invoked deity with a maximum
ally used in the ritual. Only the ninth of the ten books
of divine associations to enhance its power, the term may still
(man:d:alas) of the R:gveda, which contains the hymns (su¯kta)
be useful. It should, however, not be taken as an intermedi-
addressed to the god Soma (in the form of the soma bever-
ary stage on the way to some form of strict monotheism, nor
age), is directly related to the ritual, namely to the decanting
can it serve to define R:gvedic religious thought. It does no
and filtering of the soma (soma pavama¯na). These hymns
more than indicate a marked feature of Vedic hymnology.
were assembled for the purpose of the ritual in a separate col-
lection that was added at a later date to the R:gveda as the
The mythological statements of the Bra¯hman:as, by con-
ninth of its ten man:d:alas. Otherwise, the arrangement of the
trast, are directly and unequivocally linked to the ritual and
R:gveda is not related to the later ritual. In general, this text
its details, which they are meant to explain and justify. The
provides few, if any, clear indications about its cultic context
tersely and concisely recounted mythical and legendary epi-
or about the occasions at which or for which the hymns were
sodes lack the sophisticated associativeness and multi-
composed.
interpretability that characterize the R:gveda. Their only—
and explicit—association is with the ritual. The many layers
The R:gveda, then, for all its size and suggestive contents,
of meaning are reduced and systematized in three tiers refer-
does not allow a clear view of Vedic religion, its cult, or its
ring respectively to the ritual (adhiyajña), to the godhead (ad-
beliefs, nor do the Bra¯hman:as, with their single-minded con-
hidaiva), and to the person of the sacrificer (adhya¯tma).
centration on ritual. Non-Vedic testimonies, such as the
Given the structure of the ritual as a collection of separate
early Buddhist scriptures, may be put to use—regarding, for
sacrifices and of each sacrifice as a lineal concatenation of
instance, the cult of spirits (yaksas)—but they will not suffice
clearly distinguishable acts and accompanying mantras, the
for a well-rounded picture. Nor does archaeology offer any
mythological statements that refer to the separate sacrifices
reliable clues. It has not even been possible to find indubita-
or to the successive acts of each of them cannot, by their na-
ble evidence linking the Vedic data with the preceding Indus
ture, present a consistently structured mythology and cos-
civilization. The only source for Vedic religion is the Vedic
mology. Moreover, there are clear traces of non-Aryan
corpus, but it can only give part of the spectrum. Moreover,
themes—often revealed by non-Aryan names—that raise the
one must take into account the sharp divide between the
question of their whole or only partial integration. The
R:gveda and the Bra¯hman:as.
search for an underlying unified pattern of mythic and cos-
MYTHOLOGY. As regards mythology the R:gveda is a vast
mic conception will therefore to a large extent remain a mat-
storehouse of mythic motifs that are partly taken up again
ter of speculation.
and recast by the Bra¯hman:as in their explanation of the ritu-
Keeping in mind this caveat as well as the indeterminacy
al. It would be a mistake, however, to expect a consistent my-
of the R:gveda and the ritualism of the Bra¯hman:as, one may
thology or a clearly structured pantheon. Individual outlines
now proceed to a brief survey of Vedic mythology. In accor-
tend to be blurred and areas of activity indeterminate, where-
dance with the not specifically Vedic or Indian custom of ex-
as attributes and positions are to some extent interchangeable
pressing the idea of totality by a number, the R:gveda often
among the gods. The reason for the apparent indeterminate-
speaks of thirty-three gods. The Bra¯hman:as break down this
ness of R:gvedic mythology is not to be found in the fluidity
number as eight Vasus, eleven Rudras, and twelve A¯dityas,
of archaic thought. In fact, the R:gveda bears witness to a
leaving two open slots. Essentially such numbers are, howev-
highly developed state of verbal art. Though conventional
er, not meant to be filled out by a complete list.
and even formulaic, the mode of expression is characterized
by great sophistication and flexibility, geared to interchange-
A
¯ dityas. In the same way, the most important group
ability and conflation of images and formulations. The aim
among the gods, the A¯dityas, is equally marked by a number,
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namely seven or eight (although only six are named) and
treatment of all the Vedic gods. Although he does not belong
later, in the Bra¯hman:as, twelve. They are defined as the sons
to the A¯dityas he is mentioned at least once as the fourth
of the goddess Aditi, whose name means “boundlessness.”
A¯ditya (R:gveda 8.52.7), so as to connect him with the three
Her name has given rise to an opposite counterpart, the god-
first, and sovereign, deities among the A¯dityas. A few times
dess Diti (dropping the privative a), who later is considered
in the R:gveda he is called an asura, as is Varun:a. His appear-
the mother of the gods’ enemies, the demonic daityas, better
ance, strength, and liberality, and his prowess in battle, in
known as asuras. The notion of a mother goddess or Magna
drinking soma (sometimes obtained forcibly), and, later, in
Mater is, however, not very prominent in the Veda. The
amorous ventures—as well as his chariot, his horses, and his
A¯dityas are connected with light and with celestial phenome-
weapon, the vajra (the thunderbolt)—receive ample atten-
na. A¯ditya also occurs as the name of the sun (otherwise
tion. He is, however, not only a warrior and divine prototype
Su¯rya), and it has been proposed that the seven A¯dityas be
of the ks:atriya or ra¯janya: He also exhibits priestly or Brah-
equated with the sun, the moon, and the five planets. On
manic traits and as such is related to Br:haspati, or
the other hand they are thought to represent various aspects
Bra¯hman:aspati (lord of the greatness or of the brahman),
of rulership or sovereignty; the first three, Varun:a, Mitra,
who is credited with some of the heroic deeds usually as-
and Aryaman, especially represent this capacity, whereas
cribed to Indra. (Hanns-Peter Schmidt has even argued that
Bhaga (“dispenser”), Am:´sa (“share”), and Daks:a
Br:haspati may originally have been an epithet of Indra. Inci-
(“capability”) are associated with social concepts. Some of
dentally, this should warn against setting too early a date for
these names, such as Mitra, Aryaman, and Bhaga, have direct
the separation of the four varn:as as closed, mutually exclusive
correspondences in Old Iranian, but the functions associated
status groupings.)
with them differ considerably. Apart from that, the A¯dityas
Indra’s most vaunted deeds are the liberation of the wa-
as a group have been equated with the (somewhat different)
ters by killing the monster Vr:tra (“obstruction”)—hence his
Amesha Spentas in the Avesta.
epithet Vr:trahan, which equates him with the Avestan
The foremost among the A¯dityas—and at the same time
Verethraghna—and the freeing of the cows (metaphorically,
the most problematic—is Varun:a. His name is, not without
the heavenly lights) from the Vala cave or from the cave
doubts, connected with the Greek Ouranos. He is a sover-
where the Pan:is hid their cattle. In the Vala episode he is as-
eign god, often characterized as samra¯j, establishing and
sociated with the priestly Angirases, who assist him by their
maintaining universal order, punishing transgressions, and
chanting in opening the cave or enclosure. Here, Indra’s rela-
binding the sinner with his ties. In this perspective one can
tionship, or rather overlap, with Br:haspati/Bra¯hman:aspati is
also place his connection with r:ta (cosmic truth) and guard-
most clear.
ianship of the oath as well as with the waters, which are the
abode of r:ta. At the same time Varun:a exhibits a sinister and
Maruts and Va¯yu. Indra’s usual companions and war-
dark side, especially in his opposition to the warrior god
band are the Maruts, the sons of Pr:´sni, the spotted cow.
Indra, who appears to have robbed Varun:a of his virility and
They are depicted as chariot fighters and support Indra in
dethroned him (R:gveda 4.42; 10.124). In this connection
the Vr:tra battle, but they also have a priestly quality as bardic
Varun:a’s qualification as an asura should be mentioned.
chanters. In a naturalistic perspective the Maruts are the vio-
Being preeminently an asura, a lordly being, he can be con-
lent storm gods, just as Indra’s weapon, the vajra, is the
sidered as the Vedic counterpart to the Avestan Ahura
thunderbolt. As such, the Maruts are akin to Va¯yu (“wind”).
Mazda, with whom he shares the connection with rta
Equally a charioteer and associated with Indra, Va¯yu is
(OIran., asha). Varun:a’s asura quality would seem to oppose
linked with the Maruts. His pneumatic character seems to
him to the devas, or heavenly gods, even though the deva/
connect him with ancient initiation rites as well as with the
asura opposition is less pronounced in the R:gveda than it is
later, Upanis:adic speculations on the life breath, or pra¯n:a.
in the Bra¯hman:as. The problem Varun:a presents is his two-
Trita. As a dragon slayer Indra has a minor double in
sidedness. As the first among the A¯dityas he is a deva, while
Trita (“the third”) Aptya (“the aquatic one” [?]), who is
at the same time he is prominent as an asura.
equally credited with slaying Vr:tra and Vala. These exploits,
Varun:a often occurs coupled with another A¯ditya,
however, burden him, like Indra, with the guilt of man-
Mitra, who (in accordance with his name) represents con-
slaughter, which makes Trita into a kind of scapegoat. In the
tract and alliance. In the Veda he remains somewhat in the
Bra¯hman:as he is identified with Agni, the fire, who hides
background. In the Avesta, however, he is more prominent
from his cruel duty as the sacrificial fire. Trita is also known
and receives a fuller treatment; he is also a warrior and is asso-
to the Avesta in a double form, as Thraetaona (Pers.,
ciated with heaven and the sun. In contradistinction to the
Far¯ıdu¯n) A¯thwya, the slayer of the dragon Azhi Daha¯ka, and
R:gveda, the Bra¯hman:as emphasize an opposition between
as Thrita, the father of Kere´sa¯spa, equally a dragon slayer.
Mitra and Varun:a, the former being equated with the day-
Trita, and not Indra, may have been the original hero of the
light, the latter with the night. The third A¯ditya, Aryaman,
dragon fight.
is concerned with marriage and hospitality.
A´svins. The twin A´svins (“possessing horses”), or, by
Indra. The god most often encountered is the warrior
their original name, the Na¯satyas, are chariot warriors—the
god Indra, who receives the most elaborate mythological
chariot being typically manned by a pair, the driver and the
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VEDISM AND BRAHMANISM
9557
fighter—conveying Su¯rya, the bride of the sun. Equally, they
is replete with his fleeing and hiding in plants or trees but
are associated with the goddess Us:as, or Dawn. They obtain
especially in the waters, illustrating the basic though para-
the secret of the cultic sura¯ beverage (distilled from grain)
doxical interrelationship between the watery and fiery ele-
from the demon Namuci and honey mead (madhu) from the
ments. This paradox is further indicated by one of the names
horse-headed Dadhyañc. In this connection they are also
for Agni, Apa¯m: Napa¯t (“son of the waters”).
known for their qualities as healers and miracle workers.
Time and again Agni has to be retrieved from his hiding
Rudra. A different type of warrior is the terrible archer
places, that is, the fire must be obtained from elsewhere,
Rudra (“the red one,” or “the howler”), who inhabits the
from other people. Even though the “two aran:is” would, in
mountains and the wilderness. He is identified with the de-
principle, ensure the undisturbed possession of the fire,
structive, uncontrolled aspect of Agni, the fire. Generally,
which then can be produced at will after a period of inactivity
Rudra is surrounded by fear and taboo. In the ritual he typi-
or hiding when it has been symbolically taken up in the sacri-
cally receives the remainder of the oblation, thus being set
ficer’s person, these drilling sticks are not an ancestral heir-
apart from the gods and “bought off.” The group of Ru-
loom, but are obtained from the adhvaryu priest (fittingly,
dras—their later standard number is eleven—are identified
he is rewarded with a gift when fire is produced). Less ritual-
with the Maruts, Rudra being said to be their father. In post-
istically, the fire appears to be obtained by force or theft, as
Vedic religion Rudra developed into the transcendent god
occasionally shown in the ritual texts. Conversely, the
S´iva.
´srauta ritual for setting up the sacrificial fires (agnya¯d-
ha¯na)—obviously meant to have only one performance,
Vis:n:u. Another Vedic god who was destined for post-
whose effects were permanent—can be repeated after some,
Vedic prominence is Vis:n:u, who in many ways became a
not clearly specified, mishap. This seems to point in the same
counterpart to S´iva. In the Vedic hymns Vis:n:u is a minor
direction: The fire may have been robbed or lost as the result
figure, associated with Indra in the Vr:tra battle. In the
of a hostile encounter. Although the Vedic myth of
Bra¯hman:as he is identified with the institution of sacrifice.
Ma¯tari´svan (“swelling in the mother”[?], probably a name of
His characteristic deed, however, is the feat of crossing, mea-
Agni), who brings the fire to the human world, does not
suring out, or conquering the universe by his three steps.
mention agonistic proceedings, the ritual seems to recall the
This feat may be linked with his solar (and, possibly, also
well-known Indo-European myth of the theft of the heaven-
phallic) character as also with his later association with the
ly fire.
axis mundi. As against the fearsome Rudra-S´iva, who resides
outside human society, the consistently benevolent Vis:n:u
On the other hand the fire is identified with the person
takes up his position in the center of the universe and in the
of its possessor in a way that suggests the notion of an “exter-
middle of the settled world, encompassing and organizing
nal soul.” It defines the household and its master; in the sac-
the universe with his three steps.
rificial ritual it leads the triumphant procession to the sacrifi-
cial hearth (a¯havan¯ıya), where it is to be installed. In this
Pu¯s:an. The pastoral Pu¯s:an is the guardian of the roads,
latter triumphal aspect Agni is a victorious warrior moving
a trait that should probably be viewed against the back-
about on his chariot and bringing the gods to the sacrifice
ground of the movement of cattle. The furthering of prosper-
or conveying the offerings to them as well as receiving offer-
ity to which his name (from pus:, “prosper”) refers is primarily
ings himself. In short, he is the linchpin of the universe
concerned with cattle (especially cows), the epitome of
viewed as sacrificial process. Although the ´srauta ritual iden-
wealth. His guardianship of the roads easily connects Pu¯s:an
tifies Agni with the hotr: priest, it would seem that originally
with the path of the sun, which leads from heaven to earth.
this functionary is no other than the sacrificer striving to pre-
In this respect he may be viewed as a solar deity.
vail over other sacrificers and their fires, as is still noticeable
Agni. From the ritualistic point of view the most impor-
in the rite of the Pravara, the “election” of the hotr:, immedi-
tant deities are Agni, the fire, and Soma, the deified cultic
ately preceding the burnt offerings.
beverage and draft of immortality (amr:ta). In cosmic per-
Both mythologically and ritually, then, the relationship
spective they represent the fiery and watery elements. As the
of humans with Agni, dispersed throughout many separate
sacrificial fire, Agni is produced with the help of two special
(and competing) fires as well as regularly disappearing, is crit-
pieces of wood known as the “two aran:is” that are manipu-
ical and insecure. In his “terrible” (ghora) form, as Rudra, he
lated in a way explicitly imitating the sexual act. The domes-
may even endanger the sacrificer’s life.
tic fire, on the other hand, is the fire used in the marriage
ritual and so is derived from the bride’s paternal home. This
Soma. Soma (Avestan, haoma) is predominantly the
notion should be a warning to any misunderstandings re-
plant from which the cultic beverage is prepared as well as
garding the “ancestral fire”; insofar as it is ancestral it is trans-
the beverage itself. Like the fire, Agni, it has to be won or
mitted in the female line. Moreover, the upkeep of the actual
obtained from elsewhere. “The one [Agni] Matarisvan
domestic fire ends with the death of the householder, when
brought from heaven, the other [Soma] the eagle [´syena]
it is used for the last time at his cremation. The fire—both
took by force from the mountain” (R:gveda 1.93.6). In the
domestic and sacrificial—is discontinuous, its transmission
Bra¯hman:as this bird is identified with the ga¯yatr¯ı, which,
broken and its possession uncertain. The mythology of Agni
having three eight-syllable feet, is the shortest of the Sanskrit
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VEDISM AND BRAHMANISM
meters and is emblematic of chant and recitation. The
ritual had developed into a closed, autonomous system that
mountain where the soma plant grows is named Mu¯javat.
is ideally parallel to but not directly linked with the reality
The main distinguishing feature of soma is that it is to be won
of the sacrificer’s actual life and death.
or brought from the wilderness, far away from the settled
A particularly knotty problem is the original identity of
world. In the ritual the stalks of the soma plant are bought
the soma plant. From the texts it appears that it must be a
from an outsider in exchange for a cow, after which the soma
plant, often thought to be a creeper, with juicy stalks deliver-
seller is beaten and chased. This latter feature, as well as other
ing the soma juice when crushed. R. Gordon Wasson’s seduc-
less explicit details, suggests that behind the trading lies a
tively argued theory of soma as the “divine mushroom of im-
contest in which the seller represents the guardians of the
mortality,” specifically fly agaric, is not generally accepted.
soma, the heavenly Gandharvas.
The main difficulty is that fly agaric is not indigenous to the
Another way of winning the soma—or rather the soma
geographical area of the R:gveda. But if Wasson is right, this
draft—is by forcibly obtaining access to another’s soma sacri-
would mean that the elaborate imagery of the soma hymns
fice. Though the ritual does not account for this it is a well-
would revolve around a substance no longer used or even
known mythical theme. Thus Indra robs Tvas:t:r: and drinks
known. Given the conventional nature of Vedic hymnology,
the soma from his ritual vessels. In another myth Indra slays
this is certainly not impossible. The stalks actually used in
Tvas:t:r:’s son, the three-headed monster Vi´svaru¯pa, at the sac-
the ritual appear anyway to be a substitute for the lost
rifice in order to obtain the soma draft. Or again, Indra ob-
original.
tains the soma—as well as Agni—by slaying Vr:tra, who is
As to the god Soma’s celestial nature and abode the
holding them within himself.
question of whether he represents the sun or the moon was
As a god, Soma rules over the waters and their cosmic
at one time hotly debated. Though regularly associated with
circulation. As such he takes up a central position in the uni-
the sun in the R:gveda, Soma is usually identified with the
verse, parallel to that of Agni, with whom Soma is often cou-
moon in the Bra¯hman:as. The waxing and waning of the
pled as a dual divinity in the ritual texts. Significantly the
moon easily lend themselves to serve as an expression of the
R:gveda associates him with the sun, illustrating once more
cosmic processes of growth, death, and renewal over which
the solId:a¯rity of the fiery and the watery elements.
Soma presides. This led Alf Hillebrandt to postulate a lunar
origin and character for Soma, which he expanded into a my-
As in the case of Agni, Soma’s relationship with man (i.
thology involving other gods as well. This interpretation has,
e., winning him or losing him) is of crucial importance.
however, not been generally accepted, nor has Hermann
However, unlike Agni, he is not identified with the sacrificer,
Lommel’s suggestion that Soma’s identification with the
but remains external to him. He is “the king” par excellence,
moon would have come about by a restructuring under ex-
ceremonially received as such on the place of sacrifice and
ternal, non-Aryan influences found favor. When the natural-
often referred to by this title alone in the ritual manuals. This
istic and celestial interpretation of Vedic mythology receded
may perhaps explain why, whereas the fire is simply brought
in favor of more sociologically, cosmogonically, or ritually
from heaven and the evidence for force or stealth is reduced
oriented views, the question of the lunar as opposed to the
to scattered and fragmentary indications, conflict and vio-
solar interpretation slipped into the background. The natu-
lence are involved in winning the soma. If the fire, as the sac-
ralistic viewpoint has once again gained favor, and the debate
rificer’s “external soul,” were to be the subject of an equally
may in some form or other be reopened. At any rate the cen-
open direct conflict, the consequences would be disastrous:
tral point of Soma’s mythology is the circulation of the cos-
Just how disastrous can be seen upon considering the posi-
mic waters holding the ambrosia (amr:ta) and linked with the
tion of Soma, “the king.” After his reception, he is pressed—
alternation of life and death.
that is, “killed.” Having been prepared, sacrificed, and con-
sumed, Soma is, in short, immolated. Obviously, this rules
Female deities. As mothers, sisters, wives, and lovers of
out the direct identification with the sacrificer. Such an iden-
the gods, female deities receive frequent mention, but, with
tification is, however, still discernible, but shrouded in mys-
the exception of Us:as (Dawn), they remain diffuse, lacking
tery as a dark, undeclared truth. Thus, when the royal sacri-
in profile and to a high degree interchangeable with one an-
ficer of the Ra¯jasu¯ya is proclaimed king, the priests inaudibly
other.
add “Soma is our king.”
First there are are the deified (primordial) waters, A¯pah:
The original mystery of the sacrificer’s immolation has
(plural of ap, water), which hold the germ of life and are the
been preserved in a different and innocuous form in the ritu-
abode or hiding place of Agni (Fire), the “son of the waters”
alistic mythology of the Bra¯hman:as, where the sacrificer is
(Apa¯m: Napa¯t). As has been seen, they are also associated
stereotypically identified with Praja¯pati, the “lord” (pati) of
with Soma. Their most direct manifestation is formed by the
“beings” (praja¯). One of the many pati gods, he makes a
rivers, especially those of the Punjab, such as the Sindhu
fleeting appearance in the late tenth book of the R:gveda but
(grammatically both masculine and feminine), also called
reaches overall preeminence in the Bra¯hman:as. This
Indus, and its tributaries. Mythologically the most important
Praja¯pati, then, is the epitome of sacrifice, being at once the
of them is the Sarasvat¯ı, in the Bra¯hman:as identified with
sacrificer and sacrificial victim. By that time, however, the
the goddess Va¯c (Speech), especially in connection with the
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VEDISM AND BRAHMANISM
9559
hymnic or ritual utterance. Aditi, the mother of the A¯dityas,
of the universal order, the idea underlying this notion does
has already been mentioned. The Bra¯hman:as explain the lat-
not seem to be alien to the Veda.
ter’s birth as the result of Aditi’s eating the remainder of the
rice mess (odana) prepared and offered by her to the gods.
Interpretations of Vedic mythology. The interpreta-
Other female deities are S´r¯ı (Luster), Puram:dhi (Bounty),
tion of the Vedic mythological data has, in the last hundred
and Id:a¯, or Il:a¯ (Food, both as offering and as sacrificial meal).
years or so, variously emphasized naturalistic, ritualistic, and
sociological approaches. Abel Henri Joseph Bergaigne’s La
The most individualized of the goddesses is Us:as
religion védique d’après les hymnes du R:gveda was the first and,
(Dawn). She is depicted as a nubile, eternally young woman,
thus far, unequaled attempt at a unitary synthesis combining
wife or lover of the sun and companion of the A´svins. Her
both the naturalistic and ritualistic viewpoints. The mythical
most important feature is her bounty and her association
motifs are classified on two levels: on the one hand the celes-
with the gift, especially the daks:in:a¯, the gift to the priests at
tial processes of light and darkness, on the other the atmo-
the sacrifice. The Bra¯hman:as transfer the incest motif of the
spheric phenomena (clouds, rain, lightning) parallel to the
otherwise featureless sky god, Dyaus, and his daughter to
celestial level. Both levels are further characterized by the op-
Praja¯pati, father of all and epitome of sacrifice, and Us:as.
position and interaction of male and female elements. The
Praja¯pati is then chastised by the archer Rudra who shoots
natural processes structured in this way are then seen as re-
an arrow at him; the wound is represented by a small piece
flected in the cult. Bergaigne has been criticized for his alle-
from the offering cake, “Rudra’s portion,” which is, because
gorical schematism and his tendency to view the R:gveda ex-
of its potency, given to the brahman priest to eat. It is striking
clusively in terms of its rhetorics. But his lasting achievement
that Us:as, notwithstanding her clear delineation and the
is in his systematic textual approach, involving a rigorous at-
hymns addressed to her, does not have a part in the sacrificial
tention to the phraseology and its formulaic aspects. On this
cult.
basis, modified by Hermann Oldenberg, it has also been pos-
sible to obtain a clearer view of the formation of the R:gveda.
Ancestors. Finally, mention must be made of a separate
In general, Bergaigne can be considered the founder of Vedic
class of divine beings, the Ancestors (pitarah:, “the fathers”).
philology, which then is brought to full growth by Hermann
To them belong the r:s:is, the seers to whom the R:gvedic
Oldenberg.
hymns are ascribed. Stereotypically the ancestors form a
group of seven (lsuch as the A¯dityas) to which an eighth,
The sociological approach has been forcefully represent-
Agastya, is added. They are the eponyms of the gotras (brah-
ed by Georges Dumézil, who stresses the three functions of
man lineages) systematically listed in the Pravara (“election”)
sovereignty, both spiritual and worldly (Varun:a as against
rite in the ´srauta sacrifice where the names of the r:s:is defining
Mitra), physical force (exemplified by Indra), and fecundity
the sacrificer’s gotra are mentioned.
or productivity (represented by the A´svins and other groups
of gods, such as the Vasus, in association with female divini-
Otherwise, the householder’s lineage is defined by the
ties). The three functions or principles are at the same time
last three ancestors—father, grandfather, great-
seen as the (Indo-European) ideology governing a tripartite
grandfather—who receive offerings of water and rice balls
social organization exemplified by the three “Aryan” or
(pin:d:as) in both the domestic (gr:hya) and the solemn
“twiceborn” varn:as (classes): bra¯hman:as, ks:atriyas, and
(´srauta) ritual. The feature distinguishing the cult of the an-
vai´syas. The problem with the social and ideological triparti-
cestors from that of the gods is the use of the left hand; the
tion is that the number three, which is indeed strikingly fre-
right hand is used in the cult of the gods. Thus, though regu-
quent, is usually associated with either the number two—the
larly associated with the gods and their deeds, the pitarah: are
third forming a link or intermediary—or four, when the
sharply differentiated from them. Similarly, the “way of the
fourth is an indeterminate or opposite element rounding out
fathers” (pitr:ya¯na) is distinguished from the “way of the
the whole (thus the three varn:as are supplemented by a
gods” (devaya¯na), the first “way” being associated with
fourth, the ´sudra varn:a; compare also such configurations as
the moon and the second with the sun.
seven or eight A¯dityas). The theory of the three functions is,
however, not primarily directed at the interpretation of
Yama. Another set of ideas regarding the world of the
Vedic (and later, epic) mythology as such, but at comparative
dead focuses on Yama and his twin sister Yam¯ı (yama,
Indo-European mythology—a field of study revived and
“twin”). Also known in Old Iranian mythology, they form
stimulated by Dumézil’s numerous and erudite publications.
the primordial pair. The R:gveda knows, but apparently re-
jects, their incest: In a dialogue hymn (R:gveda 10.10) Yama
Another approach, which is reminiscent of Bergaigne’s
refuses to respond to Yam¯ı’s entreaties. Yama is the first mor-
cosmological comprehensiveness but is not dependent on
tal and, in ancient Iran, the first king. In India his kingship
naturalistic or ritualistic viewpoints, singles out cosmogony
is reserved for his righteous rule over the world of the dead,
as the key to “the basic concept of Vedic religion.” The cos-
which he is the first to enter. In the R:gveda he is the son of
mogonic approach, propounded by F. B. J. Kuiper, has been
Vivasvat, a solar figure (“the wide-shining”) whom the
influenced by earlier work (in the 1930s) of Dutch structur-
Bra¯hman:as make into an A¯ditya. Although it is only in later
alist scholars on Indonesian religion and society; it is an ap-
Hinduism that Yama is equated with Dharmaraja, the king
proach in which psychoanalytic insights also are heuristically
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brought to bear on cosmogonic thought. In this perspective,
The “real life” substratum of the goods of life is cattle,
the central feature of Vedic cosmogony and of the world it
especially cows, which then are transformed into theriomor-
brought about is the sudden breakup of the undifferentiated
ph divinities (as, for instance, Pr:´sni, the mother of the
primeval unity of the waters into a dualistic cosmos. The
Maruts). In this connection the complex of female deities
cause of this dramatic change was Indra’s heroic deed. The
seems to be particularly important. Thus Us:as is directly as-
asuras, who were associated with the primeval state of affairs,
sociated with the cow given as daks:in:a¯ (gift to the priests),
are defeated and replaced by the “younger” devas. Hence-
and the soma cow (the price for which the soma is traded)
forth, the dualistic cosmos of upper and nether world—rent
is addressed (among other names) as Daks:in:a¯ (the deified gift
apart by Indra—is determined by the conflict of devas and
cow), Aditi “facing both ways” (ubhatak:´s¯ırs:n:¯ı), Rudra¯ (femi-
asuras, which periodically breaks out again at the joints of
nine form of Rudra), and A¯ditya¯ (belonging to Aditi); her
the time cycle (as at the New Year) and is reenacted in verbal
footprint is that of Id:a¯. Especially suggestive is the double-
and other contests, particularly chariot races. In this scheme,
headed Aditi: She is reminiscent of the Bra¯hman:a motif of
the primordial unity is guaranteed by Vis:n:u, who, far from
the rejected and therefore angered personification of the
being a minor figure in the R:gveda as is usually assumed,
daks:in:a¯ threateningly standing between the two parties of the
transcends the conflict by his third step. The cosmogonic ex-
A¯dityas and the An˙girasas (a clan of ancient fire priests, espe-
egesis entails complex problems of textual analysis. Thus the
cially associated with the Atharvaveda but here identified
opposition between devas and asuras, though clear and sys-
with the asuras); the two parties soothingly try to lure her,
tematic in the Bra¯hman:as, is far from unambiguous in the
now identified with the goddess Va¯c (Speech), each to his
R:gveda. The main problem is the nature of Varun:a, an asura
own side (S´atapatha Bra¯hman:a 3.5.1.18–22). The complex
who belongs equally to the devas. In Kuiper’s view Varun:a
of female deities, then, are intimately connected with the
went over to the victorious devas (keeping a hidden alle-
cows (i. e., the goods of life) for which the conflicting parties
giance to the asuras), much as Agni and Soma left Vr:tra for
contend.
Indra.
This may explain the rather indeterminate nature of the
Whether cosmogony can deliver a basic or unitary con-
female deities. They are the movable stakes in the ever-
cept underlying Vedic religion, or at least the Veda as known
repeated contest. As such they have no fixed place or alle-
to the modern scholar, is of course debatable. One may even
giance but keep shifting between the contending parties, di-
doubt whether such a concept did indeed exist. At any rate
viding and connecting them. In this way it can perhaps also
the metaphorical language of the hymns, with its tendency
be understood that Us:as (Dawn), though profusely eulo-
to pack various meanings and images in a single suggestive
gized, does not receive a sacrificial cult: Standing for the
stanza while leaving the connecting idea or concept unex-
bounty spent, contended for, distributed, and consumed, she
pressed, makes it particularly hard to isolate and define such
is—like Id:a¯, the sacrificial meal—not a recipient but the gift
a basic concept.
itself.
There can, however, be no doubt about the importance
As party to the conflict the asuras are originally not so
attached to Indra’s cosmogonic battle, if the number of refer-
much demoniacal opponents and spoilers but rather settled
ences both in the hymns and in the prose texts is taken as
rulers and holders of the goods of life. They are being de-
a criterion. More generally, competition, conflict, and com-
spoiled by the aggressive wandering deva warriors led by
bat appear to permeate the Vedic world. If the gods are
Indra, who aspire to the status of settled lords. As the
bountiful or the human patrons munificent, the point is
S´atapatha Bra¯hman:a has it in a lapidary but probably ancient
more often than not that the bounty and munificence should
phrase: “The devas drove about on wheels, the asuras sat in
not go to the opponent. In the Bra¯hman:as conflict is stereo-
their halls” (S´atapatha Bra¯hman:a 6.1.1.1). But eventually the
typed as the perennial struggle between devas and asuras, but
devas prevail over the asuras, and that is why the “moving-
conflict does not stop there. The devas are also competing
about warrior” (ya¯ya¯vara) holds sway over the settled people
(often by running chariot races) or fighting among them-
(ks:emya), as a parallel passage explains (Taittir¯ıya Sam:hita¯
selves. The hostile tension between Indra and his followers,
5.2.1.7). Similarly, an isolated but telling rule recommends
the Maruts, that is noticeable in some hymnic passages is
the would-be sacrificer who is going to set up his ´srauta fires
crudely expressed in the Bra¯hman:as as Indra plundering the
to take his cooking fire (daks:in:a¯gni, lit., “southern fire”) from
Maruts. In the ritual texts the bha¯tr:vya (rival kinsman), or
the house of a man of substance (pus:t:a) who is “like an asura”
the dvis:at (the foe), is all but ubiquitous. There clearly is the
(asura iva; Ka¯t:haka Sam:hita¯ 8.12; cf. A¯pastamba S´rautasu¯tra
idea of a stable unalterable order—often associated with the
5.14.1).
unforgiving rule of Varun:a—but this order is destabilized
from within by the dualism of conflict for the goods of life.
This does not mean that the world of the gods is mod-
These goods, known under various, mostly indeterminate,
eled after human society, but rather that there is no sharp
all-encompassing terms, are mythologically luminous and ce-
dividing line separating them. The worlds of gods and hu-
lestial in nature and are associated with the waters. Thus, for
mans smoothly blend into each other, forming a universe
instance, Indra’s freeing Agni and Soma, the fire and the wa-
permeated by the divine and the sacral. If Indra’s heroic war-
ters, from Vr:tra.
rior deed established the cosmic order, it is an order of peren-
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9561
nial conflict over the possession and the redistribution of the
as did the S´ya¯parn:as at the sacrifice performed by Vi´svantara
goods of life—a conflict in which gods and men equally take
Saus:ademana (Aitareya Bra¯hman:a 7.27), or as did Indra at
part—and the outcome is open to reversal at the next turn.
Tvas:t:r:’s, where Indra even killed Vi´svaru¯pa, Tvas:t:r:’s son. It
This may explain the fact, usually considered a secondary ex-
is this dualistic and agonistic form of sacrifice that the ritual-
tension, that Indra is in a few R:gvedic passages called asura.
ists of the Bra¯hman:as and the Su¯tras reformed and turned
into the rigidly “monistic” system of ritual that is the apogee
The arena where the conflict was fought out was the mi-
of Vedism.
crocosm of the place of sacrifice. The central institution that
regulated and contained conflict was sacrifice (yajña).
RITUAL. The most striking feature of Vedic ritual is the thor-
Though the ´srauta ritual has no place for the enemy it does
oughly systematic nature of its structure and textual presen-
contain many mock contests, prominent among them verbal
tation. Whereas the Bra¯hman:as still show in many ways, but
contests (brahmodya) and chariot races. The Bra¯hman:as do
especially in the arthava¯da discussions, traces of the forma-
not tire of referring to enemies, and the explanatory passages
tive process and sometimes explicitly mention former prac-
continually link the sacrificial ritual and its details with the
tices as against the new rules, the Su¯tras, or “guidelines,” are
fights of devas and asuras, while the place of sacrifice is made
fully systematized to the extent of stating a set of “meta-
the battleground.
rules” (paribha¯s:a¯) for the proper interpretation and handling
Though researchers are ill-informed about the cultic
of the ritual prescripts. This systematic character, definitively
background of the hymns, which may have known a great
clarified by Willem Caland, caused Oldenberg to speak of
variety of concepts and forms, sacrifice, especially the soma
“prescientific science” and Sylvan Lévi of “doctrine.” Frits
sacrifice, clearly must have been of overwhelming impor-
Staal has again called attention to what he considers to be
tance. As the R:gveda Sam:hita¯ (1.164.50 and 10.90.16) says
the ancient Indian “science of ritual” as a system of “rule-
in an enigmatically involute statement: “With sacrifice the
governed activity” per se.
gods sacrificed sacrifice, these were the ‘first ordinances’
The ritual system. In the first place, there is the princi-
(dharma¯n:i prathama¯ni).” The second passage concludes the
ple of the unity of act and formula. Unless stated otherwise
hymn celebrating the sacrifice of the purus:a, the cosmic man,
each act is accompanied by a formula. The system is then
out of whose immolated body the ordered universe, includ-
built up in the way of nesting units, simpler acts being inte-
ing the four varn:as, was created. Although this cosmogonic
grated to form ever more intricate complexes. The basic sac-
sacrifice recalls Indra’s Vr:tra-slaying, there is no reference to
rificial unit is the pouring of a small portion of the oblational
a fight or contest. Rather, it suggests the “monistic” form of
substance—milk, ghee (clarified butter), cake, gruel, meat,
the ´srauta sacrifice propounded by the Bra¯hman:as, mytho-
or soma—into the offering fire. This smallest unit, indicated
logically represented by Praja¯pati, who creates the world by
by the verb juhoti (“he pours”), occurs as a separate act in
sacrificing himself. However, judging by the explanations in
all yajñas, but it is also an integral part of a more complex
the Bra¯hman:as as well as by many features of the ´srauta ritual
sacrificial act. The simple pouring is performed by only one
itself, the form of the sacrifice preceding the one taught by
person, usually the adhvaryu, but the more complicated form
them appears to have been characterized by a dualistic and
requires the cooperation of several priests. While standing at
agonistic structure.
the offering fire the adhvaryu calls out to the a¯gn¯ıdhra,
The dualistic character is already implied in Paul
“om:´sra¯vaya” (“let there be hearing”), and the latter answers
Thieme’s fundamental observation that the ´srauta sacrifice
with “Astu ´sraus:at:” (“be it, one should hear”); then it is again
is in all its details characterized as a guest reception, the sacri-
the turn of the adhvaryu, who now calls on the hotr: to recite
ficer being the host. The guests at the sacrificial feast are not
the offering verse (ya¯jya¯). The verse begins with the name of
only the gods but equally the priestly participants who drink
the god to whom the oblation is addressed and is followed
the soma and partake of the sacrificial food and who are iden-
by the instruction to “worship” (yaja), that is, to recite the
tified with gods. The dualism of hosts and guests is clearly
appropriate verse; the hotr: complies, prefixing the words ye
marked by tension and competition. Thus the A¯dityas and
yaja¯mahe (“we who worship,” also known from Old Iranian)
the An˙girases—who have been seen already in their (verbal)
and ending with the word vaus:at:, at which the adhvaryu
contest over the daks:in:a¯ bounty—competed over the honor
pours the oblation in the fire and the sacrificial patron
of inviting the other party to their own sacrifice. First the
(yajama¯na) pronounces the tya¯ga (“abandonment”): “for
An˙girases invite the A¯dityas, but the latter manage to be “one
[name of the god addressed], not for me.”
up.” Devising an equally important sacrificial ritual that can
This scheme, indicated by the verb yajati (“he [i. e., the
be performed on short term before the time set by the
hotr:] worships”), is the one used in the standard ghee liba-
An˙girases, the A¯dityas invite the latter and win out (Aitareya
tions preceding and following the main offering (pradha¯na)
Bra¯hman:a 6.34).
in the vegetal sacrifices. In the case of the main offering the
Apparently, being invited to a sacrifice is a challenge
scheme is enlarged by a preceding invitatory verse (anuva¯kya¯
that one cannot honorably refuse. On the other hand, not
or puronuva¯kya¯) to be recited by the hotr:, who is called upon
being invited is a dishonor. And so uninvited guests force
by the adhvaryu to do so. The same scheme is then further
their way in to obtain or rather to contend for their share,
elaborated in the animal sacrifice by the participation of one
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of the hotr:’s assistants, the maitra¯varun:a, who relays to the
The next type, the pa´subandha (“binding the animal
hotr: the adhvaryu’s call for the anuva¯kya¯ and ya¯jya¯ verse. In
victim”), or animal sacrifice, incorporates the is:t:i. The acts
the soma sacrifice this complex is further enlarged by the
concerned with the cake offering (pa´su-purod:a¯´sa) are neatly
chanting of the stotra (“laud,” from the verb stu, “to praise”),
intertwined with those of the animal sacrifice proper. Two
which is the task of the udga¯tr: and his assistants, and the
more priests are added: the maitravarun:a, who is associated
´sastra (recitation) of the hotr:, which follows the libation and
with the hotr:, and the pratiprasthatr, who assists the adh-
the drinking of the soma by the participants. In all this the
varyu.
basic sacrificial act remains the libation in the offering fire.
The most complicated type is the soma sacrifice, which
This summary description of the basic sacrificial act and
incorporates both is:t:is and pa´subandhas. Its distinctive litur-
its enlargement cannot do justice to the intricate detail of the
gical feature is the extensive use of the S´a¯maveda, practically
rules that, apart from the sacrificial act itself, also cover the
absent in the other sacrifices, for the chanted “lauds” (stotra),
no less complicated preparatory acts—taking the vow,
while the soma ritual proper is intertwined with an animal
choosing the priests, collecting the ingredients and imple-
sacrifice. This involves the services of four specialized chant-
ments (sam:bha¯ra), arranging the place of sacrifice, readying
ers (chandoga) led by the udga¯tr:. Altogether the soma sacrifice
the fires, preparing the oblational substance (havis), its con-
needs sixteen or, according to some su¯tras, seventeen priests,
sumption and disposal, the daks:in:a¯s—as well as the conclud-
including the previously mentioned ones, divided into four
ing phase. But the brief summary adequately illustrates the
groups according to the four Vedas: four adhvaryu priests
systematic buildup of the ritual. Each sacrifice consists of a
(Yajurveda), four hotrakas (R:gveda), four chandogas
lineal succession of such standardized units of act and formu-
(S´a¯maveda), and four in the brahman’s group (Atharvaveda);
la, primarily the basic sacrificial act with or without its exten-
the seventeenth, the sadasya, is assigned to the brahman. At
sions. The alignment of acts again shows the nesting princi-
the same time, however, seven, instead of only four, of these
ple by boxing in a unit on both sides by two other mutually
priests are counted as hotrakas, six of whom are actually
connected or similar units, as for instance is the case of the
charged with ´sastra recitations from the R:gveda.
main offering (pradha¯na), which is preceded by the “fore-
offerings” (praya¯ja), and followed by the “after-offerings”
In the ´srauta system of ritual the is:t:i in the form of
(anuya¯ja). In this way a complicated concatenation is
the fortnightly New and Full Moon sacrifices (Dar´sapu¯r-
achieved spanning the whole of the sacrifice, its beginning
n:ama¯sa), the pa´subandha and the one-day soma sacrifice
and conclusion, mirroring each other so as to enclose the
known as Agnis:t:oma (“liturgy of Agni”) form the basic para-
whole.
digms, or prakr:ti. These prakr:tis can then be modified main-
ly as to the sacrificial substance and the deity or deities ad-
The same nesting principle governs the hierarchical tax-
dressed (such a modification is known as vikr:ti). The
onomy of types of sacrifices, the simpler types being incorpo-
modified part therefore is primarily the pradha¯na offering(s)
rated in the more complicated ones. The simplest type of sac-
involving (apart from differences in the sacrificial substances
rifice is the Agnihotr:a, the evening and morning offering of
used) different invitations and offering verses. The rest of the
boiled milk. It is essentially the basic sacrificial act of the
ritual, the an˙gas (members) or tantra (“the warp,” the sacri-
juhoti type, requiring only the service of the adhvaryu. More
fice regularly being said to be woven), remains, but for a few
complicated is the is:t:i (from the verb yaj, “to worship”), a
minor adaptations, essentially unchanged. Thus a particular
vegetal sacrifice of one or more cakes (puroda¯sa), cereal boiled
sacrifice is said to be characterized by three criteria: dravya
with butter and milk (caru), or a dish of coagulated milk
(sacrificial substance), devata¯ (deity, or deities, first addressed
(sa¯m:na¯yya). It involves the taking out, husking, and grinding
at the beginning when the sacrificial substance is taken out),
of the grain, preparing the dough, baking the cake (on a spec-
and tya¯ga (the sacrificer’s “abandonment” formula, again
ified number of potsherds heated on the embers), and divid-
specifying the deity after the offering; cf. Ka¯tya¯yana
ing it into portions to be distributed to the deity and among
S´rautasu¯tra 1.2.2).
the sacrificer and his priests. Moreover, before the main of-
ferings are made, the sacrificial fire is fueled with pieces of
Furthermore, sacrifices can be strung together either in
wood (samidh). The hotr: recites a verse (sa¯midhen¯ı) as the ad-
a continuous series (ayana, “course”) or in periodical clusters.
hvaryu places each samidh as an offering into the fire.
The latter is the case, for instance, with the fortnightly New
and Full Moon sacrifice (comprising two main offerings
This series of sacrificial acts is then followed by the pra-
within the same tantra) or with the seasonal Four Month sac-
vara (“election”) of hotr: and adhvaryu, in which the sacrific-
rifices, which are essentially clusters of is:t:i-type offerings at
er’s ancestral names are mentioned, and finally the main of-
the beginning of a four-month period. The soma sacrifice in
ferings are made according to the yaja¯ti scheme. Of course,
particular has lent itself to such strings, which may stretch
separate juhoti offerings are equally part of the is:t:i ritual. A
over a number of years (theoretically even a hundred years).
more complicated version of this type of sacrifice requires
Although a prakr:ti form, the Agnis:t:oma lasts only one day
four priests: apart from the adhvaryu, the hotr:, the a¯gn¯ıdhra
(apart from the preparatory days) and as such is an eka¯ha;
(counted with the adhvaryu, but as to his function associated
there are strings of up to twelve days known as ah¯ına. A
with the hotr:), and the brahman.
twelve-day series can be performed either as anah¯ına or a sat-
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9563
tra (“session”). The difference is that at a sattra there is not
with the pressing stones (gra¯van). The soma juice is mixed
a sacrificer with his sixteen (or seventeen) priests but all the
with water and poured through a woolen filter into the
participants are homogenized into a single band of sacrificers
wooden soma tub (dron:akala´sa). It is to this latter operation
who have put together their sacrificial fires, while at the same
that the pavamana hymns of the R:gveda refer. Apart from the
time each performs the task of a particular priest. Their lead-
soma pressing, the distinctive feature of the sutya¯ day is
er is then called the gr:hapati (“master of the house”). The
formed by the twelve rounds—five each during the morning
modifications that are needed make the twelve-day sattra
and midday savanas, and two in the afternoon—of pouring
into the prakr:ti for all other, longer sattras, while the yearlong
the soma libation, drinking the soma, and conducting the lit-
sattra or gava¯m ayana (“course of the cows”) is again the
urgy of the variously arranged stotra chants and ´sastra recita-
model for all other sattras within the duration of a year or
tions. The afternoon service is followed by the final bath
longer.
(avabhrtha, “carrying away” of ritual matter to the waters),
The feature by which the soma sacrifices are usually dis-
which forms the counterpart of the d¯ıks:a¯ bath. Next is per-
tinguished, however, concerns the arrangements of the
formed the concluding (udayaniya¯) is:t:i, which corresponds
stotras and ´sastras. The stotras involve intricate rules regard-
to the introductory (pra¯yan:¯ıya¯) is:t:i. But this is not yet the
ing the formation of the different standardized numbers of
end, for a last pa´subandha—a cow for Mitra and
chanted units (stotriya¯), composed of a group of two or three
Varun:a—must still be conducted. Only then is the “breaking
R:gvedic stanzas. These numerical arrangements are known
up” (adavasa¯n¯ıya¯) is:t:i performed, after which the sacrificer
as stoma (“liturgy”), which, like stotra, derives from the root
and the other participants return home (the ´srauta sacrifice,
stu.
and especially the soma sacrifice, take place outside the settled
community, in the wilds).
Soma sacrifice. The soma sacrifice is the most impor-
tant as well as the most intricate of the ´srauta rituals. Its basic
This basic scheme allows for an unlimited but mostly
paradigm, the Agnis:t:oma, consists of an elaborate concatena-
unspectacular variation. Such variation concerns in the first
tion of sacrifices spanning five days and involving a whole
place the numerical arrangement of the stotras and the melo-
pantheon. The first day is marked by the consecratory bath
dies (sa¯man) to which they are sung. Second, as already men-
(d¯ıks:a¯) of the sacrificer, who remains a d¯ıks:ita (initiate) and
tioned, the number of sutya¯ days can be multiplied so as to
as such subject to restrictions of diet and behavior until the
form ah¯ınas and sattras. Third, special rites can be inserted,
concluding bath (ava-bhr:tha, “the carrying away,” i. e., of rit-
both regular sacrificial acts and rites that are, strictly speak-
ual matter by means of the waters). Special libations and an
ing, external to the ´srauta system. Prominent among the lat-
is:t:i are connected with the d¯ıks:a¯. The next three days feature,
ter are consecratory baths (abhis:eka, comparable to an elabo-
in the morning and at midday, the ritual known as Pravargya
rate d¯ıks:a¯), which have given rise to a special class of sacrifices
and a ghee offering in the form of an is:t:i called upasad
called sava (“instigation”), as well as agonistic rites: chariot
(“sitting near” or “besieging”), after which these three days
races, dice games, and verbal and other contests. Storytelling,
are called upasad days. The Pravargya (“to be removed,” re-
singing (as different from the S´a¯mavedic chanting), and
ferring to the implements after the last performance) centers
dancing are occasionally prescribed. Such rites are mostly in-
on a special clay pot (called maha¯v¯ıra, “great hero,” or ghar-
serted in the middle of the sutya¯ day, during the midday ser-
ma, “heat”). Fresh milk is poured into this pot, which has
vice. A well-known case is provided by the maha¯vrata (“great
been heated in the fire; of the milk boiled in this way a liba-
vow”). Technically a sutya¯ day at the end of the yearlong
tion is made.
gava¯mayana, it offers an interesting array of popular, appar-
On the first upasad day the introductory (pra¯yan:¯ıya¯) is:t:i
ently ancient rites, including a chariot race, arrow shooting,
is performed. The soma stalks are bartered for the soma cow,
and a tug-of-war between an a¯rya and a ´sudra for a hide (be-
and “King Soma” (in the form of the soma stalks) is given
lieved to represent the sun), as well as the copulation of a
a ceremonial reception that takes the form of another is:t:i. On
“man from Magadha” (possibly meaning a musician) and a
the second upasad day the outline of the place of sacrifice (the
courtesan, and, of course, singing and dancing.
maha¯ved¯ı) is traced and the earthen elevation for the offering
Similarly, the royal sacrifices, Va¯japeya, Ra¯jasu¯ya, and
fire is made. The third upasad day sees the construction of
A´svamedha (horse sacrifice), are marked by such insertions.
the other fire-places and of the various sheds on the
The Va¯japeya (“booty” or “victory draft”) follows the scheme
maha¯vedi; fire and soma stalks are brought forward in an
of a one-day soma sacrifice which, however, combines the
elaborate procession and a pa´subandha is performed. The
soma rites with those of the (popular) sura¯ (grain liquor).
soma sacrifice proper, entwined with another animal sacri-
Moreover, it features a race of seventeen chariots and a curi-
fice, falls on the next, the fifth day, known as the sutya, or
ous pole-climbing rite in which the sacrificer and his wife
pressing day.
“ascend to heaven.” The Ra¯jasu¯ya (“royal consecration”) is
The soma stalks are pressed three times, in the morning,
essentially a series of five periodical soma sacrifices intercon-
at midday, and in the afternoon, providing for three “ser-
nected by is:t:i-type sacrifices that stretch over two or three
vices” or savanas (“pressings”). The pressing is done by four
years. The important insertions are an elaborate abhis:eka
of the priests, who crush the stalks, spread on a bull’s hide,
(water consecration), the enthronement, a game of dice, a
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chariot drive or race, and the recitation of the interesting leg-
observed, however, that the sura beverage is not favored by
end of S´unah:´sepa (a brahman boy bought by King
the ritualists, who concentrate on soma instead, and later, in
Hari´scandra as a substitute for his own son, whom he was
the dharma texts, sura¯ is even prohibited.
bound to sacrifice to Varun:a, the point of the story being
how S´unah:´sepa liberated himself by “seeing” and reciting
Place of sacrifice and fires. In contradistinction to the
stanzas in praise of Varun:a). These rites are inserted in the
domestic (gr:hya) ritual, the ´srauta ritual requires a place of
second soma sacrifice, the Abhis:ecan¯ıya (connected with the
sacrifice separate from the home. Of the soma sacrifice it is
abhis:eka).
even said, “One undergoes the d¯ıks:a¯ at home; in the wilder-
ness one performs the sacrifice.” Although the ´srauta ritual
The prestigious horse sacrifice (A´svamedha) is a three-
requires the presence of the sacrificer’s wife, it appears origi-
day soma sacrifice. The horse, accompanied by warriors, is
nally to have been linked with life outside the settled com-
left to roam about for a year on a tour of “world conquest”
munity. Accordingly, the place of sacrifice is a temporary
and is immolated, together with other animals, on the second
structure that is left when the sacrifice has been complete.
sutya¯ day (thus providing the animal sacrifice of the basic
soma paradigm). The insertions concern first of all the treat-
Just as the ´srauta sacrifices are ordered by degrees of
ment of the horse; the chief consort of the sacrificer has to
complexity, so also the place of sacrifice goes from simpler
go through a sham copulation with the immolated horse
to more complex, enlarged forms. The basic form is that used
while exchanging prescribed obscene and enigmatic phrases
for Agnihotra and is:t:i. An oblong shed, oriented to the east,
with the other consorts. Further there is again a chariot race
with openings to the four directions, shelters the three fire
and a full-scale verbal contest (Brahmodya).
hearths. The round ga¯rhapatya (“householder’s”) hearth,
where the vegetal or dairy oblations are prepared, is on the
The Purus:amedha, or human sacrifice, is modeled on
west side, the square a¯havan¯ıya (offering hearth) is on the
the A´svamedha. In this form it would seem to be no more
east side, and the half-moon-shaped daks:in:a¯gni (“southern
than a theoretical possibility reflecting the R:gvedic Purus:a
fire”), where the food given to the priestly guests is cooked,
hymn (R:gveda 10.90). It does, however, raise the question
is to the southeast of the ga¯rhapatya. Between the ga¯rhapatya
of human sacrifice in general, outside the strictly bounded
and the a¯havan¯ıya, the vedi, the altar on which the oblations
realm of the ´srauta ritual. Although the idea of such sacrifices
are placed, is arranged in the form of a trapezium. The upper
appears to have been known to the ritualists, as witnessed by
layer of earth is taken off and the dug-out space is covered
the S´unah:´sepa legend, the actual practice would go against
with grass. With its base to the west, its upper side to the east,
the grain of the ´srauta ritual. The Bra¯hman:as repeatedly in-
and its sides bent inward, it is meant to suggest the form of
dicate that the sacrificer offers himself in sacrifice—like his
a woman, broad-hipped and narrow-shouldered, holding the
mythical prototype Praja¯pati or the R:gvedic Purus:a—but the
bounty of sacrifice (that is, the oblations placed on the vedi).
ritualistic solution is to “buy oneself free” (nis:kr¯ın˙¯ıte) by sub-
To add to the vedi’s symbolism, the two shoulder points en-
stitution. Or rather, the sacrificial ritual effectively cancels
compass the sides of the a¯havan¯ıya. Furthermore, there is a
the ultimate violence of self-sacrifice. In a comparable way
small mound (utkara) formed by the earth taken from the
the royal sacrificer is mysteriously identified with the sacri-
place of the vedi and used for rubbish disposal on the north-
ficed “King Soma,” a mystery that as such is not meant to
ern side. North of the a¯havan¯ıya a vessel with water is put
be concretely realized but can only be hinted at. Nor is there
down. The sacrificer has his seat south of the a¯havan¯ıya, as
a need for a human substitute. The Purus:amedha, then, ap-
does the brahman, whose place is to the east of the
pears to be a theoretical construct that may reflect non-´srauta
yajama¯na’s seat; the hotr: is seated at the northwestern “hip”
practices translated into the terms of the ´srauta systems.
of the vedi and the a¯gu¯ıdhra, north of the vedi; the adhvaryu,
who mostly moves around on the place of sacrifice, has no
Separate mention should be made of the Sautra¯man¯ı,
fixed place.
named after Indra Sutra¯man (“savior”). It is the sacrifice of
sura¯, the grain liquor. In terms of the ´srauta system it is an
For the pa´subandha (animal sacrifice) the place of sacri-
animal sacrifice in which three male animals are immolated
fice is enlarged by adding an open space, the “great vedi”
for the A´svins (who mythologically obtained the sura¯ by
(maha¯vedi), equally traced out in the form of a trapezium
force from Namuci), Sarasvat¯ı, and Indra. The special fea-
and covered with grass, immediately east of the fire shed. On
ture is, however, the preparation, offering, and drinking of
the east side of the maha¯vedi the new a¯havan¯ıya hearth (ut-
the sura. The way the animal sacrifice and the sura¯ beverage
taravedi, “further vedi”) is arranged, and east of it the sacrifi-
are intertwined is patterned after the soma ritual (though
cial pole (yu¯pa) is erected. The center of the action is shifted
without the stotra-´sastra liturgy). The Sautra¯man¯ı, though
to the east: The fire is brought from the old a¯havan¯ıya hearth
also given as an independent sacrifice, is to follow a soma sac-
in the fire shed and the latter serves henceforth as the
rifice in which an abhis:eka has been inserted (a sava, as in
ga¯rhapatya. Outside the maha¯vedi, to the north of it, sits the
the Ra¯jasu¯ya). Apparently it is meant to remedy any unspeci-
´samitra, the shed where the ´samitr: (“appeaser”) kills the vic-
fied bad effect of such sacrifices, as it is also said to cure the
tim (by suffocation) after it has been taken from the yu¯pa.
sacrificer from excessive soma drinking. In this connection,
The same special arrangement with fire shed and trapezoid
the function of the A´svins as healers is relevant. It should be
maha¯vedi is used for the soma sacrifice. The maha¯vedi is con-
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9565
siderably larger, as various sheds are built on it. West of the
mestic hearth. This rice dish is offered to four brahmans (the
new a¯havan¯ıya is the havirdha¯na shed, where the two soma
number four characterizing the smallest possible community,
carts (one of which was used to bring up the store of soma
as it does in the case of the Buddhist monks’ community).
stalks) are kept, as well as the soma tub (dron:akala´sa) and the
Over the dying embers the drilling sticks (the two aran:is) are
other implements. On the western side, the north-south ori-
held and then given by the adhvaryu to the sacrificer. In the
ented sadas (seating hall) is erected. In the sadas six small fire
early morning of the next day the fire is drilled and put on
hearths (dhis:n:iya) are made, one for each of the six reciting
the ga¯rhapatya hearth. From the ga¯rhapatya a burning piece
hotrakas; further on are the seats of the four chanters who
of wood is taken and brought to the a¯havan¯ıya hearth, ac-
perform the stotra. The drinking of the soma, after the liba-
companied by a horse and a chariot wheel that is rolled in
tion in the fire, takes place in the southern part of the sadas.
the same direction. This procedure for bringing over and set-
The entrances of the sadas are on the east and the west sides.
ting up the a¯havan¯ıya fire, though easily interpreted as a solar
When the participants enter the sadas in procession, they do
charm, rather suggests a warlike expedition, especially when
so in a peculiar way “as if stalking a deer” (prasarpan:a,
the accompanying mantras (referring to unnamed enemies)
“creeping,” possibly the remnant of a hunting dance). Finally
are taken into consideration. The daks:in:a¯gni is either drilled
there are two more sheds, each with a small fire hearth, the
separately, is taken from elsewhere, or is taken from the re-
a¯gn¯ıdhr¯ıya (the a¯gn¯ıdhra’s place) and the ma¯rjal¯ıya
mainder of the odana’s cooking fire.
(“cleansing”), respectively on the north and south sides of the
The ritual involves the installation of two more fires: the
maha¯vedi. Outside the maha¯vedi is placed the utkara, as is
sabhya (“of the assembly,” sabha¯) and the a¯vasathya (“of the
the ca¯tva¯la (cesspit), from which the earth has been taken for
residence,” a¯vasatha, i. e., of the guests). Their installation
the fire hearths.
involves a dice game for the portions of a cow, which may,
Normally the hearths are made of earth mixed with
however, be replaced by an odana. The total number of fires,
then, is five, a number that is in later speculations connected
other materials, such as gravel, earth from an anthill, mud
with the five pra¯n:as (vital breaths). In the ´srauta sacrifices
from a dried-up pool, and so forth. In the case of the soma
these two additional fires are not used, but they may well rep-
sacrifice it is also possible to enhance the prestige of the cere-
resent an ancient tradition of communal sacrificial festi-
mony by using brick fire hearths. For the horse sacrifice this
vals—a tradition that may live on in the Maha¯bha¯rata’s de-
is obligatory. The focus of attention is the a¯havan¯ıya, which
scription of the royal sabha¯ where the Ra¯jasu¯ya of the
rests on the maha¯vedi. The a¯havan¯ıya consists of a five-
Pa¯n:d:ava protagonists took place, as well as the fatal game of
layered brick construction. This requires a full thousand
dice that set off the all-consuming war between the Pa¯n:d:avas
bricks of various shapes and sizes so as to fit into the pre-
and the Kauravas.
scribed pattern—the form of a bird with spread-out wings
representing Agni (the bricks, being fired, are intimately con-
The Agnya¯dha¯na is then rounded off by the first Agni-
nected with Agni). At the same time the brick-built
hotra and is:t:i. The main point of the Agnya¯dha¯na is, howev-
a¯havan¯ıya is equated with the immolated and reconstructed
er, the bridging of the gap between the gr:hya (domestic) and
body of Praja¯pati or of the cosmic man (Purus:a). Various ob-
the ´srauta spheres. The two sorts of fire, domestic (called
jects are buried in the ground beneath the brick construction,
aupa¯sada or a¯ma¯tya) and ´srauta, are discontinuous. They are
including the skulls of a man and of four animals (horse,
to be linked to each other by the person of the sacrificer, who
bull, ram, he-goat) and a gold image of a man. This rather
after the completion of the sacrifice symbolically takes the
suggests a funerary tumulus (not unrelated to the Buddhist
fires into himself to reproduce them for the next sacrifice
stu¯pa). The construction of the brick hearths (Agnicayana,
with the help of his aran:is.
“piling the fire”) is a complicated ritual of fetching the clay
Domestic ritual. The domestic (gr:hya) ritual requires
in a ceremonial procession (which can be shown to derive
only the domestic fire (aupa¯sada or a¯ma¯tya). It is, in princi-
from a razzia or war expedition), firing the bricks, and finally
ple, performed by the master of the house with the help of
building the hearths, especially the bird-shaped a¯havan¯ıya.
a house priest (purohita, lit., “put forward,” apparently to
The Agnicayana takes place during the upasad days, so as to
ward off evil). The domestic sacrifices, including a domestic
be ready for the animal sacrifice on the last upasad day. After
Agnihotr:a, cake and gruel offerings (pa¯kayajña), and animal
the sacrifice the brick-built fireplaces, like the place of sacri-
sacrifices, have undergone the influence of the ´srauta system
fice itself, are abandoned, not to be used again.
but are not directly derived from them. In many respects
In this connection, mention should be made of the spe-
they may be nearer to the common source of both types of
cial ritual for the first installation of the ´srauta fires, which
ritual, the material of this common source having been “recy-
forms the starting point of the ´srauta sacrificer’s career. This
cled” and rigidly systematized in the ´srauta ritual.
ritual, called Agnya¯dha¯na or Agnya¯dheya, concerns the tran-
A prominent occasion for the animal sacrifice is the re-
sition of the domestic householder-sacrificer to the status of
ception (arghya) of a prestigious guest to whom a cow is of-
an a¯hita¯gni, one who has set up the ´srauta fires. Hence the
fered. The guest must then either order to kill and prepare
first part of the ritual is still domestic in nature, namely the
the cow for a meal or release it. The burden for the killing
cooking of a rice dish (odana) on a fire taken from the do-
falls on the guest, not on the host. This point is not without
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9566
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importance in connection with later notions about ahim:sa¯
The period of mourning and impurity (a¯´sarca) of the
(nonviolence) and the prohibition of cow slaughter. It may
relatives at the death of a full-grown family member lasts for
also explain the Buddha’s refusal to have meat prepared for
twelve days and is completed by a purificatory rite including
him.
a bath. The next stage is the incorporation of the deceased
The main part of the domestic ritual concerns the life
(who as a preta, or “one gone forth,” is thought to roam
cycle rituals. The first of these is marriage, at which time the
about) into the ranks of the ancestors (pitr:) to receive his part
domestic fire, derived from the fire lit for the occasion in the
of the cult. The cult consists in the festive S´ra¯ddha (from
bride’s home, is established in the new home. Further rituals
´sra¯ddha, “faith”), a meal offered to brahmans. On this occa-
are the furthering of the birth of male progeny (Pum:savana),
sion three rice balls (pin:d:as) are put on the ground for the
the birth rites (Janmakarma), first taking of solid food
three immediate ancestors, represented by three brahmans
(Annapra¯´sana), first haircutting (Cu¯d:a¯karan:a, “making the
who silently wait till the rice balls are cooled and they emit
hairtuft,” cu¯d:a¯).
no steam. The ancestors are supposed to be fed by the steam
of the hot rice balls, which are set on the ground and left
Then follows the important initiation to the Veda (Up-
there. Apart from the S´ra¯ddha, which is very much a social
anayana, “leading up to” and acceptance of the boy by the
occasion and is performed periodically as well as at particular
teacher). This is said to be the “second birth” of the “twice
auspicious occasions (such as the birth of a son), there are
born” varn:as of bra¯hman:as, ks:atriyas, and vai´syas, which
also daily offerings of water and food to the ancestors.
qualifies them for the use of Vedic mantras and for becom-
ing, if they so wish, ´srauta sacrificers. The period of pupilage
The pin:d:a offering to the ancestors has also found a
or fosterage (brahmaca¯rin, “walking in brahman” lasts, in
place in the ´srauta ritual, most notably on the preparatory
theory at least, a varying number of years according to the
day of the is:t:i. Rice is cooked on the southern fire, offerings
varn:a of the pupil and is concluded by the Sama¯vartana, the
are made from it into the same fire, and three pin:d:as are
“turning around” or return from the teacher. The former
placed on a special vedi near the fire. An enlarged version of
brahmaca¯rin is now a sna¯taka, “one who has taken the bath”
this pin:d:a-pitr:-yajña is incorporated as the “great ancestor
that ends his duties and restrictions as a pupil; the restrictions
sacrifice” (Maha¯pitr:yajña) in the Sa¯kamedha, the third of the
of the brahmaca¯rin include chastity and are generally similar
seasonal four-month sacrifices.
to those of the d¯ıks:ita. Originally, the brahmaca¯rin would
As already mentioned, the cult of the ancestors is char-
seem to have been a young warrior who commends himself
acterized by the use of the left side and the left hand as well
as a vassal to a magnate or warlord rather than a pupil peace-
as by uneven numbers.
fully devoted to learning by heart the Veda. His “return” as
a sna¯taka is preferably by chariot and thereby recalls the
Interpretations of Vedic ritual. Vedic ritual is usually
d¯ıks:ita, who, according to the older S´rautasu¯tras, also sets
interpreted in the sense of magic, the Veda being the means
out on a chariot to the place of sacrifice. The term
to bring about well-being and to avoid pain, as is stated by
sama¯vartana seems, moreover, more appropriate to the war-
the fourteenth-century commentator Sa¯yan:a. This interpre-
rior’s art of turning around the horse-drawn chariot at high
tation is supported by the fact that the ritual texts dutifully
speed than to returning home. The long period of initiation
declare which desire will be fulfilled by the performance of
to Vedic lore, then, appears to be largely a theoretical con-
a particular sacrifice: health, wealth (especially in cattle),
struct preserving the memory of an older situation rather
progeny, headmanship, or, less materialistically, (access to)
than a generally applied rule. Accordingly, the Upanayana
heaven. More important, the ritual system as such is given
is the decisive rite that gives access to the Veda, whether or
in the Bra¯hman:as as a perfectly ordered mechanism to domi-
not there is an extended period of pupilage and a
nate and regulate the cosmic processes, both as regards the
sama¯vartana rite.
individual’s life and the universe at large. In this context the
gods are not free agents but, being themselves cosmic forces,
To the domestic ritual also belong the funerary rites.
they are compelled to do the sacrificer’s bidding. The place
These concern the cremation of the body, the Pitr:medha
of sacrifice is a microcosmos encompassing heaven and earth,
(“ancestor sacrifice”), which, as the name indicates, is viewed
and the ritual is identical with the cosmic order. When set
as a (holocaust) sacrifice. The cremation fire is the household
in motion and correctly executed the ritual automatically
fire or, in the case of a ´srauta sacrificer, his three sacrificial
controls the universe. Thus, for instance, it is said that the
fires, which are placed around the pyre. The wife of the de-
sun would not rise if the morning libation of the Agnihotr:a
ceased lies down with the body of her husband on the pyre
were not offered in the fire (S´atapatha Bra¯hman:a 2.3.1.5).
but is then ordered with a mantra to stand up again before
the pyre is lit (the Veda apparently knows but rejects the
The Bra¯hman:as relate the ritual microcosmos to the
burning of the widow). Then the parts of an immolated cow
macrocosmos and to the individual’s life through the identi-
(or other female animal) are placed on corresponding parts
fication of ritual acts, objects, and implements with the ele-
of the body and burned with him. If the deceased was a
ments of the macrocosmos and with parts of the sacrificer’s
´srauta sacrificer his sacrificial implements are also placed on
body, the sacrificer being identified with Praja¯pati, the myth-
his body. Afterward the ashes are gathered and at a later date
ical embodiment of sacrifice. Although these identifications,
interred under a tumulus (los:t:aciti, “earth piling”).
which form the central feature of the Bra¯hman:as, suggest a
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VEDISM AND BRAHMANISM
9567
rich and multilayered network of symbolic relations, they are
sibly derived from vrata, “vow”) is a consecrated warrior in
not so much multi-interpretable symbolic statements as one-
many ways related to the d¯ıks:ita. The Atharvaveda in a long
to-one equations of ritual items with human and macrocos-
hymn celebrates the vra¯tya as a sacral cosmic figure. Howev-
mic ones. They are, each one separately, isolated identifica-
er, his disturbingly aggressive habits, which still shine clearly
tory statements. As they occur in the Bra¯hman:as they make
through the Bra¯hman:as, ill suit the perfect order of the ritual.
a singularly atomized impression. Taken together they are no
The ritualists solved the problem they presented by remodel-
more than a collection lacking consistency. Whereas Vedic
ing the sacrifice of the vra¯tyas into the regular soma sacrifices
hymnology capitalizes on the associative ramification of sym-
of the ah¯ına type.
bolic connections, such connections (nida¯na, bandhu) are, in
The Bra¯hman:a myth of Praja¯pati’s and Mr:tyu’s sacrifi-
the Bra¯hman:as, reduced to single, unmistakable identifica-
cial contest brings out the extent and depth of the reflection
tions. The connection on which the identification is based
that went into the formulation of the ritual system. It also
is often a number characterizing both items, which are then
shows the aim of the ritualists’ work. This is made clear by
said to “coincide” (sam:pad) or to exhibit the same count
the story’s conclusion: “Now there is no sacrificial contest
(sam:khya¯na): for instance, three fires, three worlds; 360
(sam:sava) anymore; what was the other (rival) sacrifice, that
stotriya¯s, 360 days in the year. Such equivalences are, of
came to nought; the sacrifice is only one; Praja¯pati is the sac-
course, known to the Vedic hymns, but they are not directly
rifice.” That is: Conflict is canceled; the enemy, Death, has
made explicit as they are in the Bra¯hman:as. The explicit use
been subjected to the rule of ritual. Henceforth, the single
of equivalence appears to have been viewed by the ritualists
sacrificer stands uncontested on his place of sacrifice where
as an innovative technique—indeed their premier intellectu-
he establishes his own perfectly ordered universe governed
al tool—to identify the ritual with the universe and so to re-
by the ritual. The mythological battle of devas and asuras has
duce the universe to a strict, ritually controlled order.
been decided by the ritual system. Enemies, like the asuras,
are still profusely mentioned in the Bra¯hman:as, but only as
The significance of identification and of the ritual sys-
disembodied entities defeated in advance by the unfailing
tem it underwrites is clearly set out in a ritualistic myth given
means of the ritual. The only remaining uncertainty is the
in explanation of the maha¯vrata soma sacrifice. Its theme is
ritual mistake, which, however, can be repaired by ritual
the sacrificial contest of Praja¯pati and his antagonist Mr:tyu
means (pra¯ya´scitta, “removal of concern”).
(Death). In this contest Praja¯pati’s “weapons” are the stotra,
the ´sastra, and the ritual act. The arsenal of Death consists
The ritual system is an absolute, universal, and noncon-
flicting order: It is, in other words, transcendent. While the
of lute playing, singing, dancing, and improper acts. For
hymn’s world of the gods imperceptibly shaded over the
many years the contest remains undecided. But the break-
world of men, the suprahuman (apaurus:eya) ´sruti and its rit-
through comes when Praja¯pati finally discovers (“sees”) the
ual is now separated by a gap from the mundane world of
(numerical) equivalence, namely, of his own “weapons” with
conflict. The ´srauta sacrifice has been individualized and de-
those of Death. Once the equivalence is established,
socialized. It is the exclusive affair of the single sacrificer. He
Praja¯pati effortlessly subjugates Death’s panoply to his own,
and his priests should form one single body; otherwise, they
cancels the rival sacrifice, and so defeats Mr:tyu (Jaimin¯ıya
are separate individuals within a group of priests, all of whom
Bra¯hman:a 2.69–70). It is to be noted that Praja¯pati’s “weap-
are at once sacrificers in the sattra. The situation in which
ons” are elements of the ´srauta system of ritual, such as stotra,
more than one sacrificer would exist in addition to the priests
´sastra, and regular sacrificial acts. It is through their equiva-
on the place of sacrifice is explicitly ruled out. This may ex-
lences that Praja¯pati overcomes and integrates the counter-
plain the striking lack of public religious ceremonies. Al-
vailing power of Death. The latter’s rival sacrifice, incorpo-
though the royal ´srauta sacrifices such as the Ra¯jasu¯ya (con-
rating singing, dancing, and improper acts, is clearly
secration of the king) contain ample indications of a former
non-´srauta.
public festival, the royal sacrificer is a single sacrificer, no dif-
Such acts are indeed part of the maha¯vrata, which fea-
ferent from any other soma sacrificer. The public rites have
tures a number of contest rites and even copulation. What
been remodeled in accordance with the standard paradigms
the ritualistic myth relates, however, is that these rites are
of the individualized ritual, or else they are dismembered as
made harmless and are in fact superseded by Praja¯pati’s vic-
separate acts inserted into the standard soma paradigm. The
tory. Indeed, the term maha¯vrata generally means no more
Ra¯jasu¯ya, formally speaking, does not make a sacrificer a
than a sutya¯ day characterized by a particular arrangement
king, for it is stated that “a king who wants to attain heaven
of its stotras and forming part of a sattra made up of similarly
should perform the Ra¯jasu¯ya” (A¯pastamba S´rautasu¯tra
differentiated soma-pressing days. In the same way other
18.8.1). That is: He is already a king who for his own reasons
non-´srauta rituals and sacrifices were remodeled and fitted
performs the sacrifice. This is recognized in the later dharma
into the ´srauta system. For instance, the guest reception of-
texts, which do not prescribe it as the required consecration.
fered to King Soma is made into a vegetal is:t:i, not essentially
Similarly, the A´svamedha sacrificer should already have the
different from any other is:t:i. A more complicated example
status of a world ruler (A¯pastamba S´rautasu¯tra 10.1.1).
is provided by the so-called vra¯tyastomas, which are related
The ´srauta ritual, as many details of its rules and the
to the maha¯vrata. The vra¯tya (from vra¯ta, “gang, band,” pos-
Bra¯hman:a explanations make clear, has its origin in the hero-
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ic and essentially tragic world of the warrior who like the
the last resort it rejects its own potential for magical and sa-
gods must “move about on wheels” and contend for the
cral meaning. Beyond magic and sacrality it stands by itself
goods of life with the asura-like settled magnate who “sits in
in sovereign transcendence.
his hall.” He can only hope that he may survive and eventual-
BRAHMANISM. Though admittedly a vague term, Brahman-
ly quit the life of the warrior (ks:attravr:tti) so as to become
ism is best defined in relation to Vedism. It does not primari-
a settled householder and magnate himself. The warrior lives
ly concern religious cults or institutions but rather pro-
in the wilds (aran:ya); hence the sacrificer’s setting out from
pounds particular views, laid down in texts, about humanity
home. The settled community (gra¯ma) on the other hand is
and the universe. These views are, however, equally funda-
the sphere of the magnate. The two spheres, gra¯ma and
mental to Hinduism in general. Their specificity resides in
aran:ya, are clearly hostile to each other but equally comple-
the claim to be related to or directly derived from the Veda.
mentary. The point of contact that held both together was
Brahmanism is, therefore, usually considered to be the Veda-
their conflict contained by the sacrificial contest that lived
oriented form of Hinduism, immediately following Vedism.
on in the hypertrophical imagination of the epic “sacrifice
However, since the textual tenets of Brahmanism are general-
of battle” (ran:ayajña). Both epics, the Maha¯bha¯rata as well
ly authoritative also in later Hinduism, a three-tiered succes-
as the Ra¯ma¯yan:a, still show the alternation between the wan-
sion of Vedism, Brahmanism, and Hinduism tends to be
dering warrior’s life in the wilds and the sphere of settled rul-
misleading. Moreover, like Vedism, Brahmanism is not like-
ership.
ly to cover the whole of early Hindu religious belief and prac-
The ´srauta ritual indicated a clear break with the cyclical
tice. Brahmanism is characterized by its acknowledgment of
alternation of gra¯ma and aran:ya and with the sacrificial con-
the Veda as the ultimate source of transcendent authority.
test as the joint holding the two together. By the elimination
Thereby it is clearly marked off from the “heterodox” sects
of conflict from the desocialized and individualized sacrifice
or movements such as Buddhism, Jainism, Aj¯ıvakas, and the
the two spheres were definitively broken apart. This is illus-
materialist schools (Loka¯yata, Ca¯rva¯ka), which reject the au-
trated by the agnya¯dheya, which physically separates the do-
thority of the Veda.
mestic fire from the ´srauta fires. The resulting gap must then
In Indian terms, the relationship between Vedism and
be bridged by the single sacrificer who alternates between his
Brahmanism is that of ´sruti (“hearing”), the transcendent
life in the world and the transcendent rule of the ´sruti. Put
“revelation” as against the worldly or human tradition, called
differently, he must fuse the two opposite rules of a substan-
smr:ti (“remembrance”). The word ´sruti does not refer to the
tial householder and a wandering warrior. Hence, only a
mode of receiving the revelations: The standard term is “see-
householder can be an a¯hita¯gni, that is, one who has set up
ing,” not “hearing.” S´ruti thus refers to the transmission of
the ´srauta fires permanently and thereby submits himself to
the fixed and systematized texts. In this sense it is not essen-
the absolute order of the ´sruti. This gives him access to tran-
tially different from the smr:ti, except for the unique care and
scendence, but by the same token this does not change his
efforts spent on its preservation and transmission. But the
social position. Whether king or commoner, under the rule
differentiation marked by the two terms is significant. Al-
of ritual all sacrificers are equal. Sacrifice can only impoverish
though the smr:ti equally tends to give itself as revelation,
the a¯hita¯gni, since he has to go on spending his wealth in sac-
namely by the godhead, the transcendent authority of the
rifices and daks:in:a¯s without a chance to recoup through reci-
´sruti does not derive from any godhead. It stands by itself
procity at the sacrifices of others. Accordingly, there is no ob-
without the intermediary of a divine agency. Its authority
ligation for the qualified householder to set up the fires and
being ultimate, it can have no other, higher source. It there-
to submit to the strict discipline of ´srauta sacrifice. If he does,
fore functions as the unassailable basis of the fluid and adap-
he must be sure of himself and his fortune, or, as the texts
tive worldly smr:ti. Another word for smr:ti is dharma, univer-
put it, he must have absolute faith (´sraddha¯). It is true that
sal law, which then is said to be derived from or to be already
the ´srauta sacrifice promises him the fulfillment of his wish-
contained in the ´sruti. At any rate the dharma should not go
es. In the sacrificial contest the possibility of fulfilling one’s
counter to the ´sruti. In fact, however, the relationship is
wishes was clear. The goods of life were concretely set out
more complex and indeed problematic.
as the stakes and prizes of the contest. The ´srauta ritual by
contrast does not and cannot make clear how the desired re-
Texts. In addition to the Vedas and Bra¯hman:as, the
sults are to be brought about. It is adr:s:t:a¯rtha (without visible
texts to which Brahmanism, or, to use the Indian term, the
object), that is, transcendent.
smr:ti, refers are the Upanis:ads, the Dharmasu¯tras and
Dharma´sa¯stras, the epics (Maha¯bha¯rata and Ra¯ma¯yan:a), and
It is clear, then, that the ´srauta ritual hinges on a para-
the Pura¯n:as. The Upanis:ads can be chronologically distin-
dox. It offers itself as an effective magical means for the grati-
guished by their form: The older prose Upanis:ads are exten-
fication of the sacrificer’s worldly desires. On the other hand
sions of the ritualist Bra¯hman:as. Most of the younger ones,
it withdraws from all worldly concerns from which desocial-
often of sectarian origin and with a wide variety of contents,
ization and individualization have cut it free. It is a closed
are metrical. The latter genre has been productive over a long
system of rationalistically devised rules, complete in itself and
period reaching far beyond the late Vedic texts, until at least
regardless of the uses and abuses to which it may be put. In
the sixteenth century CE. The Upanis:ads belong to the ´sruti,
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VEDISM AND BRAHMANISM
9569
and this title is a claim to ultimate authority. In the same
Once it was desocialized and individualized there was
way, the set of 108 Upanis:ads (listed in the Muktika¯
only one way open to the ´sruti: interiorization. What then
Upanis:ad) are ascribed to the Vedic ´sa¯kha¯s (schools), but it
takes priority is no longer the faithful execution of the ritual
is significant that a large proportion is ascribed to the Athar-
but knowledge of the ritual and of the identifications on
vaveda, in which have been collected many other materials
which it rests. This is already prefigured in the recurrent
that do not fit into the ´srauta system.
Bra¯hman:a phrase that a particular ritual act is effective only
for him “who knows thus,” that is, for him who knows the
The Dharmasu¯tras are in the same condensed style as
relevant identification. It is thus possible to perform the ritu-
the Vedic su¯tras and are equally affiliated with Vedic
al in thought alone (manasa¯). The transcendent order of the
“schools” (caran:a). This affiliation becomes looser with the
ritual is realized internally in the way of discipline medi-
metrical Dharma´sa¯stras. No less important as a storehouse
tation.
of mythology, religious notions, and dharma are the wide-
An illustrative example is provided by the Agnihotr:a, of-
ranging Maha¯bha¯rata (especially its twelfth book, the
fered in five breaths that are equated with the five sacrificial
S´a¯ntiparvan, and its sixth book, which contains the celebrat-
fires (pra¯n:a¯gnihotr:a). In mundane terms it is simply eating
ed Bhagavadg¯ıta¯) and the Ra¯ma¯yan:a, which has known a
one’s meal embellished with mouth rinsings and simple man-
great number of reworkings. The encyclopedic Pura¯n:as
tras. But the same pattern enables the brahman to participate
(“ancient stories”) deal, in principle, with five topics
in a festive meal to which he is invited (a S´ra¯ddha, for in-
(pañcalaks:an:a, “five characteristics”): creation, periodical rec-
stance). He is thus not just a guest obliged to his munificent
reation, genealogy (of gods and holy men), the world periods
host but an individual sacrificer who performs the sacrificial
(yugas), and the dynasties. But many other materials have
ritual independent of his host and the surrounding society.
been added at various unspecified times: dharma precepts,
In other words, it enables the brahman to square the circle
pilgrimage, hymns, and sectarian treatises. They have func-
of living in society and of transcending it at the same time.
tioned over a long period as a storehouse receiving all manner
World renunciation. From the individualized sacrificer
of materials. The Pura¯n:as (the term occurs already in the
and his internalized sacrifice there runs a straight line leading
Atharvaveda) continued the tradition of legends (itiha¯sa) that
to the extramundane world renouncer (sam:nya¯sin), who
occasionally make an appearance in the ´srauta ritual (e.g., the
gives up the three aims of mundane life—the socioreligious
S´unah´sepa story in the Ra¯jasu¯ya). Chandogya-Upanis:ad
duties of the householder (dharma), the acquisition and
3.4.1. mentions itiha¯sa-pura¯n:a as the “fifth Veda,” which is
management of wealth (artha), and sensual gratification
later taken to comprise the epics as well.
(ka¯ma)—to devote himself single-mindedly to a strict inner
Brahmanism, though primarily textual, does not have
discipline that results in his liberation from earthly life
a fixed corpus of texts. Its tenets are recorded in a variety of
(moks:a). Though there is a wide variety of such inner disci-
texts stretching over a long and, in fact, indefinite period of
plines they all share the ritualistic strictness of an internalized
time. Its impact has made itself felt in Hinduism, increasing
transcendent order. The renouncer’s discipline obviously
and decreasing in various regions at different times. It would
goes beyond, and in many if not most cases even rejects,
seem that rising regional dynasties have been instrumental
Vedic ritualism. But it is the desocialization and individual-
in creating waves of “brahmanization.” This will also have
ization of Vedic ritual that has prepared the ground for the
institution of sam:nya¯sa, or renunciation.
been responsible for the incorporation in the texts of materi-
als of regional and sectarian origin. But such brahmanization
In this connection two sets of ideas, both deriving from
equally carried the ´sruti with it, which as the source of ulti-
ritualistic thought, are fundamental. The first such notion
mate authority was of singular importance for the ruler’s le-
is the Upanis:adic identification of a¯tman, the individual
gitimation.
“soul,” with brahman. In the Vedic hymns brahman is the
multilayered and multi-interpretable, often paradoxical or
Interiorization of the ritual. The crucial issue here is
enigmatic formulation. The unexpressed inner connection is
the relationship of Brahmanism with the Veda, that is, be-
the essence of the brahman. The Bra¯hman:a ritualists reduce
tween ´sruti and smr:ti. The ´sruti has exhausted itself in creat-
the brahman to the explicit identification. In both cases,
ing a closed system of ritual order. But the price that had to
however, it is this fundamental force that makes the poetic
be paid for this achievement was the alienation from the
statement as well as the rite effective. In this way the brahman
worldly concerns of the mundane order. The ´sruti was—
came to be seen as the transcendent principle of universal
purposely—desocialized and individualized. This created the
order. The sam:nya¯sin’s discipline, as already announced in
problem of reconnecting it again with the mundane order.
the Upanis:ads, means the internal realization of the brahman
Propounding an absolute and seamless order, the ´sruti rejects
as the principle of transcendent order through its identifica-
conflict and places the rival beyond the pale. It therefore can-
tion with the a¯tman. It is the ultimate identification tying
not speak to man’s worldly concerns. Notwithstanding the
together and thereby canceling the dispersed identifications
proclaimed dependence of the dharma on the ´sruti, the lat-
of the Bra¯hman:as in the single person of the renouncer, as
ter’s contents do not provide specific guidelines for the ten-
was in fact already the case with the individualized ´srauta sac-
sions and conflicts of social life.
rificer who was identified with Praja¯pati or the purus:a.
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The other set of ideas, equally ritualistic in origin, is the
The principle of separation can be seen as deriving from
concept of karman, or work. In the Bra¯hman:as karman is the
the individualization of the Vedic sacrificer that resulted
sacrifice. Originally this sacrificial “work” had a social con-
from the exclusion of conflict and competition. In fact, indi-
text. It rested on the competitive reciprocity of hosts and
vidualization did not stop at the boundary of the varn:a. The
guests, the latter having to redeem themselves by acting in
scriptural rules forbid marriages among even distant relatives,
their turn as hosts. The individualization of the ´srauta sacri-
and so are directed against the formation of extended mar-
fice, however, put an abrupt stop to all exchange and reci-
riage networks. As in the case of the sacrificer’s individualiza-
procity. This meant that now the sacrificer had to exchange
tion, the separation of the varn:a aims at a static, conflictless
his karman with himself alone, one’s karman inexorably
order through the exclusion of social relations. The scriptural
bringing the next karman in its wake. This, combined with
order of the separate varn:as is in the last resort incompatible
the not exclusively Indian notion of an unending alternation
with the reality of the associative and conflictive ja¯tis.
of birth, death, and rebirth (sam:sa¯ra), created the urge to ter-
Although it is not stressed in the texts, the religious
minate the endless chain of ever-renewed karman that could
principle of the ja¯ti order appears to be the asymmetric inter-
no longer be transferred to the rival. The only way open was
dependence of pure and impure, the impure being the “fall-
then to renounce all karman, all activity, by realizing inter-
out” of life processes, including death and decay. Their hier-
nally the stasis of absolute order. Obviously, this signifies re-
archy as well as their obvious complementarity led the
jection of the external sacrifice as well. Even though it cancels
French sociologist Louis Dumont to his impressive analysis
Vedic ritualism, the ideal of terminating all karman can be
of the Indian caste order as based on and encompassed by
seen as the consequence of ritualistic thought.
the religious principle of the pure-impure hierarchy. Al-
The crucial importance of the institution of world re-
though this analysis holds for the ja¯ti order, it is undermined
nunciation in Brahmanism and in Hinduism in general is
by the scriptural varn:a, which rejects relations of comple-
that it created two opposite and incompatible spheres: the
mentarity and interdependence in favor of separation and in-
transcendent sphere of the renouncer’s individualistic rejec-
dependence.
tion of society as against the social world and its require-
This problem is particularly clear in the case of the brah-
ments. At the same time, however, the renouncer paradoxi-
man. As the ideal repository and upholder of the transcen-
cally needs society, which must provide for his upkeep so as
dent ´sruti the brahman should be immaculately pure. But
to enable him to preserve his discipline. On the other hand
this requirement threatens to make him dependent on the
society wants to draw him into its web again as the holder
impure—such as the sweeper or the washerman—and such
of transcendent authority. That is: The sam:nya¯sin will gather
relations of dependence would fatally impair his purity. Puri-
a following. He is therefore especially known as the founder
ty, then, is the absence of relations. Strictly speaking he
of a sect. The Indian sect typically has a sam:nya¯sin as found-
should not be a priest, because this would involve him in so-
er, who will be succeeded by one of his pupils to lead the
cial relations of a particularly dangerous—because sacral—
worldly lay followers.
nature. Ideally, the brahman should stand outside of society,
Varn:a and a¯´srama. The dharma or world order, being
the highest brahman being the one who has no power or
universal, must regulate both worldly and renunciatory life.
wealth or even provisions for the next day, and who performs
This is the subject of varn:a¯´sramadharma, the order of caste
the ritual in and for himself alone. Thus he bears the brunt
of the incompatibility between ja¯ti interdependence and
(varn:a) and life stages (a¯´srama, “place of exertion,” hence
varn:a separation. In other words, the ideal brahman should
also dwelling place of ascetics). While caste orders worldly
be a renouncer. The tension between ja¯ti and varn:a is akin
society, the life stages give a place to its opposite, renuncia-
to the one between society and renunciation, and derives
tion. As regards caste, it is to be noted that the smr:ti knows
from the same source.
two terms, ja¯ti (genus) and varn:a (shape, color). The two
terms are to some extent interchangeable, but there is a
The scriptural theory of the four stages of life (a¯´srama)
marked difference. Although there are only four
brings social and renunciatory life together in a single
varn:as—bra¯hman:as (Eng., brahmans), ks:atriyas (warriors),
scheme. These four stages are those of the pupil memorizing
vai´syas (producers), and ´su¯dras, who serve the three “twice-
the Veda (brahmaca¯rin); the married householder (gr:hastha);
born” varn:as (that is, those who have been initiated to the
the cenobitic forest dweller (va¯naprastha), who still keeps up
Vedic mantras)—the number of ja¯tis is unlimited. The latter
his domestic fire; and the individualized renouncer
are said to have arisen in the first instance from mixed unions
(sam:nya¯sin), who has interiorized the fire and consequently
of the four varn:as. However, the scriptural order of the
the ritual. Of these four it is only the gr:hastha who is fully
varn:as is based on their strict separation, that is, neither in-
a member of society and as such must perform the scriptural
termarriage nor commensality is allowed. As no society can
duties toward the Vedic seers by upholding the ´sruti, toward
exist on the basis of the single principle of separation, the
the ancestors by progeny, and toward the gods by sacrifice.
ja¯tis make society function. But this equally means that ja¯ti
Only after these duties, especially the continuation of the lin-
society is based on a serious transgression, namely
eage, have been fulfilled, is the householder free to withdraw
varn:asam:kara, or “mixing of the varn:as.”
from the world and strive for final liberation (moks:a). It
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VEDISM AND BRAHMANISM
9571
would seem that the basic principle is again the opposition
involved the killing (grinding and pressing being explicitly
of social and renunciatory life. Originally, the two opposites
considered as “killing”) of the sacrificial substances.
were given their due in a pattern of the cyclical alternation
Although this may explain the origin of vegetarianism
of life in the established community, setting out into the wil-
based on ahim:sa¯ and of the sacrosanctity of the cow, the fact
derness and returning again. When this alternating cycle was
remains that there is an unresolved conflict between the ´sruti
broken, the opposite and now-incompatible phases were
and the smr:ti. This conflict is formulated in terms of the two
given their due by placing them in the linear succession of
opposite spheres of social life and renunciation. Eating meat
the four a¯´sramas, spanning the individual’s life.
is the ongoing way of the world (pravr:tti), but abstention
Ahim:sa¯, vegetarianism, and the cow. Ahim:sa¯ (nonvio-
(nivr:tti, the term for the cessation of worldly processes)
lence) brings out the problematic character of the relation-
brings ultimate spiritual rewards (Ma¯nava Dharma´sa¯stra
ship between ´sruti and smr:ti. It categorically forbids the kill-
5.56).
ing of animals. Yet the ´sruti prescribes animal sacrifice and
Cultic institutions. Separate from—but not wholly
the consumption of the victim’s meat, albeit only an insignif-
dissociated from—the impersonal cosmic principle there lies
icant part of it (the id:a¯). Ludwig Alsdorf has distinguished
in the texts a profuse mythology. The Vedic ritual itself came
three stages. First, there is no question of a general rule
to overshadow the gods as the central cosmic force and re-
against meat consumption, but only against particular kinds
duced them to mere names whose only place was in the man-
of animals. Next, meat-eating is forbidden, except in the iso-
tras. Accordingly, the Veda is fundamentally aniconic. Brah-
lated context of the animal sacrifice. The third and last stage
manism by contrast gives way to a rich stream of theistic
brings the absolute prohibition of meat (together with intox-
beliefs and practices (which may never have been absent but
icating drinks, such as sura¯). This does not, however, explain
were simply ignored by the Vedic scriptures). The
the reason for the rise of ahim:sa¯. Non-Hindu influences,
S´veta¯´svatara Upanis:ad, considered as the gate to theistic Hin-
such as Buddhism and Jainism, have often been assumed to
duism, places the “Lord” (¯ı´sa or ¯ı´svara) in the center. Being
be important factors. Alsdorf suggests the pre-Aryan Indian
intimately connected with the impersonal brahman he is
civilization as the source of the prohibition. Hanns-Peter
both transcendent and, in his relation to humans, immanent.
Schmidt, however, has pointed out that the Vedic ritual itself
Such transcendent and immanent gods, who as such are to
evinces a strong aversion to the violence of immolation. Part
be distinguished from the great many divinities, are S´iva
of the ritual is concerned with undoing the harm of the sacri-
(Rudra), to whom the title ¯ı´sa or ¯ı´svara primarily refers, and
ficial killing. In Schmidt’s view it was the internalization of
Vis:n:u. Together with the personified Brahma (who hardly
the ritual that brought about ahim:sa¯. Internalization can-
receives a cult) they are often represented iconographically
celed the external acts needed to undo the evil of killing,
as the trimurti, the “triple body” or trinity.
which is still involved, even in the internal food sacrifice (of
Theism opened the way to cultic institutions, the first
the pra¯n:a¯gnihotr:a type). From then on the only way open
of which may be considered the temple, which developed
was the absolute prohibition of meat.
from a simple open-air sanctuary to ever more elaborate
The problem is further complicated by the sacrosanctity
complexes with a central cella and deity (mu¯rti) in an awe-
of the cow and the consequent prohibition—equally alien to
inspiring towerlike and massive structure surrounded by
the ´sruti—of cow’s meat. Nevertheless, both ahim:sa¯ and the
smaller sanctuaries and niches for other gods, the whole of
prohibition of cow’s meat can be seen as deriving from the
which was marked off by an outer wall. Second is the pu¯ja¯
´srauta ritual, though in a different way from the one pro-
as the fundamental cult form, both in the household and
posed by Schmidt. Originally it may have been a matter of
more elaborately in the temple. Though the pu¯ja¯ had existed
alternating phases, namely the phase of the trekking conse-
before, its textual canonization by Brahmanism was a new
crated warrior (the d¯ıks:ita), who should preserve and, if pos-
development. Its basic pattern is the hospitable reception of
sible, increase his cow herd (and consequently should not eat
an honored guest who is offered a bath, clothes, food, and
meat) as against the homecoming celebrated by a sacrificial
a resting place. In the great temples of S´iva and Vis:n:u the
festival that lifts the prohibition of meat-eating. The trekking
pu¯ja¯ is elaborated into a full and regal ceremony involving
phase of the warrior was decidedly violent, but vegetarian;
also the god’s consorts and divine retainers. In the sense of
the settled phase reversed the situation: Meat-eating is al-
a hospitable reception offered to the guest the pu¯ja¯ is closely
lowed, even prescribed, but social relations should be marked
related to the Vedic ritual, which, as Thieme has shown (see
by nonviolence. In this way vegetarianism and the cow taboo
above), derives from the same pattern. This does not mean
can be seen as different in origin and even opposite to each
that the pu¯ja¯ evolved out of the Vedic ritual. Rather, the two
other, deriving from opposite phases. With the collapse of
are different realizations of the same basic pattern.
their cyclical alternation, both the trekking warrior and the
The individualization achieved by Vedic ritualism is
peaceful householder had to be homogenized into the single
also a characteristic of Brahmanism. This is clearly noticeable
householder-sacrificer. As such he was required not only to
in the pu¯ja¯. The domestic pu¯ja¯, like the Vedic gr:hya ritual,
be both nonviolent and to abstain from the cow, but at the
is strictly a family affair. The individualistic tendency is dis-
same time to perform the sacrifice, which, even if vegetal, still
played most clearly in the temple. Although great crowds are
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VEDISM AND BRAHMANISM
usually present at the temple during particular festivals, they
Ra¯ma¯yan:a. The basic text of Ra¯ma devotionalism is the Old
do not participate in the actual pu¯ja¯. To pay their obeisance
Hindi Ra¯macaritama¯nasa of Tuls¯ıda¯s (fifteenth century),
and to obtain a view (dar´sana) of the deity, the devotees pass,
one of the many reworkings of the classical epic.
one by one, before the opening of the cella. Like Vedism,
Concentrating on the inner life and attitude of the devo-
Brahmanism is devoid of regular sacra publica. Public and
tee, bhakti as a cult form does not need specific installations
royal festivals, such as the raising of the “Indra pole” (Indrad-
or institutions. It does know, however, a “congregational,”
hvaja, a sort of Maypole), are described in the epics and
though informal, form of worship: the singing of devotional
Pura¯n:as but are not in any way prescribed. In this respect it
hymns (bhajan). Both in its individual interiorized and in its
is significant that although the S´ra¯ddha in honor of the an-
“congregational” forms bhakti easily associates itself with
cestors can be celebrated as a social gathering with a large
temples and with organized sects. In fact, bhakti imbues all
number of guests, the dharma texts explicitly prefer the pa-
Hindu religiosity. As such it translates the Western concept
tron to invite no more than three brahmans, or even only
of religion better than the word dharma, which has come
one (Ma¯nava Dharma´sa¯stra 3.125, 126, 129). Whereas Hin-
into use in this sense only in the last century, and misleading-
duism involves large public festivals, Brahmanism holds on
ly stresses religious law and doctrine.
to the individualism of Vedism.
In the marked absence of a well-defined clergy, the most
The most important cultic notion to pervade Indian re-
important figure in Brahmanism, as well as in Hinduism in
ligiosity as a whole is bhakti (“participation”), the single-
general, is the guru, the spiritual teacher and guide. Ideally,
minded loving devotion to the godhead (in this context usu-
he is a world renouncer or at least is known for his lack of
ally known as the bhagavat, the “felicitous one”), in whose
self-interest. Although not a priest in the sense of an officiant
being the devotee (bhakta) strives to share. Though at the op-
or dispenser of sacraments, he holds an all but absolute au-
posite end from Vedic ritualism and Upanis:adic thought,
thority—even in matters not necessarily of a spiritual na-
bhakti appears to be ancient. Its attitude of loving devotion
ture—in the personal affairs of his devotees. Even in the con-
is already commended in relatively early Upanis:ads (especial-
text of bhakti, which emphasizes the direct personal
ly the Katha Upanis:ad). The term makes its first entry in the
relationship of the devotee to his god, the guru is the indis-
S´veta¯´svatara Upanis:ad, which is generally known for its the-
pensable mediator. He can be seen as the actual recipient of
istic stance. It is, however, in the Bhagavadg¯ıta¯
the cult. Indian religiosity would be able to dispense with its
(Maha¯bha¯rata 6.25–42) that bhakti is canonized as the third
gods on the condition that there is a guru.
“way” (ma¯rga), next to (Upanis:adic) knowledge (jña¯na, that
is, “knowledge” of brahman) and ritualism (karman). There
Itself not a cult or a sect, Brahmanism is receptive to a
bhakti is connected with the concept of disinterested worldly
great variety of beliefs, practices, and institutions. Its charac-
action (karmayoga, “harnessing oneself to action”). This
teristic as well as its specific contribution to Hinduism is the
means that the devotee should perform all actions that his
faithful acknowledgement of the authority of the ´sruti. More
station in life requires of him (even if this means that the
importantly, Brahmanism carries on the individualistic tradi-
warrior Arjuna must kill his relatives), but without any self-
tion of interiorization that resulted from Vedic thought.
interest. It is a renunciatory attitude: The devotee renounces
Sma¯rtas. Brahmanism is still represented to the present
the result, the “fruit” (phala) of his actions. This attitude is
day by the Sma¯rtas (adherents of the smr:ti). Characteristical-
the answer to the gap that divides life in the world from
ly, they are not a sect in an institutional or doctrinal sense
world renunciation. But the fusion of worldly and renuncia-
but a loose category of (South Indian) brahmans who uphold
tory life can only be achieved at the price of a paradox: The
nonsectarian orthodoxy. Their cultic practices are primarily
devotee fully engages in worldly activity, including violent
private in character and reserve an important place for the
conflict, but does not engage himself.
Vedic gr:hya ritual. Sma¯rtas will frequent particular temples,
especially S´aiva ones, but they have no specific temples of
The Bhagavat (or Bhagavan), the god of the bhakta, is
their own. Worship takes place in the house, where a special
most commonly a form of Vis:n:u. His connection with the
room is kept for the pu¯ja¯. Sma¯rta worship is especially con-
cosmic pillar and his avataras or “descents” in the world to
cerned with the five gods S´iva, Vis:n:u, Durga¯ (consort of
restore the dharma and save humankind made him the ideal
S´iva), Su¯rya, and the elephant-headed Gane´sa, who are
mediator between humans and transcendence. The devotee’s
placed in the corners of a square with the preferred deity in
bhakti is especially directed toward two of his forms of ava-
the middle.
taras, namely Kr:s:n:a and Ra¯ma. Kr:s:n:a is worshiped as the di-
vine child or as the cowherd (gopa¯la), the beloved of the
The Sma¯rtas derive their tradition from S´a¯nkara, the
gop¯ıs, the cowherd girls. As a charioteer and bard (su¯ta: the
eighth-century founder of Advaita (monistic) Veda¯nta. Ac-
combination of the two functions is a standard one) he pro-
cordingly, they recognize the head of the monastic establish-
claims the Bhagavadg¯ıta¯ to the warrior Arjuna. His story is
ment (mat:ha) and center of the S´a¯nkara tradition at S´r:ngeri
told in the tenth book of the Bha¯gavata Pura¯n:a, a fundamen-
(in present-day Karnataka) as their spiritual leader. Another
tal text for the bhakti cult and for religious art, especially
tradition connects the Sma¯rtas with Kuma¯rila, the eighth-
miniatures. King Ra¯ma is the protagonist of the epic
century teacher of Mima¯m:´sa (the interpretation of the Vedic
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VEDISM AND BRAHMANISM
9573
ritual rules and so of the dharma). In this way the Smarta
ranging, studies are Heinrich Lüders’s Varun:a, 2 vols., edited
tradition claims to derive from both aspects of the ´sruti, the
by Ludwig Alsdorf (Göttingen, 1951–1952), Hanns-Peter
ritualistic and the Upanis:adic (and thus the knowledge of
Schmidt’s Br:haspati und Indra: Untersuchungen zur vedischen
karman and that of brahman, respectively), represented by
Mythologie und Kulturgeschichte (Wiesbaden, 1968), and F.
the Vedanta tradition of Sankara and the Mima¯m:´sa tradition
B. J. Kuiper’s Ancient Indian Cosmogony, essays selected and
of ritualism.
introduced by John Irwin (New Delhi, 1983). Georges
Dumézil has argued his sociological and comparative Indo-
The Brahmanic Sma¯rta tradition lacks the colorful
Europeanist view in many publications; a useful analysis is
drama and institutions often and not without justification
given by C. Scott Littleton in The New Comparative Mytholo-
associated with Hinduism. It does not propound an enchant-
gy: An Anthropological Assessment of the Theories of Georges
ed world of magic and numinous power. Instead, it focuses
Dumézil, 3d ed. (Berkeley, Calif., 1980). Leading scholars in
on the central problem of karman and brahman already pre-
the field are Louis Renou, some of whose significant contri-
figured in later Vedism. It therefore holds on to the ´sruti as
butions have been reprinted in L’Inde fondomentale, edited
by Charles Malamoud (Paris, 1978), and Paul Thieme,
the ultimate truth and source of dharma. Tolerant of sectari-
whose work is among other things concerned with the
an doctrines and practices, which it tends to harmonize, the
A¯dityas: see, for example, his Mitra and A¯ryaman (New
Smarta tradition is not a sharply outlined orthodoxy. But it
Haven, Conn., 1957) and Kleine Schriften, 2 vols. (1971). In
does represent the central concerns of Hinduism, past and
his fine ethnomycological study, Soma: Divine Mushroom of
present.
Immortality (New York, 1968), R. Gordon Wasson has
forcefully argued that the soma plant originally was fly agaric;
SEE ALSO Agni; Ahim:sa¯; Bhagavadg¯ıta¯; Bhakti; Brahman;
his thesis is, however, not generally accepted.
Bra¯hman:as and A¯ran:yakas; Dharma, article on Hindu
Ritual
Dharma; Domestic Observances, article on Hindu Practices;
Alfred Hillebrandt’s Ritual-Litterature: Vedische Opfer und Zauber,
Goddess Worship, article on The Hindu Goddess; Hindu-
“Grundriss der Indo-Arischen Philologie und Al-
ism; Indian Religions, article on Mythic Themes; Indra;
tertumskunde,” no. 3.2 (Strassburg, 1897), still offers the
Karman, article on Hindu and Jain Concepts; Kr:s:n:a;
best comprehensive survey. The foremost authority on Vedic
Maha¯bha¯rata; Man:d:alas, article on Hindu Man:d:alas; Man-
ritual was—and still is—Willem Caland, whose translations
tra; Mima¯m:´sa; Moks:a; Praja¯pati; Pra¯n:a; Priesthood, article
definitely clarified the intricacies of the Vedic system of ritu-
on Hindu Priesthood; Pu¯ja¯, article on Hindu Pu¯ja¯; Pura¯n:as;
al. Special mention should be made of his Das S´rautasu¯tra
Rama; Ra¯ma¯yan:a; Rites of Passage, article on Hindu Rites;
des A¯pastamba, 3 vols. (Göttingen and Amsterdam, 1921–
Rudra; Sam:nya¯sa; S´a¯nkara; Sarasvat¯ı; S´astra Literature;
1928). For the role of the S´amaveda in the ritual, his transla-
Soma; Su¯tra Literature; Temple, article on Hindu Temples;
tion of the Pañcavim: ´sa Bra¯hman:a (Calcutta, 1931) should
Tuls¯ıda¯s; Upanis:ads; Vais:n:avism, article on Bha¯gavatas;
be consulted. Caland also initiated the study of the Jaimin¯ıya
Varn:a and Ja¯ti; Varun:a; Veda¯n˙gas; Veda¯nta; Vedas; Vis:n:u;
School of the S´a¯maveda: see his Das Jamin¯ıya-Bra¯hman:a im
Vr:tra; Yama; Zoroastrianism.
Auswahl (Amsterdam, 1919). Julius Eggeling’s five-volume
translation of the S´atapatha Bra¯hman:a in “Sacred Books of
B
the East,” vols. 12, 26, 41, 43, and 44 (1882–1900; reprint,
IBLIOGRAPHY
Delhi, 1963) still stands as a masterly achievement. The Veda
General
of the Black Yajus School Entitled Taittir¯ıya-Sanhita¯, 2 vols.,
The classic work is still Hermann Oldenberg’s Die Religion des
has been translated by Arthur Berriedale Keith (1914; re-
Veda (1894; 2d ed., Stuttgart, 1917). Arthur Berriedale
print, Delhi, 1967); it should be checked with Caland’s
Keith’s The Religion and Philosophy of the Veda and
translation of the A¯pastamba S´rautasu¯tra. Keith also translat-
Upan:ishads, 2 vols. (1925; 2d ed., Westport, Conn., 1971),
ed the R:gveda Bra¯hman:as: The Aitareya and Kaus:itaki
is a useful and detailed survey. Arthur Berriedale Keith and
Bra¯hman:as (1920; reprint, Delhi, 1971). For the domestic
A. A. Macdonell’s Vedic Index of Names and Subjects, 2 vols.
ritual The Gr:hya-su¯tras, translated by Hermann Oldenberg,
(Varanasi, 1958), is outdated but still useful, especially for
“Sacred Books of the East,” vols. 29 and 30 (1886–1892; re-
its text references. An up-to-date survey is provided in Jan
print, Delhi, 1964), should be mentioned. For the “solemn”
Gonda’s Die Religionen Indiens, vol. 1, Veda und alterer
(´srauta) ritual there is now the compendium of texts and En-
Hinduismus (1960; 2d rev. ed., Stuttgart, 1978). The nature,
glish translation edited by C. G. Kashikar, S´rautakosa
style, and composition of the text corpus are extensively dealt
(Poona, 1958–1982).
with in Jan Gonda’s A History of Indian Literature, vol. 1,
The basic paradigms of the vegetal, the animal, and the soma sacri-
Vedic Literature (Wiesbaden, 1975).
fices have been described in Alfred Hillebrandt’s Das altindis-
Mythology
che Neu- und Vollmondsopfer in seiner einfachsten Form (Jena,
A. A. Macdonell’s Vedic Mythology (1897; reprint, New York,
1879); Julius Schwab’s Das altindische Thieropfer (Erlangen,
1974) gives a comprehensive survey. Full-scale studies are
1886); and Willem Caland and Victor Henry’s L’Agnis:toma:
Abel Henri Joseph Bergaigne’s La Religion védique d’après les
Description complète de la forme normale du sacrifice de Soma
hymnes du Rig-veda, 4 vols. (1878–1897; reprint, Paris,
dans le culte vedique, 2 vols. (Paris, 1906–1907). The su¯tras
1963), known for its systematic cosmological approach, and
for the Agnihotr:a have been translated by Paul-Émile Du-
Alfred Hillebrandt’s Vedische Mythologie, 2 vols. (1927–
mont as L’Agnihotr:a (Baltimore, 1939) and the relevant
1929; reprint, Hildesheim, 1965), which also brings in the
Bra¯hman:a passages in H. W. Bodewitz’s The Daily Evening
ritual prose texts. Important specialized, although wide-
and Morning Offering according to the Bra¯hman:as (Leiden,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9574
VEGETARIANISM
1976). The Agnya¯dheya has been extensively studied by
his influential Homo Hierarchicus: An Essay on the Caste Sys-
Herta Krick and Gerhard Oberhammer in Das Ritual der
tem, rev. ed., translated by Mark Sainsbury (Chicago, 1980).
Feuergründung (Agnya¯dheya) (Vienna, 1982), giving full
He argues that Indian caste society (and even Indian civiliza-
translations of the Bra¯hman:a portions. While Krick’s inter-
tion as a whole) is encompassed and held together by the reli-
pretation is oriented toward Indo-European comparison,
gious principle of hierarchy. This view, however, is debatable
Timothy Moody’s treatment in “The Agnya¯dheya” (Ph.D
because of the textual concept of varn:a, which refers not so
diss., McMaster University, 1980) is more factual. The royal
much to hierarchic encompassment as to strict separation,
rituals of the horse sacrifice and the Ra¯jasu¯ya have been ana-
while the religious institution of renunciation tends to break
lyzed by Paul-Émile Dumont in L’A´svamedha (Paris, 1927)
up society.
and by me in The Ancient Indian Royal Consecration (The
The vexing matter of ahim:sa¯ is discussed in Ludwig Alsdorf’s Bei-
Hague, 1957). The Agnicayana has been described from the
träge zur Geschichte von Vegetarismus und Rinderverehrung in
texts and from Frits Staal’s 1975 observations of the ritual
Indien (Wiesbaden, 1962) and in Hanns-Peter Schmidt’s
as executed by Nambudiri brahmans in Agni: The Vedic Ritu-
“The Origin of Ahim:sa¯,” in Mélanges d’indianisme à la mé-
al of the Fire Altar, 2 vols., edited by Staal, with cassette re-
moire de Louis Renou, edited by Jacques Robert (Paris, 1968),
cordings of chants and recitation (Berkeley, Calif., 1983).
pp. 625–655. Like Schmidt, I argue for the ritualistic origin
The worldview of the Bra¯hman:as and especially their identifica-
of ahim:sa¯ in “Nonviolence and Sacrifice,” in Indologica Tau-
tion by modern scholars as the “prescientific” intellectual
rinensia (forthcoming).
tool for ritual control of the universe have been dealt with
As regards mythology, E. Washburn Hopkins’s Epic Mythology,
by Sylvain Lévi in his La doctrine du sacrifice dans les
“Grundriss der indo-arischen Philologie und Altertums-
Bra¯hman:as (1898), 2d ed., with a preface by Louis Renou
kunde,” no. 3.1.13 (Strassburg, 1915), gives a useful survey.
(Paris, 1966), and by Hermann Oldenberg in Die Weltan-
Classical Hindu Mythology: A Reader in the Sanskrit Pura¯n:as
schauung der Bra¯hman:a-Texte (Göttingen, 1919). Frits Staal
(Philadelphia, 1978), edited and translated by Cornelia
has argued against the magico-cosmic meaning of ritual in
Dimmitt and J. A. B. van Buitenen, offers an illustrative se-
general and, in particular, of Vedic ritual in “The Meaning-
lection. Wendy Doniger O’Flaherty’s discussions of Puranic
lessness of Ritual,” Numen 26 (June 1979): 2–23; Hans H.
mythology, such as The Origin of Evil in Hindu Mythology
Penner’s “Language, Ritual and Meaning,” Numen 32 (July
(Berkeley, Calif., 1978), are of considerable interest.
1985): 1–16, emphasizes structure per se as against meaning.
New Sources
The continuity of the Vedic concept of sacrifice in Hinduism
Choudhary, B. K. From Kinship to Social Hierarchy: The Vedic Ex-
is the subject of Madeleine Biardeau and Charles Mala-
perience. Patna, 1999.
moud’s Le sacrifice dans l’Inde ancienne (Paris, 1976). For the
Elizarenkova, Tatyana J. Language and Style of the Vedic Rsis. Alba-
view of Vedic sacrificial ritual as originating in the conscious
ny, 1995.
reform of a previous agonistic sacrifice, see my The Inner
Conflict of Tradition: Essays in Indian Ritual, Kingship, and
Facets of Vedic Studies. Edited by Bidyut Lata Ray. New Delhi,
Society (Chicago, 1985). A detailed bibliography is provided
2000.
by Louis Renou’s Bibliographie védique (Paris, 1931). It has
Inside the Texts, Beyond the Texts: New Approaches to the Study of
been continued by R. N. Dandekar’s Vedic Bibliography, vol.
the Vedas: Proceedings of the International Vedic Workshop.
1 (Bombay, 1946) and vols. 2–4 (Poona, 1961–1985).
Harvard University, June 1989. Harvard oriental series.
Opera minora; v. 2. Cambridge, Mass., and Columbia, Mo.,
Brahmanism
1997.
As a singular topic, Brahmanism has not been the subject of spe-
Jamison, Stephanie W. The Ravenous Hyenas and the Wounded
cial monographs. Its definition fluctuates between a particu-
Sun: Myth and Ritual in Ancient India. (Myth and Poetics.)
lar period of post-Vedic religious development (older Hindu-
Ithaca, N.Y., 1991.
ism) and mainstream orthodoxy. Louis Renou and Jean
Jamison, Stephanie W. Sacrificed Wife/Sacrificer’s Wife: Women,
Filliozat’s L’Inde classique: Manuel des études indiennes, 2 vols.
Ritual, and Hospitality in Ancient India. New York, 1996.
(Paris, 1947–1953), brings together the whole of the written
records of Hinduism, including those in the regional lan-
Mahony, William K. The Artful Universe: An Introduction to the
guages, under the heading “Brahmanism” (vol. 1, chap. 6).
Vedic Religious Imagination. Albany, 1998.
Among older works may be mentioned Auguste Barth’s The
Malamoud, Charles. Cooking the World: Ritual and Thought in
Religions of India, translated by J. Wood, 6th ed. (Delhi,
Ancient India. Translated from the French by David White.
1969), chap. 2.
Delhi; New York, 1996.
Central to Brahmanism is dharma. The best introduction is pro-
JAN C. HEESTERMAN (1987)
vided by Robert Lingat’s The Classical Law of India, translat-
Revised Bibliography
ed with additions by J. D. M. Derrett (Berkeley, Calif.,
1973). P. V. Kane’s History of Dharma´sa¯stra, 5 vols. in 7
(1930–1962; 2d ed., rev. & enl., Poona, 1968–1975) is an
VEGETARIANISM SEE AHIM:SA¯; GREEK
exhaustive survey of the topics that traditionally come under
RELIGION; VEGETATION
the heading of dharma. The institution of world renuncia-
tion has been analyzed from a sociological point of view by
Louis Dumont in “World Renunciation in Indian Reli-
gions,” Contributions to Indian Sociology 4 (April 1960):
VEGETATION. The world’s mythology and folklore
53–62. The same author has dealt with caste and varn:a in
offer one example after another of sacred plants, both wild
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VEGETATION
9575
and cultivated, as well as stories about the divine origins of
Second, thanks to the analogies he draws from the plant,
plants, their magic or medicinal properties, and heroic quests
the snake, and the physical effect of his contact with the sa-
to obtain them. These stories reflect a dual tendency, shared
cred fiber, the basket maker possesses a language suitable for
by humanity’s forebears in history and by its contemporaries
expressing—as well as a technique suitable for achieving—
in the so-called nonliterate societies: On the one hand there
the transformation from ordinary status to that of shamanic
has been the tendency to “humanize” nature with sacred nar-
craftsman, by means of which he gains a place for himself
ratives whose purpose is to explain how the world and hu-
after death in the presence of the Creator Bird of Dawn.
mankind came to be the way they are; on the other hand
Such is the spiritual achievement to which he dedicates the
analogies have been consistently drawn from the physical
better part of his life. Just as he masters his craft by under-
world—in this case, plants or perhaps the tools and tech-
standing the nature of the material he employs and the secret
niques for cultivating them—to express those things about
of the manufacturing process, so, by analogy, does he achieve
human living that can never be fully expressed, especially the
spiritual mastery over himself and the world. The Warao ex-
perennial anxieties, fervent hopes, and nostalgias that expose
ample thus illustrates an important function of religious
immediately the limits of one’s situation in the world.
symbols generally: By making it possible for the human situ-
ation to be translated into cosmological terms and vice versa,
For example, the Warao Indians of the Orinoco Delta
religious symbols reveal a fundamental oneness between
in South America have endowed basket making with a quite
human life and the structure of the world, drawing human
explicit religious meaning derived ultimately from their ex-
beings out of their isolation in subjectivity and allowing
perience with a certain plant. Besides calabashes and make-
them to take a stance vis à vis their own lives and the world
shift containers put together by folding leaves or palm stip-
that one could easily describe as a kind of transcendence.
ules, the Warao have only baskets for storage and carrying.
The raw material used in the manufacture of baskets is the
Warao basket making describes only one of the ways
cortex of the stem of the itiriti plant, which grows in most
that plants have entered and shaped religious life. The effec-
parts of the delta. The Warao say that they owe the existence
tiveness of medicinal plants is often ascribed to the spirit or
of the plant to the selfless sacrifice of an ancestor in primordi-
power they embody. For example, the Apinagé of South
al times who, seeing that his people were in need of baskets
America believe that for each species of edible animal there
to survive, transformed himself into the first itiriti plant and
is a corresponding wild plant that can be used should a per-
enjoined his descendants to employ his body in the manufac-
son undergo the harm of ingesting the animal’s soul.
ture of many useful things.
Poisons have played extremely important roles in
The plant itself has a number of magico-religious prop-
human affairs, especially in the hands of sorcerers and priest-
erties, the most important being its effect on the craftsman’s
physicians charged with knowing how to treat their toxic ef-
hands. A Warao basket maker observes that over the course
fects and who are themselves capable of using the poison
of his career his palms whiten as the pithy interior of the itiri-
against an enemy. The Canelos Quichua and the Jivaroan
ti passes through his hands. He believes that eventually a
people in Ecuador say that forest demons reside in plants
small hole that only he can see will appear in each palm.
from which the poisonous curare is prepared, and it is they
Often, when the craftsman splits open an itiriti stem to get
who kill the victim when a poisoned arrow penetrates the
at the pith, he can see that a small snake has tunneled up
body.
from the roots of the plant, and he understands then by anal-
The beer that the Chaco Indians brew from algaroba or
ogy what the Itiriti Spirit, conceived of as a snake, is accom-
other fruits is said to derive its intoxicating powers from the
plishing in his body. The spirit, he believes, is boring a tun-
spirit present in the tree and especially in its fruits. As the
nel from his chest, where the tutelary spirits reside, through
beverage ferments, the indwelling spirit approaches the
both arms to the openings in his palms. When the craftsman
height of its powers. The mysterious process of fermentation
finally observes the exit holes in his palms, he knows he has
can be hurried along by various ceremonies, the beating of
undergone a transformation from an ordinary human to a
drums, or the shaking of rattles.
shamanic craftsman with the same healing powers and social
status as the other religious specialists in his tribe.
Any plant that somehow bears or manifests the vital
forces at work in the world, spontaneous growth and renew-
At least two points deserve mention. First, when the
al, may host divine or magic powers; contact with such a
Warao craftsman produces baskets, he complies with his di-
plant will commonly transfer those powers for the benefit of
vine ancestor’s original intention that many useful things be
one who understands its secret. An endless variety of agricul-
made of his serpentine body. He validates the Spirit’s sacrifi-
tural rites and beliefs entail the recognition of a force mani-
cial deed through the knowledge and practice of his craft,
fested in the harvest. The Indochinese have a rice spirit that
and by having the body of the god pass continually through
makes their crops grow and bear fruit. They treat the rice in
his hands, he effectively reconstitutes the sacrality of the pri-
flower as they would a pregnant woman, taking care to cap-
mordium. In other words, he “humanizes” nature, here not
ture the spirit in a basket and store it carefully in the granary
so much by narrating what took place in the beginning as
where rice is kept. When barley starts to germinate, the Ewe
by acting it out.
of West Africa ensure the fertility of the fields by consecrat-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9576
VEGETATION
ing a number of young girls to the python god. As the god’s
most scholars would now agree—turn out to be due to emo-
representatives, priests consummate a sacred marriage, and
tional attitude and intention rather than to any disparity of
the girls or women thus consecrated engage in ritual prostitu-
intellect.
tion for a period of time in the enclosure of the sanctuary.
In what follows this article has tried to simplify things
Elsewhere the presence of the sacred tree at wedding celebra-
as much as possible by reducing the topic of vegetation to
tions underscores the link between vegetation and human
its two most important and revealing elements: the symbol-
sexuality. In Java, when rice blossomed it was customary for
ism of the tree and the ideas and practices made possible by
the husband and wife to mate in the field.
the discovery of agriculture. These two are in any case the
These examples all express not only a certain solidarity
models without which further discussion of vegetation as a
between plants and human beings but also an ambiguous
religious phenomenon would prove difficult.
vulnerability or susceptibility to the spirits of plant life that
TREE SYMBOLISM. In myth and ritual, trees serve as symbols
causes humans to wish to coordinate their activities with the
of orientation, knowledge, and life.
mysterious rhythms and circulating energies of vegetation.
The cosmic tree. One of the most widely disseminated
It should also be clear that the sacrality of vegetation dif-
motifs in mythology and religious iconography is that of the
fers in marked ways from, for example, the sacred as it is re-
sacred tree as both imago mundi and axis mundi. There seems
vealed through the sky and its symbols. Whereas the latter
no way to reconstruct with certainty the process whereby the
communicates distance, overarching sovereignty, and “spiri-
tree came to represent both the cosmos as a whole and its
tuality” in the sense of being elevated, not physical, and time-
cardinal axis, joining the three domains (heaven, earth, and
less, human relations with the plant world are characteristi-
underworld) together and making communication among
cally close, physical, and time-bound (owing especially to the
them possible.
cyclic nature of plant life).
It is known that the earliest sacred places were small-
It is exceedingly difficult to account for the distance be-
scale reproductions of the world in toto achieved by forming
tween ours and a properly religious world in which the spiri-
a landscape of stones, water, and trees. Australian totem cen-
tual powers of vegetation are a self-evident truth, at least not
ters were often located in a sacred group of trees and stones,
without demeaning the intelligence of religious people by re-
and the tree-altar-stone pattern characterized sacred places
peating arguments akin to the Greek polemics against Egyp-
throughout India and East Asia. Often a vertical post or pil-
tian religion or the Israelite polemics against the worship of
lar was added, presumably as a stylized tree meant to enhance
idols. The Greek writer Plutarch, for example, insisted that
the sacred power already present in this microcosmic land-
the Egyptians worshiped plants, and they did so, he said, be-
scape. Finally, it would seem that over the course of time the
cause of a verbal misapprehension. According to Plutarch,
elements of such a landscape were reduced to the single most
primitive peoples had once believed that the food plants they
important element: the tree or sacred pillar.
consumed were gifts from the gods, but later the habit of as-
sociating the gods’ names with various plants caused their de-
One does not have to go far in the history of religions
scendants to forget, that is, people of later times began to
to find examples of the cosmic tree as an image of the world.
confuse the plant with the divinity who made it. Scarcely
The ancient Babylonians knew the black Kiskanu Tree that
more helpful were writers in the twentieth century who, in-
grows at Eridu, the center of the world. It shines like lapis
fluenced by Darwin, simply reversed the order of Plutarch’s
lazuli—meaning that it shines like the night sky—and
hypothetical “devolution” of religion into superstition. Their
spreads its branches out toward the cosmic ocean that sur-
claim was that theism came late not early in human history
rounds and supports the world. The Upanis:ads speak of the
and that the known nonliterate peoples, like the earliest peo-
universe as an inverted tree that buries its roots in the sky
ples on record, are as yet incapable of consistent, complex
and spreads its branches over the whole earth. A Scandina-
religious thought and self-understanding.
vian creation story in the Voluspa tells of a cosmic tree called
E
Yggdrasill with branches that reach to heaven and cover the
By contrast, a historian of religions would choose to say
whole world and roots that run under the earth and support
that even an expression such as “plant worship” is something
it. At the base of the tree lies the cosmic serpent Niðhoggr,
of a misnomer, for it is usually not the plant itself that is wor-
E
gnawing at its roots, and at the top is an eagle who battles
shiped but the sacred power present or embodied in the plant
daily with the serpent. Yggdrasill thus mirrors the precarious
or symbolized by the plant; and that wherever the sacred is
fate of the cosmos; though it may be bruised and shaken, the
revealed, whether in vegetation, animal life, stones, or sky,
tree’s ultimate renewal will mark the beginning of a new age
it engages the whole human person—meaning his or her
and a new earth.
emotional, imaginative, and intellectual faculties taken to-
gether—in a vital relationship. There is no reason to assume
Furthermore, the cosmic tree also expresses one of the
that the earliest human forebears were any less intelligent
most profound nostalgias of religious people, namely, the de-
than than those of the present. In fact, if one compares the
sire to orient themselves to the center of the world. Like
mythopoeic thought of nonliterate or “primitive” peoples
other symbols for the center, the tree image calls attention
with modern scientific thought, the differences—and in this
to the vertical plane of the universe, and that means to the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VEGETATION
9577
underworld as well. Chinese mythology tells of a miraculous
the symbol: that is, a common concern for, and perhaps a
tree that grows at the center of the universe and that unites
deep anxiety over, life’s changing cycles of fruitfulness and
the Nine Springs and the Nine Heavens. In other words, it
decay, youth and old age, poverty and abundance, sickness
marks the point at which the various cosmic levels intersect.
and health.
The Abakan Tatars describe an iron mountain on which
One of the most common themes associated with the
grows a birch tree with seven branches symbolizing the seven
tree of life describes how the cosmos itself and the various
levels of heaven. A shaman is said to climb this tree in his
deities came into being. According to the Egyptian Pyramid
ecstatic ascent. The QurDa¯n refers in several places to the tree
Texts, Atum first emerged from a lotus drifting over the pri-
Zaqqu¯m, which has its roots in the lowest reaches of Hell.
mordial watery abyss, but the rest of the gods originated from
Its leaves are small, and its fruits bitter. It reverses the image
trees, including Hathor, the Great Mother, from the syca-
of the heavenly Tuba Tree that is situated at the celestial
more.
KaEbah directly above the earthly KaEbah and linking the
two.
Excavations in the Indus Valley have unearthed artifacts
picturing goddesses of the yaks:in¯ı type beside a Ficus religiosa
The Tree of Knowledge. Perhaps partly because of its
or plants emerging from a goddess’s genital organs. In a pic-
role in the cosmos as the cardinal axis and partly because of
torial theme found over a wide expanse of Africa and Asia,
its connections with certain deities, the sacred tree sometimes
the goddess rises between two branches of a tree in the center
has oracular functions, making it a tree of knowledge. Two
of a circle.
of the roots of Yggdrasill reached to the sources of divine wis-
dom: one to the Spring of Mímir (“meditation” or “memo-
The lotus, while not a tree, shares the same connection
ry”), the other to the Fountain of Urðr (“fate”). Similarly,
with the Great Goddess and cosmic fertility. The lotus is al-
the Oak of Zeus at Dodona was said to have oracular powers
ready a sacred flower in the Bra¯hman:as, where it represents
on account of the extreme depth to which its roots extended.
the female generative organ, and that is its root meaning
Whether in the creation story of the Book of Genesis the Tree
whether it becomes the female goddess, the cosmic lotus of
of Life and the Tree of Knowledge are in fact one tree or two
Vis:n:u’s navel and hence the womb of all creation, or the seat
has been open to dispute, but some have argued persuasively
of divinity and spiritual power. It tells the story of being issu-
that only by eating first of the Tree of the Knowledge of
ing forth pure and bright from the dark possibilities of wa-
Good and Evil could the hidden tree that conferred immor-
tery chaos.
tality be found.
The legendary soma plant also has a connection with
The Tree of Life. When historians speak of the cosmic
water, for the R:gveda describes it both as a spring or stream
tree, they have in mind those meanings conveyed through
and as a paradisiacal plant that promises life, fertility, and re-
the symbolism of the tree that refer specifically to the struc-
generation. The Book of Revelation makes even clearer the
ture and organization of the cosmos. But the tree, quite sim-
cosmological and redemptive significance of water and the
ply because of its other vegetative qualities—those related to
tree together:
its growth cycle and regenerative capacities—also conveys to
Then he showed me the river of the water of life, bright
religious people another set of ideas, expressive of the world’s
as a crystal, flowing from the throne of God and of the
inexhaustible fertility. Most scholars, when they consider tree
lamb through the middle of the streets of the city; also,
symbols with an eye to this latter array of meanings, refer to
on either side of the river, the tree of life with its twelve
the tree of life as opposed to the cosmic tree; and it is true
kinds of fruit, yielding its fruit each month; and the
that in specific instances one or the other tends to be more
leaves of the trees were for the healing of the nations.
fully expressed. Still, in some myths they are the same tree
(Rv. 12:1–2)
or at least are located near one another at the center of the
One last theme deserves mention. Often a hero goes off in
world. For example, the second chapter of Genesis states that
search of the tree of life (or some other divine plant for which
immediately after the Lord God breathed into Adam’s nos-
the tree is a model) and the immortality it will bring. The
trils, he
quest usually entails great dangers and trials, for the tree of
planted a garden in Eden, in the east; and there he put
life is hidden (as the Tree of Life in the Garden of Eden may
the man whom he had formed. And out of the ground
have been) or guarded by monsters, like the golden apples
the Lord God made to grow every tree that is pleasant
in the Garden of Hesperides, and therefore difficult if not
to the sight and good for food, and the tree of life also
impossible to reach. For example, in the Babylonian variant
in the midst of the garden, and the tree of the knowl-
of the theme, Gilgamesh seeks a thorny herb of life that the
edge of good and evil. (Gn. 2:8–10)
sage Utanapishtim tells him is at the bottom of the sea. A
The garden stands, then, at the center of the world, and the
serpent thwarts his attempt and gains immortality for itself
tree at its center.
instead.
Numerous myths and iconographic motifs connect the
Similarly, Iranian tradition has an earthly tree of life
tree of life (or its equivalent) with the Great Goddess and
with a heavenly counterpart. Like soma, earthly haoma is
water and so confirm the basic meaning conveyed through
sometimes thought of as a plant and sometimes as a spring.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9578
VEGETATION
The heavenly variety gives immortality to all who eat of it
Simply put, the discovery of agriculture created an op-
and grows where Ahura Mazda¯ first planted it, among the
portunity for the human mind to grasp certain truths that
thousands of other medicinal herbs at the source of the wa-
had been much harder to grasp before. A primitive hunter,
ters of Ardvisura, on an island in the great sea Vourukasha.
for example, would have understood the rhythm of the sea-
Angra Mainyu counters Ahura Mazda¯’s creation with a cre-
sons perfectly well, but for agriculturalists that rhythm was
ation of his own in the shape of a lizard that swims through
the basis for a theoretical construction that gave meaning to
the waters to attack the miraculous haoma tree.
life, and they experienced this rhythmic quality of life ampli-
fied many times over in patterns of activity and rest or of
THE DISCOVERY OF AGRICULTURE. The term Neolithic Rev-
scarcity and plenty; in rituals meant to drive out the old sea-
olution, its second component notwithstanding, denotes a
son; in rites of sowing and harvest; and even in orgies, whose
period of gradual technological, economic, and religious in-
aim was to reproduce on the human level what was taking
novation that took place roughly between 9000 and 7000
place in the ground and what did take place in the begin-
BCE, during which time many societies drifted away from
ning—like seeds that lose their shape, disintegrate, and be-
their hunting and gathering economies toward an economy
come something different, human beings lose their identities
based on the domestication of animals and plants. Domesti-
and try to enter a state of chaotic formlessness analogous to
cation resulted in the appearance of agriculture as a special
the formless state prior to the creation of the world.
form of animal and plant production and put human beings
in the position of being, in a sense, creators of their food.
Agriculture had certain tragic implications as well. As
producers of their food, early humans learned to take respon-
This new food-producing role brought with it many
sibility for the vegetable kingdom, for its perenniality, even
changes. For one thing, agriculture altered the division of
if that meant, as in the case of human sacrifice or cannibal-
labor, as women began to assume the better part of the re-
ism, the killing of their own kind so that life could be re-
sponsibility for subsistence. It meant that early cultivators
newed. For example, an important Aztec festival dedicated
had to develop more accurate techniques for reckoning time,
to the maize goddess Chicomecoatl began every year just as
inasmuch as the complex activities in which they were now
the maize plant attained its full growth. A young female slave
engaged had to be planned months in advance and coordi-
or captive, painted red and yellow to represent the colors of
nated both with the yearly cycles and with the different cycles
the plant, performed a ritual dance nightly for the duration
of plant life.
of the festival. On the last night all the women in the com-
Agriculture also enriched the meaning of work. To be
munity danced with her and chanted the deeds of Chicome-
sure, farming is a profane skill, but for religious people it has
coatl. At daybreak, the men joined them in a solemn dance
always been first and foremost a ritual. It deals, for example,
of death that brought the exhausted victim to the top of the
with the mysterious forces of growth somehow at work in
pyramid of sacrifice. There the woman was finally offered up
the seed and furrow. It is carried out on the body of Mother
in a gruesome rite to the goddess. In this way the maize god-
Earth herself. It requires the planter to integrate his move-
dess, herself exhausted by her season’s labors, was thought
ments with beneficent and dangerous periods of time; and
to be restored. For precisely the same reasons, the Khonds,
it forces him to contend with the spirits of vegetation, partic-
a Dravidian tribe of Bengal, practiced human sacrifice at least
ularly those, like the tree and forest spirits, who grow angry
until the middle of the nineteenth century, consecrating
when the land is cleared. It requires ceremonial action to as-
their victims to the earth goddess, Tari Pennu or Bera Pennu.
sist the growth of crops and renew the earth’s life-giving en-
These examples give some hint of the essential, underly-
ergies, and it draws the farmer into contact with the dead,
ing ambivalence toward farming and vegetable life that has
for the earth is their abode.
found expression in almost every known myth concerning
Above all, agriculture provided for a vast store of analo-
the origins of agriculture and the introduction of food plants.
gies that made it possible for human beings to see the neces-
The German scholar Adolf E. Jensen divides these myths
sary links that joined plant life, women and sexuality, earth,
into two categories. One group of myths he attributes to cul-
moon, water, death, initiation, and resurrection in a single,
tivators of tuberous plants. Perhaps the most famous story
integrated view of life. In effect it allowed the whole world
comes from the Ceramese Islanders in Indonesia and tells
to be apprehended as a living organism, governed by rhyth-
how a young maiden, Hainuwele, was killed and buried on
mic cycles in which death and life belong necessarily to one
the ninth night of the Maro festival. Her father dug up the
another, and in which rebirth is all the more miraculous for
corpse, cut it in pieces, and buried the pieces around the sa-
the astonishing increase of new life that accompanies it. Long
cred dancing ground. Then from the various parts of her
and intimate dealings with the soil and its seasons fostered
body food plants sprang forth. This primordial murder radi-
the great hope that, like the seed hidden in the earth, the
cally changed the human condition. On the one hand, it was
dead can hope to return to life in a new form: that is, death
a creative death that permits the goddess to be continually
might be no more than a provisional change in the human
present in the lives of her descendants, for every time one of
mode of being. On the other hand, it also pointed to life’s
them consumes a plant that sprang from her divine body, he
essential transitoriness and fragility.
or she partakes of the actual substance of the goddess. On
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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9579
the other hand, the story reveals how death and sexuality first
Zeus hid the seed of wheat, burying it in the earth, with the
entered the world and attributes all the religious and social
result that henceforth men would have to labor in the fields
institutions that are still in place to a criminal act at the be-
for food. At the same time, he created the first woman,
ginning of time.
whom Hephaistos modeled out of clay, and thus sexuality
entered the world too.
Myths belonging to Jensen’s second category he attri-
butes to cereal growers, and they recall a primordial theft of
The myth of Prometheus was commemorated in an-
the food plant in question from heaven. The Dogon, for ex-
cient Greece as the passing of the Golden Age and the begin-
ample, tell of a primordial blacksmith who stole cereal grains
ning of human time. For the Greeks, Prometheus had ful-
from the sky god and brought them back to earth hidden in
filled the will of Zeus, who condemned human beings to the
his hammer. The Gula and Kulfa of the central Sudan say
experience of hunger and death, but he had also provided
that a female spirit pressed beeswax to the soles of her feet
the food needed to survive. Moreover, in leaving nothing
so that the grain that the sky god had spread out would ad-
for the gods except, significantly enough, the smells rising
here. The Chané in the western Gran Chaco believe that the
from the sacrifice, he validated the gods’ supremacy, for in
fox god hid the small seeds of the algaroba fruit in a hollow
a sense the need to consume food is inversely proportional
tooth.
to the vital energy that makes gods different from humans
While there are differences between the two types of
in the first place.
myths, a rigid distinction between them would be difficult
The state sacrifice, though it was the cornerstone of
to defend, partly because the origin of cereals is often attri-
Greek religion in the cities, reflected the ambivalence of the
buted to a primordial murder as well; but it would also dis-
myth that served as its model or charter: On the one hand
tract attention from the variety of origin myths and the dif-
it brought gods and humans together to commemorate the
ferent themes they choose to emphasize. For example, one
start of human life, but it also underscored the distance sepa-
could construct another category of myths that tell of a be-
rating people from the gods they worshiped. Various reli-
nevolent woman who secretly provides food for human be-
gious groups opposed the sacrifice out of a desire for a reli-
ings until she is discovered in the act of producing plants
gious experience that was unlike that offered by official
asexually from her body. According to one variant of the
religion and that promised the devotee closer contact with
story, food plants (tubers and cereals both) came originally
the divine. Among the most important of these groups were
from the sweat or excreta of the goddess. Members of the
the followers of Pythagoras, who embraced vegetarianism as
tribe learn about the revolting source of their food and kill
a way of rejecting wholesale the type of communion with the
her; but following the advice she gives just before her death,
gods that animal sacrifice had established as the norm. The
they also bury the pieces of her dismembered body, where-
foods they valued were cereals such as wheat and barley and
upon food plants and other elements of culture (agricultural
plants such as mallow and asphodel, for in the Golden Age
implements, for example) spring from the corpse.
those plants—even though the first two are cultivated
All of the foregoing myths have one thing in common:
grains—were said to have sprung spontaneously from the
They present the introduction of agriculture as an ambigu-
earth and were the foods that men and gods had once eaten
ous event caused by a crime or mistake that took place during
together. In other words, through rediscovering this lost
primordial times and fraught with difficult consequences. It
commensality, the Pythagoreans hoped to achieve a return
would seem, in fact, that myths that account for the origins
to the Golden Age. Like other forms of vegetarianism, the
of agriculture also have things to say about the highly ambig-
Pythagorean type is an example of ascetic practice that aims
uous achievement of civilization itself, and to the degree that
to purify and transform human life and, in a way, to undo
civilized is the equivalent of human, they address those am-
the effects of civilization. Recalling the equivalence of the
biguities that define humanity’s common lot.
terms civilized and human, one might interpret Pythagorean
vegetarianism as an example of one of the many different
Many of those ambiguities can be seen played out in the
ways that people living in a world shaped by the ideas and
myth of Prometheus and in that story’s profound effects on
values of agriculture have expressed their lives and imagined
the religious life of the ancient Greeks. It is a story that re-
ways of transcending their all-too-human circumstances.
counts much more than just the origins of agriculture. In the
myth from Hesiod, gods and humans lived together and
SEE ALSO Agriculture; Center of the World; Greek Religion;
shared food in the primordial Golden Age. On the day he
Haoma; Human Sacrifice; Lotus; Quests; Soma; Trees.
distributed the share from the first sacrificial animal, Prome-
theus established the diet that differentiates humans and the
BIBLIOGRAPHY
gods. Through Prometheus’s deceit, humans received the ed-
The single most important source on vegetation and the religious
ible portions, leaving the gods with only the bones and fat.
significance of agriculture is Mircea Eliade’s Patterns in Com-
Zeus took his revenge by hiding fire so that it was impossible
parative Religion (New York, 1958), chap. 8, “Vegetation:
for humans to cook their meat. Prometheus then stole the
Rites and Symbols of Regeneration,” and chap. 9, “Agricul-
seed of fire, hiding it in the hollow stalk of a fennel plant,
ture and Fertility Cults.” Both chapters include extensive
and presented it as a gift to humankind. Feeling cheated,
bibliographies. In addition, James G. Frazer’s The Golden
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9580
VELES-VOLOS
Bough: A Study in Magic and Religion, 3d ed., rev. & enl., 12
The medieval Czech phrase k Velesu za more, used to denote
vols. (London, 1911–1915), remains a valuable sourcebook.
“beyond the sea (or water),” literally means “to Veles in the
On the sacred tree, a useful study is E. O. James’s The Tree of Life:
otherworld.”
An Archaeological Study (Leiden, 1966), but see also the illu-
The character and function of Veles-Volos can, to some
minating insights of Gerardus van der Leeuw in his Religion
degree, be reconstructed by linguistic analysis, especially of
in Essence and Manifestation, translated by J. E. Turner (Lon-
don, 1938), pp. 55ff.
names of parallel deities in other Indo-European pantheons.
The Lithuanian name *Velinas (now Velnias,“devil”) and the
On the origins of agriculture in the Neolithic period, see Mircea
Latvian name Vels or Velis, for example, identify a Baltic god
Eliade’s A History of Religious Ideas, vol. 1, From the Stone Age
of death and the underworld (recorded as a god at the end
to the Eleusinian Mysteries (Chicago, 1978), esp. chap. 2,
of the eighteenth century and later described as a devil, an
“The Longest Revolution: The Discovery of Agriculture—
Mesolithic and Neolithic.” For the prehistoric worship of
adversary of Perku¯nas, the Lithuanian god of thunder. The
vegetation goddesses, see Marija Gimbutas’s The Goddesses
Lithuanian term v˙el˙e or vel˙e means “shade of the dead.”
and Gods of Old Europe, 6500 to 3500 B.C.: Myths and Cult
Other related terms include the Latvian Velu laiks and Lithu-
Images (Berkeley, Calif., 1982). Another important study of
anian v˙elin˙es (“days of the dead”), the Tocharian wäl (“to
the religious life of the early cultivators is Vittorio Lanter-
die”) and walu (“dead”), and a host of Germanic relatives:
nari’s La Grande Festa: Storia del Capodanno nelle civiltà
Old Icelandic valr (“dead on the field of battle”) and Valholl
primitive (Milan, 1959).
E
(abode of warriors fallen on the field of battle), Old English
Adolf E. Jensen has written extensively about myths of the Hainu-
wæl (“corpse left on the battlefield”), and Old Norse vollr
wele type and other myths of the origins of agriculture. See
(“meadow,” i.e., “the pastureland of the departed”), a term
his Myth and Cult among Primitive Peoples, translated by
paralleled in meaning by the Hittite wellu- (*wel-nu).
Marianna Tax Choldin and Wolfgang Weissleder (Chicago,
1963). Note that Ileana Chirassi has identified themes of the
The Indo-European root *wel- (“sight, insight, fore-
Hainuwele type in Greek mythology. An excellent bibliogra-
sight”) underlies the name of the Baltic deity Velinas or
phy is appended to her Elementi di Culture Precereali nei miti
Velis, whose clairvoyance (by means of a single eye) is one
e riti Greci (Rome, 1968).
of his chief attributes. The Old Russian “Velesov vnuk”
(“grandson of Veles”) is an epithet for the musician and pro-
New Sources
Heinrich, Michael. “Herbal and Symbolic Medicines of the Low-
phetic poet Boian of the epic Slovo o polku Igoreve, and the
land Mixe (Oaxaca, Mexico): Disease Concepts, Healer’s
Old Russian word v’lkhv means “sorcerer, magician, poet.”
Roles, and Plant Use.” Anthropos 89, nos. 1–3 (1994):
Another name for Veles is Chernobog, signifying the
73–83.
“black god” known to all Slavs. This name is still preserved
Swain, Brajakishore. “Plant Ecology and the Law of the Relation-
in Slavic toponymy, and a curse invoking Chernobog is still
ship between Action and Result.” Journal of Dharma 16
used in the Ukraine: “May the black god kill you.”
(1991): 218–228.
Volos is first mentioned in the Russian Primary Chroni-
PETER C. CHEMERY (1987)
Revised Bibliography
cle (c. 1111 CE), and in two tenth-century treaties with the
Greeks, as skot’i’ bog (“god of cattle”). The etymology of the
phrase reveals connections with theriomorphism, disease,
and evil spirits. The Russian word volos (“hair, fur”) also re-
VELES-VOLOS. The alternative names Veles and Volos
fers to a parasite that lodges under the skin of human beings
denote different aspects of a deity of the pre-Christian Slavs,
and animals; the disease it causes is variously called volos,
the god of death and of cattle. The bifurcation in meaning
volost’, or vo-losti. The carrier of the disease, a worm, is also
must have taken place in the East Slavic area, since Volos is
called volosets or zmeevik, from zmei (“serpent”). The related
confined to East Slavic; in South and West Slavic, the only
Russian words volosen and volosatik mean “evil spirit” or
known form is Veles. Volos very likely derives from the older
“devil.” Medved’ (“fierce beast”), a term meaning “bear” in
*Velsu. Some scholars (e.g., Michael Shapiro) consider Veles-
Russian dialect, is known from literary texts of the eighteenth
Volos not as a composite figure but as distinct twin gods. It
and nineteenth centuries and is used as an epithet to describe
is true that the names Veles and Volos never occur together;
the adversary of the prophet Elijah, the Christian successor
however, both are associated with death and evil and with
of the Slavic thunder god, Perun.
pastureland and cattle, as linguistic analysis suggests. Fur-
The importance of Volos is indicated in various refer-
thermore, the two aspects of Veles-Volos have close parallels
ences to his idols. The eighteenth-century Russian collection
in individual gods of other Indo-European pantheons, such
Skazanii o postroenii grada Iaroslavlia (Legends about the
as the Baltic Vels and Velinas, the Germanic Odin, the Indic
Founding of Yaroslavl), first published in 1876, mentions a
Varuna, and the Iranian Ahura Mazda¯.
place where a statue of Volos once stood: “The sounds of
Downgraded to a demon in the Christian era, Veles is
heavy breathing, of the psaltery, and of singing could often
known in Czech demonology of the fourteenth to sixteenth
be heard from there, and dancing could be seen.” Another
century as well as in the toponymy of the South Slavic area.
text in the Skazanii mentions that cattle were driven around
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VENUS
9581
the idol of Volos. Of great interest also is a description of
VENERATION SEE ANCESTORS; CULT OF
how a priest, Volkhv, first offered by fire a sacrificial victim,
SAINTS; ICONS; IMAGES, ARTICLE ON
prophesied in the name of Volos, and was then himself sacri-
VENERATION OF IMAGES; RELICS; SAINTHOOD;
ficed to the god, a parallel of the Germanic deity Odin’s sac-
WORSHIP AND DEVOTIONAL LIFE
rifice to himself.
Etymologies, historical records, and comparative studies
of Indo-European mythologies allow us to reconstruct the
VENIAMINOV, INNOKENTII SEE
ancient Veles-Volos as a multifaceted god who was, on the
INNOKENTII VENIAMINOV
one hand, a frightening god of death and, on the other, a di-
vine seer: a god who ruled over the magic art and over cattle,
who was a steadfast protector of peaceful settlements and a
VENUS is perhaps the most singular example from among
stern chastiser of their violation, and who was an adversary
the divinized abstractions that make up the Roman pan-
of the thunder god.
theon. The word venus, in its origin, is a neuter noun of the
In the Christian era, Volos became identified with the
same kind as genus or opus. It is discernible in the derived
saints Blasius (Vlasii) and Nicholas (Nikola), the patrons of
verb venerari (*venes-ari), which is confined to religious
flocks and crops. The connection between Volos and Blasius
usage by all the authors of the republican period, especially
may be based on actual and functional similarity, considering
Plautus. The Plautinian construction (not maintained by
that Blasius was “the guardian of the flocks” to the Byzan-
classic use) is of particular interest: veneror . . . ut, which can
tines. Northern Russian icons portray Vlasii seated on a
be translated, “I work a charm [upon such-and-such a divini-
horse or on a stone, surrounded by cows, sheep, and horses.
ty] in order to [obtain a result].” This notion of charm or
In central and northern Russia, particularly in the Yaroslavl
seduction that defines the word venus is represented in Hit-
and Novgorod districts, the cult of Vlasii was popular up to
tite (wenzi) and in the language of the Veneti (wontar). Yet
the end of the nineteenth century. On February 11, his name
the root ven- did not produce a divinity anywhere except in
day, peasants did not work, thereby appealing to the god to
Latin. It is significant that, in the Oscan region (where is re-
preserve their village against epidemics of plague or cholera.
corded a form that is probably borrowed from Latin), the ho-
Icons depicting Vlasii were placed in stables, and there was
mologue of the Latin Venus is Herentas, formed from another
a custom of carrying the icon around each sheep, horse, and
root: her-, “to will.”
cow. In springtime, when the animals were driven out to pas-
The neuter venus is part of a remarkable semantic series
ture, special prayers were said: “Let the smooth lambs, the
of the same kind as genus/Genius/generare, except that here
fat oxen go out playing, and let them come back hopping.”
the first term and not the second was divinized, passing from
The saying “Those who celebrate Saint Vlasii will always be
the neuter to the feminine: Venus/venia/venerari (sometimes
in plenty” points to his ancient role as god of wealth.
venerare in Plautus). To the persuasive charm that the god-
dess embodies and that the venerans (“he who venerates”)
B
practices upon the gods, there corresponds the symmetric
IBLIOGRAPHY
Gimbutas, Marija. “The Lithuanian God Velnias.” In Myth in
notion of venia in the sense of “grace” or “favor”—a notion
Indo-European Antiquity, edited by Gerald J. Larson,
that belongs to the technical vocabulary of the pontiffs (Ser-
pp. 87–92. Berkeley, 1974.
vius, Ad Aeneidem 1.519).
Ivanov, Viacheslav, and V. N. Toporov. “A Comparative Study
This metamorphosis of a neuter noun into a goddess (in
of the Group of Baltic Mythological Terms from the Root
contrast, it is the shift from feminine to masculine that marks
*vel-.” Baltistica (Vilnius) 9 (1973).
the divinization of Cupido) was very likely furthered by the
encounter of this divinity with the Trojan legend. This leg-
Ivanov, Viacheslav, and V. N. Toporov. “K probleme dostov-
end must have facilitated the relation drawn between a
ernosti pozdnikh vtorichnykh istochnikov v sviazi s issle-
Venus embodying charm in its religious meaning and an
dovaniiami v oblasti mifologii: Dannye o Velese v tradit-
siiakh severnoi Rusi i voprosy kritiki pis’mennykh tekstov.”
Aphrodite personifying seduction in the profane sense. The
Trudy po znakovym sistemam 6 (1973): 46–82.
notion of Aphrodite as mother of the Trojan hero Aeneas,
the legendary founder of the Roman race, allowed for the ap-
Jakobson, Roman. “The Slavic God Veles and His Indo-European
plication of a Greek legend to Roman benefit. The myth il-
Cognates.” In Studi linguistici in onore di Vittore Pisani, ed-
lustrated the rite. It made explicit in plain language the ritual
ited by Giancarlo Bolognesi et al., pp. 579–599. Brescia,
employed by a Roman venerans when soliciting the venia
1969.
deum, the favor of the gods. Set forth as their ancestor, the
MARIJA GIMBUTAS (1987)
“pious” Aeneas conferred upon the Romans a privileged sta-
tus in the eyes of the gods. Was it not therefore their lot as
his descendants, the Aeneads, to be assured of obtaining the
pax veniaque deum (the peace and grace of God), as frequent-
VENERABLE BEDE SEE BEDE
ly expressed by Livy, thanks to the mediation of Venus, the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9582
VERGIL
preferred daughter of Jupiter? This, to be sure, was on the
Magini, Leonardo. Le feste di Venere. Fertilità femminile e con-
condition that they fulfill the duties of pietas (“piety”). This
figurazioni astrali nel calendario di Roma antica. Rome, 1996.
explains the famous declarations whereby the Romans
Speidel, Michael. “Venus Victrix. Roman and Oriental.” In Auf-
claimed the title of “the most religious people in the world”
stieg und Niedergang der Römischen Welt 2.17.4,
(Cicero, De natura deorum 2.3.8, De haruspicum responsis
pp. 2225–2238. Berlin and New York, 1984.
9.19).
Wlosok, Antonie. Die Göttin Venus in Vergils Aeneis. Heidelberg,
The divinization of the notion of venus had to take place
1967.
in a syncretic environment, Lavinium, which lent to Venus
ROBERT SCHILLING (1987)
the smile of Aphrodite. According to tradition, Aeneas estab-
Translated from French by Paul C. Duggan
lished at Lavinium, in Latium, a cult of Venus Frutis (the
Revised Bibliography
appellation Frutis is very likely connected etymologically to
Aphrodite), and in the same place a federal temple of Venus,
common to all Latins, was set up. Archaeology has uncovered
at that site a h¯ero¯iov, the shrine of a hero, which the discover-
VERGIL (also spelled Virgil; Publius Vergilius Maro;
er identifies as the mausoleum of Aeneas mentioned by Dio-
70–19 BCE) was born in Andes, near Mantua, and educated
nysius of Halicarnassus (1.64.1–5).
in Cremona and Milan before coming to Rome. His youth-
ful poems include Catalepton 5 and 8. After publication of
The Trojan interpretation of Venus explains the devel-
the Eclogues in about 39 to 38 BCE, he joined the literary cir-
opment of her cult. Thanks to the enlightenment afforded
cle of Maecenas, the close friend and ally of Octavian (the
by the association with the Trojan legend, the Romans were
future Augustus).
able to recognize their national Venus in the Aphrodite of
Mount Eryx in Sicily at the time of the First Punic War and
Vergil’s early poems reflect his Epicurean orientation,
so erected a temple to her later on the Capitoline. On the
and evidence of his participation in the Epicurean communi-
basis of this same enlightenment, the goddess was associated
ty at Naples is found in a papyrus from Herculaneum, where
with Jupiter in the cult of the Vinalia, the wine festival
he is mentioned by name (Gigante, 1983). The Eclogues re-
thought to have been instituted by Aeneas. The first temple
flect the turbulence during the civil wars following the death
erected in the goddess’s honor had been dedicated to Venus
of Julius Caesar, the defeat of the tyrannicides, and the nar-
Obsequens (“propitious Venus”). It had been vowed in 295
row avoidance of war between Octavian and Antony by the
BCE by Q. Fabius Gurges while battle raged against the Sam-
signing of the Treaty of Brundisium. In Eclogue 4, Vergil cel-
nites. Its dedication day, August 19, coincided with the Vi-
ebrates this treaty, proclaiming that an unnamed child is
nalia Rustica. The Trojan interpretation was imposed in de-
about to be born, and his birth will usher in a new Golden
finitive and official fashion in the first century BCE: Julius
Age. Vergil’s Golden Age in the fourth Eclogue resembles that
Caesar offered a temple in the middle of the forum to Venus
of Hesiod, where little human effort is required, but Hesiod’s
Genetrix as the grandmother of the Julian gens and the
negative connotation of decline is reversed by Vergil’s procla-
mother of the Aeneades. Lucretius’s literary expression Ae-
mation that the Golden Age is about to return. The idea that
neadum genetrix thus was awarded liturgical consecration.
it can recur is linked with a Sibylline prophecy of the “final
age” before a new cycle of ages begins again. The role of Dike¯
BIBLIOGRAPHY
(Justice) and agriculture derives from Aratus’s version
Dumézil, Georges. Idées romaines. Paris, 1969. See pages 245–
(Phaenomena 96–136); that Apollo will rule this age is con-
252.
sistent with Augustus’s coming religious renewal. The theme
Dumézil, Georges. La religion romaine archaïque. 2d ed. Paris,
of the Golden Age appears again in the Georgics, where Vergil
1974. Translated from the first edition by Philip Krapp as
says that Jupiter deliberately brought an end to the inertia
Archaic Roman Religion, 2 vols. (Chicago, 1970).
characteristic of the Hesiodic Golden Age and imposed labor
Schilling, Robert. “Le Culte de l’Indiges’ à Lavinium.” Revue des
(toil) on mortals so that they could develop skills and intelli-
études latines 57 (1979): 49–68.
gence. Vergil here develops the idea that a new Golden Age
Schilling, Robert. Rites, cultes, dieux de Rome. Paris, 1979. See
will be based on agriculture rather than leisure. In the Aeneid
pages 290–333.
he says that Saturnus brought a Golden Age to Italy, where
Schilling, Robert. La religion romaine de Venus depuis les origines
it was enjoyed by the Latin people but was lost through war.
jusqu’au temps d’Auguste. 2d ed. Paris, 1982.
Jupiter prophesies it will recur under the rule of Augustus
New Sources
(Johnston, 1980).
Freyburger, Gérard. “Vénus et Fides.” In Hommages à Robert
Schilling, pp. 101–108. Paris, 1983.
Scholars have tried in vain to identify the child with
Johnson, Patricia J. “Construction of Venus in Ovid’s Metamor-
whose birth the new Golden Age will begin. Candidates have
phoses V.” Arethusa 29 (1996): 125–149.
included a child of Mark Antony, of Augustus, or of Pollio
Lloyd-Morgan, Glenys. “Roman Venus: Public Worship and Pri-
(for identifications, see Coleman, 1977; and Clausen, 1994).
vate Rites.” In Pagan Gods and Shrines of the Roman Empire,
Christians associated it with Isaiah 7:14 and 9:6–7, a theme
edited by Martin Henig and Anthony King, pp. 179–188.
supported by the Jewish associations of Pollio, the poem’s
Oxford, 1986.
dedicatee. References to Sibylline oracles, the return of Virgo
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VERGIL
9583
(Justice), and other references in the poem were given bibli-
fate to found a new civilization, and the anthropomorphized
cal interpretations. Lactantius interpreted the poem as a
gods aid him in his pursuit of that destiny. Although his des-
prophecy of the birth of the Christ child, and Vergil was thus
tiny is fixed, Aeneas’s mortal failings threaten to undermine
viewed as a “pre-Christian” and “a vehicle of divine inspira-
his pursuit of that goal, as when he is motivated to die in bat-
tion” (Tarrant, 1997). The emperor Constantine, who had
tle in Book 2 or when he is tempted to remain at Carthage
been associated earlier with the reference to Apollo in Ecclesi-
with Dido in Book 4. Jupiter, who to some degree is the per-
astes 4:10, accepted this reading, although saints Jerome and
sonification of fate, serves throughout the poem as the final
Augustine rejected it (Clausen, 1994, pp. 119–129). The
power who resolves conflicts between other gods who oppose
messianic or Christian interpretation reigned through the
what fate has ordained. Venus, mother of Aeneas, supports
nineteenth century despite scholars such as Christian Got-
his quest, and Juno, for a variety of reasons, opposes it. The
tlob Heyne, who rejected it (1767). Eduard Norden (1924)
deities participating in the action include Greco-Roman
connected the poem with Egyptian and Middle Eastern the-
gods, particularly Apollo (who is closely associated with Au-
ology and rituals of Helios (December 25; which H. J. Rose
gustus and Actium) and Herakles (who serves as a model for
associated with Apollo) and of Aion (January 6, formerly the
Aeneas and for Augustus), as well as Eastern deities (Cybele)
winter solstice). Günther Jachmann (1952) argued that the
and indigenous deities (Faunus, Tiber-god, and Portunus).
child was meant to be a symbol of the new age.
For Aeneas, as representative of the Trojans, prayer and ritual
At the end of the Republic, a prevailing attitude of ne-
are constant concerns. This is reflected throughout the
glect toward the gods caused great concern among intellectu-
poem, as when the Trojans arrive at or depart from Thrace,
als and leaders. Julius Caesar, and then Augustus, engaged
Delos, Actium, and Castrum Minervae; after visions of the
in a series of religious reforms. Augustus was concerned with
Penates, Anchises’s ghost, and the Tiber-god; at signs from
maintaining the traditional values of an agricultural society
Venus; when Aeneas’s ships are converted into nymphs; and
in the new Rome; he did not return to such republican prac-
in the honors he pays to the dead.
tices as auguries and prodigies, which had been abused, but
The underworld in Book 6 of the Aeneid. Aeneas en-
focused on reforms in Roman private religion, such as devel-
ters the underworld at Lake Avernus in Cumae, guided by
oping the priesthood of the Fratres Arvales (Arval brothers),
the Cumaean Sibyl, after performing funeral rites for Mis-
and restoring neglected rites as well as the temples of the
enus and obtaining the Golden Bough, required for passage
gods. Particularly important is the cult of Apollo, who, be-
into the underworld. His descent to the underworld to con-
fore the time of Augustus, was worshiped outside the pomeri-
sult with his deceased father, Anchises, is the main theme of
um with other foreign gods; under Augustus his temple was
Book 6. Vergil’s underworld is more complex than previous
placed in the heart of the city on the Palatine Hill. Vergil’s
accounts. Whereas Homer’s Odysseus goes only to the en-
Georgics (completed in 29 BCE and read by Vergil to Augus-
trance, Aeneas descends through each level until the road di-
tus), a poem on the art of agriculture, invokes the gods of
verges, one leading to Tartaros, the lowest level, which he is
the countryside as well as the deities whom Augustus
not permitted to enter (the sinners and their punishments
elevates.
are described by the Sibyl), and one leading to Elysium, a
VERGIL’S AENEID. The Aeneid (published by Varius after
locus amoenus (a pleasant place), thus providing the first dis-
Vergil’s death in 19 BCE) tells of the fall of Troy and the
tinction in destinies according to the manner in which one
search by the surviving Trojans, led by Aeneas, to found a
has lived one’s life.
new homeland. The poem embodies the religious motifs of
Vergil’s earlier works: the struggles (labores) necessary to
Vergil describes the levels of the underworld, beginning
build a new society, embodied in the suffering of Aeneas,
with the evil shapes and spirits at the entrance, which are
who was later depicted on the Ara Pacis as a heroic founder
harmless. On one side of the River Acheron huddle the dead
figure, like Romulus. In the poem Aeneas, whose regular epi-
who have not been properly buried. After crossing the river,
thet is pius (pious), is the embodiment of pietas (piety, which
they confront the dog Kerberos, then those who have died
many medieval readers interpreted as “pity” and hence inter-
prematurely, including Dido. Next he sees Trojans and
preted his killing of Turnus as a lack of pietas). Aeneas’s piety
Greeks who died at Troy, and finally he comes to the parting
is reflected in his religious attitude, in his patriotic mission,
of the ways, which leads him to Elysium, where he meets
and in his relations with his father, son, and companions as
with Anchises and beholds the future heroes of Rome. His
he labors selflessly to fulfill the commands of the gods and
departure from the underworld, through the gates of ivory,
to found a new home for his people and his family. The mo-
is mysterious because Vergil says that falsa insomnia (false
tifs of the loss and promised return of a Golden Age are
dreams) pass through these gates (6.896), as opposed to the
prominent, particularly in the second half of the poem, in
“true dreams,” which pass through the alternate gates of
the prophecies of the gods that such an age will recur under
horn.
Augustus, and in the revelation that the Latin race, which
VERGIL AS A SUITABLE MODEL FOR CHRISTIAN SPECULA-
once enjoyed such an age, lost it through the madness of war.
TIONS UNTIL DANTE. By the fourth century CE Vergil had
In the Aeneid fate and the gods provide divine machine-
become the common property of pagans and Christians. Not
ry that advances the plot: Aeneas is driven by his destiny or
only were his works central to literary education, but the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9584
VERIFICATION
themes of his works—the miraculous child of the fourth Ec-
Mayer, Joseph B., W. Warde Fowler, and R. S. Conway. Virgil’s
logue as a prophecy of the birth of Christ, the reading of the
Messianic “Eclogue,” Its Meaning, Occasion, and Sources: Three
first half of the Aeneid as an allegory for the progress of the
Studies. London, 1907.
soul to maturity, and Vergil’s description of the underworld
Mynors, R. A. B., ed. “Georgics” by Vergil, with a Commentary.
in Book 6—were seen as suitable models for Christians. Like
Oxford, U.K., 1990.
the Cumaean Sibyl guiding Aeneas through the underworld,
Nisbet, R. G. M. “Virgil’s Fourth Eclogue: Easterners and West-
Vergil guides Dante Alighieri to the brink of Paradiso, which
erners.” Bulletin of the Institute of Classical Studies 25 (1978):
he is not permitted to enter because, having lived before the
59–78.
time of Christ, he cannot be a Christian. Vergil leads the way
Norden, Eduard. Die Geburt des Kindes: Geschichte einer religiösen
to a Christian era and represents the imperial values that a
Idee. Leipzig, Germany, 1924. Connects the fourth Eclogue
Christian must leave behind.
with Egyptian theosophy.
Norden, Eduard, ed. P. Vergilius Maro Aeneis buch VI. 4th ed.
SEE ALSO Afterlife; Descent into the Underworld; Fate;
Stuttgart, Germany, 1957.
Golden Age; Roman Religion; Sibylline Oracles.
Rand, Edward Kennard. The Magical Art of Virgil. Cambridge,
Mass., 1931.
BIBLIOGRAPHY
Rose, H. J. The “Eclogues” of Vergil. Berkeley, Calif., and Los An-
Armstrong, David, Jeffrey Fish, Patricia A. Johnston, and Marilyn
geles, 1942.
B. Skinner, eds. Vergil, Philodemus, and the Augustans. Aus-
tin, Tex., 2004.
Royds, Thomas Fletcher. Virgil and Isaiah: A Study of the Pollio.
Barnes, W. R. “Virgil: The Literary Impact.” In A Companion to
Oxford, U.K., 1918. Discusses Vergil as a prophet of Christ.
the Study of Virgil, edited by Nicholas Horsfall,
Solmsen, Friedrich. “Greek Ideas of the Hereafter in Virgil’s
pp. 257–291. Leiden, Netherlands, 2000.
Roman Epic.” Proceedings of the American Philosophical Soci-
Büchner, Karl. P. Vergilius Maro: Der Dichter der Römer. Stutt-
ety 112 (1968): 8–14.
gart, Germany, 1959.
Tarrant, R. J. “Aspects of Virgil’s Reception in Antiquity.” In The
Burrow, Colin. “Virgils, from Dante to Milton.” In The Cam-
Cambridge Companion to Virgil, edited by Charles Martin-
bridge Companion to Virgil, edited by Charles Martindale,
dale, pp. 56–72. Cambridge, U.K., 1997.
pp. 79–90. Cambridge, U.K., 1997.
Wagenwoort, H. Pietas: Selected Studies in Roman Religion. Lei-
Carcopino, Jérôme. Virgile et le mystère de la IVe éclogue. Paris,
den, Netherlands, 1980.Westendorp Boerma, R. E. H. P.
1930. Discusses neo-Pythagorean coloring.
Vergili Maronis libellum qui inscribitur Catalepton. Assen,
Netherlands, 1949.Wilkinson, L. P. The “Georgics” of Virgil:
Clausen, Wendell, ed. Virgil: “Eclogues,” with an Introduction and
A Critical Survey. Cambridge, U.K., 1969.
Commentary. Oxford, U.K., 1994.
Coleman, Robert, ed. “Eclogues” of Vergil. Cambridge, U.K.,
Williams, G. “A Version of Pastoral: Vergil, Eclogue 4.” In Quality
1977.
and Pleasure in Latin Poetry, edited by Tony Woodman and
David West, pp. 31–46. Cambridge, U.K., 1974.
Comparetti, Domenico. Virgilio nel medio evo. 2 vol. Florence,
1872; Translated as Vergil in the Middle Ages by E. F. M. Be-
PATRICIA A. JOHNSTON (2005)
necke (Princeton, N.J., 1997).
Courcelle, Pierre. Lecteurs païens et lecteurs chrétiens de l’Enéide.
Rome, 1984.
VERIFICATION SEE LOGICAL POSITIVISM
Enciclopedia virgiliana. Rome, 1984–1991. Includes several arti-
cles pertaining to religion, including articles on deities, festi-
vals, heroes, and forms of piety.
VESTA. The name Vesta, with the archaic suffix -ta, is de-
Galinsky, Karl. Augustan Culture: An Interpretive Introduction.
rived from the root *a1eu, “to burn.” It encompasses two
Princeton, N.J., 1996.
stems: stem 1, *a1eu-s, is found in the Greek heuo and the
Gigante, Marcello. “Virgilio fra Ercolano e Pompei.” Atene e Roma
Latin uro, “I burn”; stem 2, *a1u-es, lies at the base of the
28 (1983): 31–50.
Latin Vesta and most probably also of the Greek Hestia. The
Hagendahl, Harald. The Latin Fathers and the Classics: A Study on
intrinsic bond between the goddess and fire, ignis Vestae
the Apologists, Jerome, and Other Christian Writers. Göteborg,
(“fire of Vesta”; Paulus-Festus, ed. W. M. Lindsay, 1913,
Sweden, 1958.
p. 94 L.), was understood perfectly by the ancients, even
Jachmann, Günther. “Die vierte Eklge Vergils.” Annali della Scu-
though they were sometimes tempted to propose fanciful et-
ola Normale Superiore di Pisa, 2d ser., 21 (1952): 13–62.
ymologies; Festus, for example, in order to explain Vesta’s
Johnston, Patricia A. Vergil’s Agricultural Golden Age: A Study of
round sanctuary identifies her with the round earth (Paulus-
the “Georgics.” Leiden, Netherlands, 1980.
Festus, ed. W. M. Lindsay, 1913, p. 320 L.). The semantic
Johnston, Patricia A. “Juno and the Sibyl of Cumae.” Vergilius 44
connection between the Latin goddess and the Greek god-
(1998): 13–23.
dess was conceded by Cicero (De natura deorum 2.67), who
Johnston, Patricia A. “Piety in Vergil and Philodemus.” In Vergil,
also believed that Vesta had been borrowed from the Greeks.
Philodemus, and the Augustans, edited by David Armstrong,
Jeffrey Fish, Patricia A. Johnston, and Marilyn B. Skinner.
Although the cult of Vesta was known throughout the
Austin, Tex., 2004.
Italic regions, evidence of it comes above all from Latium.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VESTA
9585
The cult of Vesta was established at Lavinium, so that it is
beginning of the ancient year (Ovid, Fasti 3.135–144). “If
possible that her worship with colleges of virgins in atten-
by chance this fire were extinguished, the virgins would be
dance was at one time more widespread throughout Latium.
flogged by the pontiff. Custom then obliged them to rub on
The goddess is clearly listed in the famous catalogue of Sabin
a piece of ‘fertile’ wood [felix materia] until the fire thus pro-
divinities introduced in Rome in archaic times (Varro, De
duced could be carried by a Vestal in a bronze sieve to the
lingua Latina, 5.74). The tradition that the virgines Vestae,
sanctuary” (Paulus-Festus, ed. W. M. Lindsay, 1913, p. 94
like most other Roman religious institutions, were instituted
L.). Although the Vestals were directed by a superior, the
by king Numa is given by Livy (1. 20.3), Gellius (1.12.10)
virgo Vestalis maxima, they were placed under the authority
and Ovid (Fasti 6.259) but may be no more than a recon-
of the pontifex maximus, who was to flog them in case of care-
struction from the established connexion between Numa
lessness. They had to maintain absolute chastity for the entire
and the nymph Egeria who inspired him: the Vestals drew
duration of their service (Ovid, Fasti 6.283ff.). The loss of
water from the well of the Camenae, where Numa and Egeria
virginity meant capital punishment: the guilty Vestal was
met (Plutarch, Numa 13). Another origin, Romulean or
buried alive in the Campus Sceleratus (“field of crime”) near
Alban, may be infered: according to Livy (1.3.11), Ovid
the Porta Collina. Cicero (De legibus 2.8.20) gives two rea-
(Fasti 3.11–52), and Plutarch (Romulus 3), Rhea Silvia,
sons for the virginity of the priestesses. The first is a practical
daughter of Numitor and mother of the twins Romulus and
one: married women have others duties. The second is in-
Remus, was consecrated to the cult of Vesta by King Amuli-
spired by Roman morality, and Cicero imagines the Vestals
us, who wanted to deprive her of descendants. Tarpeia, who
as setting a public example for all women. The preparation
betrayed the Romans during the war between Romulus and
of the various items needed for sacrifices was also entrusted
Titus Tatius, was also perhaps a Vestal Virgin (Livy 1.3.11).
to the Vestals. The muries, a brine produced by adding water
Since the cult of Vesta goes back to the origins of the
to oven-cooked coarse salt (Festus, p. 152 L.), and the mola
Latin city, it escaped the anthropomorphism of the Etruscan
salsa, baked wheat flour sprinkled with salt (p. 124 L.), which
and Greek environments, as evidenced by Ovid, who writes
was spread over the heads of the victims (immolare) before
that even in his time the ignis Vestae was sufficient by itself
they were slain (mactare), were both prepared by the Vestals
and had no cultic statue (Fasti 6.295–298). When Cicero
(Paulus-Festus, ed. W. M. Lindsay, 1913, p. 97 L.). Scholars
(De natura deorum 3.80) tells of the episode in which the
have defined the duties of the Vestals as a kind of housekeep-
pontifex maximus Q. Mucius Scaevola was slain in 82 BCE in
ing at the state hearth, and there is a debate as to whether
front of “the statue of Vesta” he must be referring to an hon-
they represent, in the cult, the king’s daughters or the king’s
orific statue located in the vestibule or outside the sanctuary.
wife.
Situated near the via Sacra in the Forum, in front of the
The girls chosen to be “priestesses” of Vesta were said
Regia and linked with the Atrium Vestae (“house” of the Ves-
to be “seized” (capere) by the pontifex maximus, and this “cap-
tals), the goddess’s round sanctuary (rotunda aedes; Paulus-
ture” had important juridical consequences: from that mo-
Festus, ed. Lindsay, 1913, p. 321 L.; Ovid, Fasti 6.267) was
ment, the girl was no longer subordinate to the patria potestas
differentiated from a four-sided temple oriented to the four
(Gellius, Noctes Atticae1.12.9; Gaius, Institutiones 1.130),
cardinal points. This contrast, which the ancients attempted
nor to a tutor (Gaius, Institutiones 1.145); she may, of her
to explain by gratuitously comparing the goddess with the
free will, dispose of her fortune, and she also may appear in
earth, becomes clear in the light of comparative studies.
court as a witness (Gellius 7.7.2). So the Vestals Virgins en-
Vedic religion distinguished “the fire of the master of the
joyed a number of civil rights that originally a Roman
house,” which is “this world and, as such, is round,” from
woman did not possess. From the beginning, this female
“the fire of offerings,” the smoke of which “carries men’s gifts
priesthood was endowed with outstanding rights (civil rights
to the gods: this is oriented to the four cardinal points and
and not only cultic honors), which led some scholars to re-
is thus four-sided” (Dumézil, 1974, p. 320).
gard the Vestal Virgins as forerunners of the “emancipation”
Vesta’s influence was upon the altars and hearths (Cic-
of Roman women (Guizzi, 1968, p. 200). Some scholars pre-
ero, De natura deorum 2.67). The recommendation that
tend that there was cooperation and solidarity between Ves-
Cato (De agricultura 143) made to the farmwife (vilica), who
tal Virgins and Roman women (Gagé, 1963). But only “pres-
held the same place in the country as did the mistress of the
ence” is attested and there is no proof for an act of solidarity
house (domina) in the city, was appropriate for anyone re-
(Cancik-Lindemaier, 1990, 1996).
sponsible for the hearth: “Let the hearth be maintained by
The goddess’s feast, the Vestalia, was held on June 9.
being swept each day before bedtime.”
From June 7 to 15, her sanctuary was open exclusively to
Since the goddess also watched, “as it were, over the
women, who were allowed to enter only with bare feet. On
hearth of the city” (Cicero, De legibus 2.29), she was desig-
the last day it was cleaned. The end of this operation was
nated Vesta publica populi Romani Quiritium in the official
noted in the calendars by the letters Q(uando) ST(ercus) D(-
religion. At her service there were the six Vestal Virgins,
elatum) F(as) (literally, “Once the dung is removed, the day
whose principal task was to maintain the fire (Cicero, De legi-
is profane”). This archaic notion, which marks the specific
bus 2.29). This fire was renewed once a year on March 1, the
moment at which the day changes from being a dies nefastus
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9586
VESTMENTS
(“forbidden or holy day,” a day on which no public business
Cancik-Lindemaier, Hildegard. “Priestly and Female Role in
could be transacted) to being fastus (“profane”), recalls the
Roman Religion.The uirgines Vestae.” Hyperboreus 2, no. 2
time “when a pastoral society in camp had to clean away the
(1996) 138–150.
stercus [dung] of its flocks from the site of its sacred fire”
Cornell, Tim, “Some Observations on the crimen incesti.” In Le
(Dumézil, 1974, p. 320).
délit religieux dans la cité antique (Collection de l’Ecole fran-
çaise de Rome, 48), Rome, 1981, pp. 27–37.
The sanctuary also contained some talismans that served
as pledges of Rome’s perpetuity. Among these was the Palla-
Fraschetti, Augusto. “La sepoltura delle Vestali e la città,” in Du
dium, the statue of Pallas Athena, reputedly of Trojan origin
châtiment dans la cité. Supplices corporels et peine de mort dans
le monde antique (Collection de l’Ecole française de Rome,
(Servius, Ad Aeneiden 7.188; Livy, 27.27.14; Cicero, Pro
79), Rome, 1984, pp. 97–129.
Scauro 48). In contrast to the sacrificial ingredients preserved
in the anterior part of the sanctuary (penus exterior), these
Gagé, Jean. Matronalia. Essai sur les dévotions et les organisations
“pledges of destiny” (pignora fatalia; Ovid, Fasti 6.445) were
cultuelles des femmes dans l’ancienne Rome (coll. Latomus LX).
Brussels, 1963.
kept in the “holy of holies” (penus interior) that was closed
off by a tapestry (Festus, p. 296 L.) and accessible only to
Giannelli, Giulio. Il sacerdozio delle Vestali Romane. Florence,
the Vestals. This gave rise to the anecdote about the pontifex
1913.
maximus L. Caecilius Metellus, who in 241 BCE, after having
Guizzi, F. Aspetti giuridici del sacerdozio Romano. Il sacerdozio di
saved the Palladium from a fire, penetrated to the forbidden
Vesta (Pubblicazioni della Facoltà Giuridica dell’Università
place and was struck blind (Pliny, Natural History 7.141)
di Napoli). Naples, 1968.
Thus, the symbolism of the “eternal fires” of Vesta (Ovid,
Hommel, Hildebrecht. “Vesta und die frührömische Religion.”
Fasti 3.421) was reinforced by the presence of these “pledges
Aufstieg und Niedergang der römischen Welt 1, no. 2 (1972):
of destiny.”
397–420.
The importance of Vesta is evident in the liturgy. The
Latte, Kurt. Römische Religionsgeschichte, Munich, 1960 (2d ed.,
1967), pp. 108–110.
goddess was invoked at the end of every prayer and sacrifice
(Cicero, De natura deorum 2.67), paralleling the opening in-
Paulus-Festus. Sexti Pompei Festi de uerborum significatu quae su-
vocation of Janus, who led the sequence of divinities. (This
persunt cum Pauli epitome. Edited by W. M. Lindsay. Leip-
liturgical rule was the opposite of the Greek practice, which
zig, 1913.
prescribed “beginning with Hestia.”). Esteem for the Vestals
Radke, Gerhard. Die Götter Altitaliens. Münster, 1965,
followed naturally. Once a year they appeared before the rex
pp. 320–335.
sacrorum (“king of sacrifices”) and said to him, “Vigilasne
Radke, Gerhard. “ Die ‘dei Penates’ und Vesta in Rome.” Aufstieg
rex? Vigila!” (“Are you watchful, king? Be watchful!”; Servi-
und Niedergang der Römischen Welt, II, 17, no. 1 (1981):
us, Ad Aeneidem 10.228). In a solemn ceremony at the Capi-
343–373.
tol, the pontifex maximus officiated along with the chief Ves-
Wissowa, Georg. Religion und Kultus der Römer. 2d ed., Munich,
tal (Horace, Odes 3.30.8). One can thus understand Cicero’s
1912, pp. 153–161.
statement (Pro Fonteio 48): “If the gods were to scorn the
ROBERT SCHILLING (1987)
Vestal’s prayers, it would be the end of our power.”
CHARLES GUITTARD (2005)
In the third century
Translated from French by Paul C. Duggan
BCE Vesta did not entirely escape
a syncretism that made her the homologue of Hestia: during
the lectisternium of 217 BCE she was coupled with Vulcan/
Hephaistos. Thus the beneficial fire, kept inside the city, was
VESTMENTS SEE CLOTHING
uncustomarily associated with the harmful fire, relegated to
outside the pomerium, the religious and ritual boundary of
the city (Vitruvius, 1.7.1). Another innovation started with
VIA NEGATIVA is a technical term for the negative way
Augustus, who upon becoming pontifex maximus in 12 BCE,
of theology, which refuses to identify God with any human
even while respecting the old sanctuary of the Forum, had
concept or knowledge, for God transcends all that can be
a chapel of Vesta (Aedicula Vestae) built on the Palatine near
known of him. Yet the term points to the possibility of union
his palace and adorned it with a cultic statue (Corpus inscrip-
with God and the experience of his presence.
tionum Latinarum, Berlin, 1863, vol. 1, no. 317).
Via negativa was described by Dionysius the Areopagite
BIBLIOGRAPHY
(c. 500 CE) in his treatises Divine Names and Mystical Theolo-
Brelich, Angelo. “Vesta.” Albae Vigiliae 7. Zurich, 1949.
gy. He developed further the ideas of the fourth-century Cap-
Dumézil, Georges. La religion romaine archaïque. 2d ed. Paris,
padocian fathers, particularly that of Gregory of Nyssa, but
1974. This work has been translated from the first edition
the term derives originally from the writings of the Neopla-
by Philip Krapp as Archaic Roman Religion, 2 vols., Chicago,
tonic philosopher Proclus (411–485). The writings of Dio-
1970.
nysius were translated by John Scottus Eriugena (c. 810–
Cancik-Lindemaier, Hildegard. “Kultische Priviligierung und ge-
880), who made via negativa the basis of his theology, argu-
sellschäftliche Realität.” Saeculum 41, no. 1 (1990): 1–16.
ing that it was more effective than the affirmative path. Since
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VIA NEGATIVA
9587
Eriugena the term via negativa has been used by other theo-
tical theology of Dionysius, means much more than absence
logians of mystical contemplation, particularly by Meister
of knowledge. To know God by unknowing is to surrender
Eckhart (1260–1327) and Nicholas of Cusa (1401–1464).
one’s mind to him. God is not an object of knowledge. As
the soul is saved by losing itself, so the mind knows God by
The affirmative way of theology, theologia kataphatika,
unknowing. The mind is abandoned to be found and saved,
uses terms from one’s own experience to describe God and
for it is the mind itself that sees God at the last stage of union
his qualities. According to the affirmative theology, every
and contemplation. Knowledge of God is not simply knowl-
term that refers to the good and the beautiful in this world
edge but union with him. Still, God is incomprehensible
can be applied analogously to God: “God is good,” “God is
even when this union is realized. To attain “superessential
love,” “God is light,” “God is truth.” Yet the seeker after God
darkness” is the goal of via negativa.
becomes aware that God transcends all qualities or attributes
that are applied to the creator by his creatures. God is good,
The Christian experience of God must be distinguished
but he is beyond and above any concept of goodness that one
from that of Neoplatonic mysticism. Although Dionysius
may imagine. What humans affirm about God does not ex-
the Areopagite was a devoted disciple of Proclus, the last
press his reality. Whatever one may say of God one can also
great Neoplatonist, his description of the experience of God
deny. People call him “Person,” but, at the same time, they
is not Neoplatonic. The Neoplatonists would say that God
know that he transcends personal categories and empirical
is incomprehensible to the human soul, but that this is be-
existence. God dwells in light that none can approach (1 Tm.
cause of the soul’s union with the body. The “unbodying”
6:16), or he dwells in darkness, in which all names disappear.
of humans leads to liberation: When the soul, free from the
He transcends any concept that may be applied to him. This
body or from finitude, returns to the One, it attains perfect
via negativa is the basis of “negative theology” (theologia
unity with it. The One is no longer incomprehensible. The
apophatika), which presents God as ineffable and a mystery.
apophatic, negative way is transformed into a cataphatic,
positive one. This Neoplatonic outlook is far from the views
Via negativa is both a way to the knowledge of God and
of Dionysius.
a way of union with him. God is known by via negativa when
upon removal from the names, definitions, and statements
Via negativa was important in later Christian theology
used about God all that he is not. God cannot be named or
as well, as in the work of the fifteenth-century German Cath-
defined. Any name or definition imposes limits, and God is
olic cardinal Nicholas of Cusa, who built upon and devel-
above (huper) them. Incommensurable and incomprehensi-
oped some ideas of Dionysius and Eriugena. With his con-
ble, he cannot be reached by discursive reasoning; he is not
ception of “learned ignorance,” Nicholas teaches that God
an object of knowledge, for he is above knowledge. Via nega-
is ineffable, infinitely greater than anything that words or
tiva means radical denial of all definitions, transcending rea-
concepts can express, and that by the process of elimination
son while not abandoning it. The person following via nega-
and the use of negative propositions one comes nearer to the
tiva in order to know God engages in a paradoxical search.
truth about Him. Negative propositions are true, whereas af-
On the one hand, he or she denies that God can be identified
firmative ones are inadequate, Nicholas asserts. He empha-
with anything or that God can be expressed in words or con-
sizes that negative theology “is so indispensable to affirmative
cepts; on the other hand, the seeker must follow the road of
theology that without it God would be adored, not as the
via negativa to be united with the ultimate reality. The life
Infinite but rather as a creature, which is idolatry.”
of those who seek union with God is one of purification of
Via negativa is present in the Eastern religious traditions
soul and overcoming of passion as an approach to that union.
as well. The Hindu seeker’s goal is union with brahman, the
God is nearer to people than they are to themselves, yet he
ineffable, the nonconceptual. The Upanis:ads contain innu-
is inconceivable. Hence, those who experience union with
merable statements expressing or reflecting the unknowabili-
God speak in negative rather than positive terms; God is even
ty and intangibility of ultimate reality. Brahman is “without
more incomprehensible than he is at the beginning of the re-
beginning, without end, eternal, immutable, beyond nature,
ligious quest. Worship, expressed in prayers and hymns, re-
is the Self” (Kat:ha Upanis:ad). The Self is to be described as
flects via negativa. God, who transcends reason and thought,
neti, neti (“not this, not this”). The ignorant do not know
is honored in silence as well. Negative theology conveys the
brahman, for brahman remains hidden behind names and
purest form of devotion and the experience of God’s ineffa-
forms. To know brahman is to know what is beyond knowl-
ble presence.
edge, and one who knows brahman becomes one with brah-
man (Mun:d:aka Upanis:ad). Having attained the ultimate re-
Dionysus the Areopagite thought of God as a being be-
ality, the sage declares: “I am life” (Taittir¯ıya Upanis:ad).
yond any conception or name, who “transcends all affirma-
Meditation as practiced in Eastern religions reflects via nega-
tion by being the perfect and unique cause of all things, and
tiva more strongly than is the case in modern Western reli-
all negation by plenitude of his simple and absolute nature.”
gions.
Any concept that can be applied to the world cannot be used
regarding God. He is present in the world by providence, but
The Dao of Daoism, like brahman of Hinduism, is inef-
not in his essence. Yet one can know God in the silence of
fable, indescribable, indefinable, ungraspable. The Dao is ac-
unknowing. “Unknowing” (agnosia), a key word in the mys-
tionless, yet active. The Dao, the way of all life, is “beyond
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9588
VICO, GIOVANNI BATTISTA
the power of words to define.” The terms applied to the Dao
BIBLIOGRAPHY
are all relative, “none of them absolute” (Bynner, 1944,
Burtt, Edwin A., ed. The Teaching of the Compassionate Buddha.
p. 25). The Dao gives life to everything, yet it is humble and
New York, 1955. A valuable collection of excerpts from early
lowly: “Existence, by nothing bred, breeds everything” (Byn-
and later Buddhist texts.
ner, p. 27).
Bynner, Witter. The Way of Life According to Laotzu. New York,
Via negativa also permeates the Buddhist view of
1944. An attempt to produce a simple, free, and suggestive
translation of the Daode jing.
nirva¯n:a. According to the Therava¯da teaching, nirva¯n:a is a
state into which one enters by achieving victory over craving
Dionysius the Areopagite. On the Divine Names and the Mystical
through the extinction of desire. The nature of nirva¯n:a is be-
Theology. Translated, edited, and with an introduction by
yond ordinary human existence; no images or concepts de-
C. E. Rolt. New York, 1940. A good introduction and clear
translation of this Christian classic.
rived from the world of human experience are adequate for
describing or analyzing it. By using only negative terms, such
Meyendorff, John. Byzantine Theology. 2d ed. New York, 1979.
as “unborn, not become, not made, uncompounded,” the
A very readable and informative account of trends in Byzan-
tine theology.
Buddha pointed to the nature of nirva¯n:a. Something very
positive is conveyed in this negative way, for these negative
Nicholas of Cusa. On Learned Ignorance. Translated by Jasper
terms overcome limitations that are implicit in positive
Hopkins. Minneapolis, 1981. Indispensable for the thought
terms.
of this great mystic.
Otto, Rudolf. The Idea of the Holy. 2d ed. Translated by John W.
The Maha¯ya¯na conception of nirva¯n:a dispenses with
Harvey. New York, 1950. Still the best book on the subject:
the image of entering nirva¯n:a and emphasizes the state of ul-
a modern classic on the basic experience of the holy.
timate perfection. The arahant, the saint of the Therava¯da,
is interested in “entering” nirva¯n:a; but the bodhisattva, the
Prabhavananda, Swami, and Frederick Manchester, trans. The
Upanishads: Breath of the Eternal. Hollywood, Calif., 1948.
saint of the Maha¯ya¯na, when he reaches the state of perfec-
An easily followed translation of some of the most important
tion, does not “stay” in nirva¯n:a but brings perfection back
parts of the Hindu scriptures.
into sam:sa¯ra, the flux of events in this world. How is this
Sigmund, Paul E. Nicholas of Cusa and Medieval Political Thought.
state of perfection of the bodhisattva described? Again, only
Cambridge, Mass., 1963. A good, reliable source of informa-
a negative approach is found to be adequate. The experience
tion about the period.
of the bodhisattva does not fit ordinary experience. The per-
fection of the bodhisattva is experienced as “compassionate
New Sources
oneness with others,” when any thought of the self as sepa-
Bulhof, Ilse Nina, and Laurens Ten Kate, eds. Flight of the Gods:
Philosophical Perspectives on Negative Theology. New York,
rate is transcended, when nirva¯n:a and samsara are known to
2000.
be not two different realms of existence but one. To refuse
to “enter” nirva¯n:a, to remain in the world for the sake of oth-
Carlson, Thomas. Indiscretion and the Naming of God. Chicago,
ers, is in fact to be in nirva¯n:a. This state of perfection can
1999.
be adequately expressed only in negative terms: “nirva¯n:a is
Coward, Harold, and Toby Foshay, eds. Derrida and Negative
the annihilation of ego conception,” or, “nirva¯n:a is bliss un-
Theology. Albany, N.Y., 1992.
speakable,” that is, perfect, timeless bliss. A notion common
Davies, Oliver, and Denys Turner, eds. Silence and the Word: Neg-
to these and similar statements is that human language is in-
ative Theology and Incarnation. New York, 2002.
adequate for the expression of nirva¯n:a, which is “the recogni-
Milem, Bruce. The Unspoken Word: Negative Theology in Meister
tion of the oneness of existence.” The Buddha said, “I will
Eckhart’s German Sermons. Washington, D.C., 2002.
teach you the truth and the path of the truth.” The truth is
VESELIN KESICH (1987)
nirva¯n:a, but nirva¯n:a, the experienced eternal in Buddhism,
Revised Bibliography
is ineffable. Brahman is ineffable. Dao is ineffable. God is in-
effable.
What positive theology affirms about God is not false,
VICO, GIOVANNI BATTISTA
but it is inadequate. Negative theology affirms that God ex-
(1668–1744), Ne-
cels in everything. Yet the apophatic way alone, without the
apolitan philosopher of history and culture. Vico was born
cataphatic, may lead anywhere. Cataphatic theology, with-
and lived his life in Naples except for nine years (1686–
out an apophatic dimension, may build a system of concepts
1695) spent as tutor to the Rocca family at Vatolla. He re-
without an underlying experience of God. The absolute
ceived a degree in law from the University of Naples (Saler-
terms of negation that are common to the mystical traditions
no) in 1694. Vico was professor of Latin Eloquence, that is,
(emptiness, void, darkness, nothingness) are paradoxically posi-
rhetoric, at the University of Naples from 1699 to his retire-
tive in content. They are the product of the experience of the
ment in 1741. Because of the low salary of his position, Vico
divine, the numinous. They are symbols that point to God,
provided for his family by working as a private tutor and by
who is the “Wholly Other,” with whom nothing in this
writing on commission.
world can be compared. Via negativa indicates and expresses
As part of the duties of his professorship, Vico presented
his unconditional existence.
a series of inaugural orations marking the beginning of each
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VICO, GIOVANNI BATTISTA
9589
university year. The last of these, De nostri temporis studiorum
sal” (universale fantastico), which is the term he uses for the
ratione (On the Study Methods of Our Time), published in
form of thought that characterizes the primordial religious-
1709, contains the first statement of Vico’s original philo-
mythic or poetic mind.
sophical position. This was followed by an attack on Des-
In Vico’s view, the nations of humanity begin at various
cartes, De antiquissima Italorum sapientia (On the Ancient
times and places independent of each other, but all share a
Wisdom of the Italians) in 1710, in which Vico states his fa-
common nature. They all have structurally similar begin-
mous principle of verum et factum convertuntur—the con-
nings in the Jove experience and they all undergo the same
vertibility of the true and the made. Between 1720 and 1722
course (corso) of historical development that passes through
Vico wrote two works and a series of annotations that com-
three ages, that of gods, heroes, and men. Within a corso vari-
prise a large study known as Il diritto universale (Universal
ous organized religions evolve from the impetus of the origi-
Law), in one chapter of which Vico gives a first sketch of his
nal religious mentality and life. The world of nations is a
concept of a new science of nations. The first version of his
panorama of corsi and ricorsi. That all nations have a com-
major work, now known as the Scienza nuova prima (First
mon nature—that they begin in an act of naming the divine
New Science), was published in 1725. The two parts of his
and develop according to the pattern of three ages—is in
autobiography were completed between 1725 and 1728. The
Vico’s view evidence of providence in history.
definitive version of his major work, entitled Principi di
Providence, for Vico, is evident in this three-stage life
scienza nuova di Giambattista Vico d’intorno alla comune na-
of any nation. In the age of gods men see all of nature and
tura delle nazioni (Principles of New Science of Giambattista
social institutions in terms of the presence of gods. Social
Vico Concerning the Common Nature of Nations), was
order exists through fathers who found cities and take aus-
published in 1730 and revised in the year of his death. This
pices of the divine. In the age of heroes fantasia is directed
version has come to be known as Vico’s Scienza nuova secon-
to form not gods but certain human figures, such as Achilles,
da or simply as Vico’s New Science. Vico’s work was very lit-
as imaginative universals. In the age of men all life and
tle known in his time. It was revived in the nineteenth centu-
thought becomes secularized: abstract thought rather than
ry by Jules Michelet and early in the twentieth century by
fantasia dominates; natural piety fades; the forms of social
Benedetto Croce and Fausto Nicolini. More recently Vico’s
life become dissolute. When this occurs a given corso comes
thought has been given a further revival in works by a num-
to an end and a civilization falls. At this point God reestab-
ber of European and Anglo-American scholars.
lishes the providential structure of history by a ricorso in
In the New Science Vico claims that religion, marriage,
which a new beginning is made by a return of the survivors
and burial are the three “principles” (principi) at the basis of
to the original severe conditions of life and primordial reli-
all human society. Vico intends to emphasize the genetic and
gious experience.
etymological meaning of the word principi as “beginnings.”
The institutions of religion, marriage, and burial are the nec-
BIBLIOGRAPHY
essary and sufficient conditions required for a minimal
Works by Vico
human society, one that can generate and transmit culture.
The standard edition of Vico’s writings is by Fausto Nicolini,
Vico’s emphasis is on religion, the first term in this list of
Opere di G. B. Vico, 8 vols. in 11 (Bari, 1911–1941). The
principles or institutions; through its beginning, marriage
standard English translation of Vico’s major work is The New
and burial begin.
Science of Giambattista Vico (Ithaca, N. Y., 1961; rev. trans.
1968). Complementary to this is The Autobiography of Giam-
In Vico’s view, religion arises from a primordial fear of
battista Vico (Ithaca, N. Y., 1944). Both of these works are
the actions of a divine being and from the attempt to estab-
translated by Thomas G. Bergin and Max H. Fisch and are
lish a relationship to this being through auspices. The pri-
admirable in their style and accuracy. Both contain prefaces
mordial phenomenon through which the divine appears is
and notes that are indispensable. Vico’s De nostri temporis
thunder and humankind’s fear of it. In Vico’s account, the
studiorum ratione (1709) has been translated by Elio Gian-
first humans, who have grown to gigantic size and who are
turco as On the Study Methods of Our Time (Indianapolis,
living in the great forests of the earth since the biblical flood,
1965). Partial translations of Vico’s works, including De an-
produce the first act of human speech by calling the thunder-
tiquissima Italorum sapientia and La scienza nuova prima, are
available in Vico: Selected Writings, edited and translated by
ous sky Jove. Every people, or nation, has its Jove. Human
Leon Pompa (Cambridge, 1982). For a comprehensive de-
speech and the culture of any nation begin at the sudden
scription of the Italian and English editions of Vico’s works,
transformation of the physical states of the thunderous sky
see Michael J. Mooney’s “Vico’s Writings” in Giambattista
and humankind’s fear of it into a spiritual meaning, the pres-
Vico’s Science of Humanity, edited by Giorgio Tagliacozzo
ence of a god. Jove is the first name forged in human con-
and me (Baltimore, 1976).
sciousness. This is done not through an act of reasoning but
Works about Vico
through an act of imagination, or what Vico calls fantasia.
The classic bibliography is Benedetto Croce’s Bibliografia vichi-
Fantasia is not the passive formation of images from sensa-
ana, revised and enlarged by Fausto Nicolini (Naples, 1947–
tion, but an active power to form or make something true
1948). Also useful is A Bibliography of Vico in English, 1884–
in human experience. Vico calls Jove an “imaginative univer-
1984, edited by Giorgio Tagliacozzo et al. (Bowling Green,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9590
VICTORINES
Ohio, 1986), and its supplements published by the Institute
After World War I Vierkandt shifted his focus and
for Vico Studies in New York. For a full, paragraph-by-
sought to outline the contents and methodology for the dis-
paragraph commentary on Vico’s Scienza nuova, see Fausto
cipline of sociology. In Gesellschaftslehre: Hauptprobleme der
Nicolini’s Commento storico alla seconda Scienza nuova, 2
philosophischen Soziologie (1923; 2d ed., 1928), he described
vols. (Rome, 1949–1950). For the classic interpretation of
sociology as the study of the “ultimate facts” of society,
Vico’s thought from the standpoint of Hegelian idealism, see
which, for him, were manifested in the specific properties of
Croce’s The Philosophy of Giambattista Vico, translated by
the group and in the characteristics of group life, the group
R. G. Collingwood (London, 1913). Three recent interpre-
tations of Vico in English are Leon Pompa’s Vico: A Study
being the carrier of interaction between its members. He fur-
of the ‘New Science’ (Cambridge, 1975), which examines
ther proposed a phenomenological method for this study.
Vico’s ideas as they constitute a science of society and histo-
Vierkandt also acted as editor for a comprehensive dictio-
ry; Isaiah Berlin’s Vico and Herder (New York, 1976), which
nary, the Handwörterbuch der Soziologie (1931; reprint,
considers Vico from the perspective of the history of ideas;
1959), to which most of the leading German sociologists of
and my own Vico’s Science of Imagination (Ithaca, N.Y.,
his day contributed. His study Familie, Volk, und Staat in
1981), which examines Vico’s conception of “imaginative
ihren gesellschaftlichen Lebensvorgängen (1936) received little
universals” as the basis of his thought. Several volumes of es-
attention during the Nazi period but was republished in
says by European and American scholars have been edited by
1949 under the title Kleine Gesellschaftslehre.
Giorgio Tagliacozzo, director of the Institute for Vico
Studies, and others. Many of these essays show the connec-
Vierkandt’s focus on the group as having an identity in
tion of Vico with other thinkers; one of the most recent vol-
itself instead of just being the sum of its individual members
umes is Vico: Past and Present (Atlantic Highlands, N.J.,
suggested a new approach to understanding the phenomena
1981). See also the yearbook, New Vico Studies (1983–), ed-
of religious life. Although his attempt to introduce phenom-
ited by Tagliacozzo and me.
enology as a methodology for sociology has been rejected as
D
not acceptable if sociology is to be a science, his view of reli-
ONALD PHILLIP VERENE (1987)
gion as a distinctive phenomenon to be studied has been
taken up and developed by historians of religions. Vierkandt
understood culture as a historical phenomenon, something
VICTORINES SEE HUGH OF SAINT-VICTOR
that gradually develops with its own inherent dynamism, and
thus he advocated a nonreductive approach that does not
seek to explain the phenomenon by some outside “key” but
rather looks at the inner essence of the thing itself. This has
VIERKANDT, ALFRED (1867–1953), was a Ger-
been the basis for most approaches to the study of religions.
man sociologist. His early work focused on anthropology
and social psychology. Born in Hamburg, Vierkandt studied
BIBLIOGRAPHY
at the University of Leipzig, where he was awarded the Ph.D.
The most recent appraisal of Vierkandt’s work in English is Paul
degree in 1892. He began teaching at the University of Ber-
Hochstim’s Alfred Vierkandt: A Sociological Critique (New
lin in 1900. In 1921 he was given the newly founded chair
York, 1966). Hochstim’s work focuses primarily on a critical
in sociology at Berlin, and he was awarded an honorary doc-
evaluation of Vierkandt’s significance in the history and de-
torate in 1932 by the University of Würzburg. Forbidden by
velopment of sociological thought, but it is more compre-
the Nazis to lecture and give examinations, he was forced
hensive and moves beyond the negative criticism of Vier-
into retirement in 1934. After 1945 he took over the leader-
kandt’s phenomenological methodology found in Theodore
Abel’s Systematic Sociology in Germany (1929; reprint, New
ship of the Kant Society, and in 1946 he resumed teaching
York, 1965). A brief treatment of Vierkandt’s contributions
at the University of Berlin. He died in Berlin in 1953.
to cultural sociology is found in Social Thought from Lore to
The influence of his teacher at Leipzig, Wilhelm
Science, 3d ed., vol. 3, by Howard S. Becker and Harry Elmer
Wundt, can be seen in Vierkandt’s first major anthropologi-
Barnes (New York, 1961). A more philosophical appraisal of
Vierkandt’s contributions is Dora Peyser’s “The Sociological
cal work, Naturvölker und Kulturvölker (1896), in which his
Outlook of Vierkandt,” Australasian Journal of Psychology and
differentiation between “primitive” and “civilized” peoples
Philosophy 15 (1937): 118–136. Finally, more biographical
reflects Wundt’s distinction between association and apper-
details on Vierkandt’s life and work can be found in the
ception. In his lectures Vierkandt dealt with the psychology,
Handwörterbuch der Sozialwissenschaften, edited by Erwin
religion, art, and social conditions of “primitive people” with
von Beckerath et al., vol. 11 (Stuttgart, 1961).
special attention to ethics and the philosophy of religion.
WALLACE B. CLIFT (1987)
Vierkandt focused upon the impact of a culture upon the in-
dividual through language, myth, and custom in his idea of
the determining influence of the group on the individual’s
character development. In Die Stetigkeit im Kulturwandel
VIETNAMESE RELIGION. Like the whole com-
(1908) Vierkandt not only presented a theory of cultural
plex of Vietnamese culture, Vietnamese religion has long
continuity and cultural change but also attacked the mechan-
been presented as a pure copy of the Chinese model. Trained
ical theories of diffusionism then prevalent.
for the most part in the discipline of Chinese studies and as-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VIETNAMESE RELIGION
9591
sociating mostly with the literati class and the townspeople,
The expansion southward along the entire length of the
scholars have been constantly confronted by their interlocu-
Vietnamese territory added further to this diversification of
tors with the Chinese ideal, notably in the domains of moral
the religion by the absorption, on the small coastal plains,
and aesthetic norms, and they have gauged the value of a rite
of the Chams, whose religious affiliation was divided be-
or particular behavior according to its degree of conformity
tween Brahmanism and Islam, and on the Mekong Delta,
with the rules laid down by the Han Chinese texts.
of the Khmer adherents to Therava¯da Buddhism. These
three religions, with that of the Proto-Indo-Chinese on
Historically, the Red River Delta, cradle of Vietnamese
which they were grafted, effected a syncretism probably more
civilization, was occupied by the Han for more than a thou-
intimately overlapping than was the Triple Religion (Bud-
sand years. Moreover, the Middle Kingdom, as highly cen-
dhism, Confucianism, and Daoism) of the Vietnamese with
tralizing as the Roman Empire, had an especially effective or-
these same Proto-Indo-Chinese foundations. Even at its
ganization wherein each parcel of conquered territory was
source, at the edge of the Red River Delta, mention must be
put under absolute control and strict surveillance militarily,
made, albeit in passing, of the Tai influence on the beliefs
administratively, and ideologically. Chinese writing served as
and practices not only of the Muong, who speak archaic
a unifying and assimilating instrument of the first order.
Vietnamese, but also on those of the Vietnamese, properly
Nonetheless, Dongsonian civilization, which flourished in
speaking, who inhabit the villages of the foothills.
this region before its destruction by the Han invasions, must
The twenty-year separation between the northern and
have possessed a certain vigor, for despite the very long coer-
southern halves of the country introduced further variations
cive occupation that followed it, the Vietnamese preserved
in the religions. A great number of Catholics from the North
their language and a part of their culture, finally succeeding
took refuge in the South in 1954, where their political weight
in the tenth century of the common era after numerous re-
allowed them to extend their influence. It should not be for-
volts in liberating themselves from their deeply implanted
gotten that outside of the Philippines, where the majority of
Chinese occupants. Paradoxically, the consolidation for in-
the population is Catholic, Vietnam has the strongest Chris-
dependence reinforced the prestige of the Chinese model
tian minority in Asia.
among the literati. Their influence in this regard even result-
ed in the promulgation in 1812 by Emperor Gialong, who
Whatever the case may be, this article examines Viet-
had recently reunified the country, of a new code that was
namese religion before the entry of the country into its Marx-
nothing more than a translation of a Manchu dynasty treaty,
ist period, focusing not on the Chinese model, already treat-
despite the fact that for more than three centuries, the Viet-
ed elsewhere, but rather on those aspects that touch directly
namese had a set of original laws known as the Lê Code.
on Vietnamese religion.
On the level of the individual, a fundamental concept
Yet, in a population that was more than 90 percent
is that of souls or vital principles. This concept governs as
rural, ideology directly concerned only a relatively small
many aspects of daily conduct as it does basic rituals such as
number of people, those who wielded power and prestige.
funeral rites or ancestor worship. In this domain, Chinese in-
The ideals and beliefs they held touched but superficially the
fluence predominates. One encounters the scholarly Han tra-
great masses, who remained bound to a set of rules transmit-
dition of the three souls and the seven corporeal souls. They
ted orally and put to the test through daily observance. That
too carry Sino-Vietnamese names: hôn (Chin., hun) and
the Vietnamese spoke a language belonging to a different
phach (Chin., po). However, if one follows Leopold Cadière,
family (Austroasiatic rather than Sino-Tibetan) was a consid-
to whom we owe the most profound study on the subject,
erable asset for the preservation of these rules. In addition,
notable variations appear between the system of the literati
the development in the tenth century of the chu nôm, a de-
and the vocabulary and conceptions of the common people.
motic system of writing based on Chinese graphs, allowed
For example, with regard to phach, the inferior vital princi-
for a closer contact between this popular culture and the lite-
ples, its Vietnamese equivalent, voc, remained confined to
rati class. This open attitude toward national beliefs and
the physical aspect of the body (especially the external ap-
practices was reinforced with the extension of the quôc ngu,
pearance of the body). Moreover, the most current term used
the romanized system of writing introduced in the seven-
is in fact Vietnamese: via, which is in the same semantic
teenth century by Alexandre de Rhodes. This system ac-
range as phach (from form of the body to animal soul). Qual-
quired its full acceptance, however, only in the nineteenth
ities of these via vary according to individuals as well as with-
century and did not become universal until the twentieth
in the same individual. A person endowed with heavy via ex-
century.
ercises a harmful influence on others, while light via brings
In the religious sphere, this situation created a coexis-
beneficial influence.
tence, on the one hand, of a Chinese model followed strictly
Appropriate funeral rites are absolutely essential for the
by the most erudite or those instructed in the faith, and on
benefit of the departed. There is fear of two categories of ma-
the other, of popular cults observed by the great mass of peo-
levolent spirits, the ma (Chin., ma) and the gui (Chin., gui),
ple. Between the two there evolved a phenomenon of osmo-
souls of the dead without sepulchers. In contrast, one can
sis leading to a syncretism with multiple nuances.
benefit from the aid of the thân (Chin., shen), souls of ances-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9592
VIETNAMESE RELIGION
tors, understood in a noble sense. These three entities, ex-
cy of Confucianism, but the different Buddhas and bodhisatt-
pressed in Sino-Vietnamese words, testify to the survival of
vas tended to join the ranks of the multiple divinities and
the hon.
deities of the Daoist pantheon. Daoism itself was immeasur-
From words of the same family comes the Vietnamese
ably enriched with popular autochthonous beliefs and prac-
hoi, with its Sino-Vietnamese doublet khi (Chin., qi), whose
tices, to which it lent a certain respectability by a tint of sinic-
meaning ranges from breath, inhalation, emanations from
ization; furthermore, magic played a proportionally more
living or dead bodies, to supernatural influence over a per-
important role in activities of a religious type.
son’s life and destiny. This influence can emanate not only
The geographical situation of Chinese-occupied Viet-
from a human but also from an animal, the ground, stones,
nam placed it in a privileged position on the route of Indian
plants, and so forth. The concept provides the essential basis
merchants and missionaries traveling from India to China
of popular cults as well.
and of Han and Vietnamese pilgrims taking the reverse
The Chinese model reposes on the complex called tam
route. From the first centuries CE, Indian monks were per-
giao (Chin., sanjiao, triple teaching or triple religion), that
sonally active in spreading Buddhist doctrine throughout the
is, Buddhism (Phât giao; Chin., Fojiao), Confucianism
Middle Kingdom, including South China. It is thus that
(Không giao; Chin., Kongjiao), and Daoism (Lao giao;
some Vietnamese participated in the first translations of ca-
Chin., Daojiao), or the teachings of the Buddha, Confucius,
nonical texts. From the sixth century, and especially the sev-
and Laozi, respectively. Prior to 1975, when asked his reli-
enth century, Therava¯da Buddhism in Vietnam gave way to
gion, an educated Vietnamese generally would have an-
Maha¯ya¯na, which was also prevalent in China. And in the
swered that he was a Buddhist. On the civic or family level,
pagodas, the three Buddhas (tam thê phât; Chin., sanshi fo)
however, he followed Confucian precepts; on the affective
of the present, the past, and the future occupied the principal
level or in the face of destiny, he turned to Daoist concep-
altar, other altars being invaded by statues of numerous bo-
tions. Even if Maha¯ya¯na Buddhism had an effect on his rela-
dhisattvas. Distinctly autochthonous dhya¯na (thiên; Chin.,
tionship with the otherworld, his personal behavior would
chan) sects sprang up in the course of the centuries, and Viet-
have remained impregnated with Daoism. This fact was evi-
namese, in ever-increasing numbers, went on pilgrimage to
dent in his concern to conform with cosmic harmony, to pay
India. The assistance given by eminent Buddhist monks to
careful attention to sources and currents of energy traversing
those who liberated the country from the Chinese accorded
the universe, and to parallel equivalents between these and
to Buddhism a considerable hold over the first dynasties.
the human body. These concerns were manifested in his de-
One was even to see kings abdicating to end their days in
sire to withdraw into nature as well as in his recourse to geo-
monasteries.
mancy and diverse divinatory procedures, even to magic. It
was primarily Confucianism and Buddhism, however, that
Confucianism, which regulated the examinations for
affected his moral conduct.
the recruitment of the literati (in other words, the mandarin
cadres), was from the time of the Ly (1009–1225) the domi-
It goes without saying that, as in China, each of the ele-
nant official ideology. Moreover, beginning with the reigns
ments composing the Triple Religion in no way presented
itself as impervious to the other two. Mutual borrowings
of the Lê, Confucianism provided the state and family moral
throughout the course of centuries increased to the point
code and rituals of a once-again independent Vietnam that
that it was sometimes difficult to know with certainty which
subsequently was to behave as a southern replica of the Celes-
rite or belief to attribute to which element. During the
tial Empire. Before the image of the Son of Heaven, its suzer-
twelfth and thirteenth centuries, disputes, sometimes very in-
ain, the emperor of Dai-Viet, was responsible for his acts be-
tense, pitted Buddhists against Daoists and caused them to
fore the all-powerful God. If he did not observe the rules
accuse each other of plagiarism on a number of points. Re-
correctly, the mandate to govern that he received from Heav-
course to divination in its multiple forms was not a monopo-
en would be withdrawn from him by different means: war,
ly of Daoists; Confucians also employed this means of decod-
revolution, lack of a male heir, and so forth.
ing destiny.
In matters of cult ministry, the eminent positions occu-
This mixture was more deeply rooted among the com-
pied by Heaven and earth found expression through the sac-
mon people, where features of each of the Three Ways were
rifices offered to them by the sovereign, who officiated in
known only very superficially. Nevertheless, their respective
person. These ceremonies, said to belong to the nam giao
dosages seem to have been in inverse proportion to that pre-
(Chin., nanjiao, sacrificial mound), appanage of imperial
dominating among the literati. There was among the com-
power, had always been vested with exceptional majesty and
mon people much less preoccupation with correct rules of
pomp. The lê tich d-iên (Chin., jitian, opening ceremony of
government and with mandates from Heaven than with re-
the rice fields) also belonged to this cult complex. Here, too,
course to aid of supernatural beings to resolve the grievous
the sovereign himself officiated—although he soon came to
problems of the here and now or to assure for oneself a de-
delegate the performance of this ceremony to a high-ranking
cent future, both here and in the otherworld. It is true that
mandarin. By tracing nine furrows on the royal field, the sov-
the observance of ancestor worship attested to the ascendan-
ereign or his representative would open the plowing season.
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VIETNAMESE RELIGION
9593
Ancestor worship occupied a central place in the family
marriages were the subject of legends. The other important
cult. It represented the ritual expression of a cardinal virtue,
category in Vietnamese practice is represented by the immor-
filial piety (hiêu; Chin., xiao), the pivot of interpersonal rela-
tals, whose Chinese nucleus of eight personalities has been
tionships. The Vietnamese followed with devotion the pre-
enlarged by the addition of native deities.
cept of Mengzi, “duty toward parents is the foundation of
The recourse to mediums and ritual decorative features
all others,” that permeated all rules of conduct. The necessity
representing the pantheon dominated by the Jade Emperor
of perfecting oneself morally and intellectually, loyalty to
made possible the assimilation of Daoist elements into a cer-
one’s friends, respect for one’s superiors, fidelity to the sover-
tain number of Vietnamese popular cults. The one that came
eign—all these were believed to arise from the domain of fil-
closest in form to a Daoist cult was that attributed to Trân
ial piety.
Hung Ða:o, a spirit served by a male medium (ông d-ông).
The extent of the economic impact of ancestor worship
Trân Hung Ða:o is a Vietnamese national hero from the thir-
on a family depended on the wealth of that family. Reserved
teenth century, conqueror of the Han armies of the Mongol
exclusively for the maintenance of such worship and for the
dynasty. The medium would perform a violent ritual in the
performance of its ceremonies were revenues from property
course of which he inflicted on himself bloody ordeals and
(rice fields, houses, etc.) that constituted the huong-hoa
healed the sick by exorcising them of the traitor or van-
(Chin., xianghuo), the portion of the incense and the fire
quished general who possessed them.
transmitted by inheritance from the father to his eldest son.
The cult of the chu vi, dignitaries served by female medi-
It should be noted that Confucianism did not succeed in
ums (ba d-ông), borrowed from Daoism some elements of the
lowering the Vietnamese woman to the inferior rank occu-
decor, and at least in the north, the possession of the medi-
pied by her Chinese counterpart. Even in wealthy families
ums by some immortals (whereas in the south it was spirits
the wife had the same status as her husband in family cere-
rather than immortals who descended). Here the medium (a
monies, including those pertaining to ancestor worship in its
ba d-ông in this case) is mounted not by one god but succes-
strict sense. As the ideology of the mandarin type of govern-
sively, in the course of the same séance, by different spirits
ment, Confucianism, by its very nature, became a target of
of both sexes and of different ages.
Marxist-Leninist regimes. In Vietnam the offensive has been
less virulent and of shorter duration than in the People’s Re-
At the collective level, the cult of the tutelary deity
public of China; it is true that Vietnam has not experienced
(thanh-hoang; Chin., shenghuang), the protector of the com-
any extremist phenomenon comparable to that of the Cul-
mune, held an eminent place in Vietnamese popular religion.
tural Revolution in China.
Indeed, the most important public building in a village was
the d-inh, both a communal house and a place of worship;
Responsive as the literati were to the abstract universal
it sheltered the altar of the tutelary deity and served as a
order proposed by Confucianism, the idealized transposition
meeting place of the notables for the settlement of questions
of the bureaucratic hierarchy, they were equally responsive
of administration and internal justice. The d-inh was the cen-
to the concrete universal order conceived by Daoist doctrine,
ter of collective life on the social as well as the religious level.
with its correspondences (the human body, the microcosmic
It constituted the core of the system of peasant relations with
replica of the macrocosm) and its complementary contradic-
the world beyond (through the intervention of the thanh-
tions (âm and duong, the Vietnamese equivalents of yin and
hoang) as well as with the state (the tutelary deity was con-
yang). The peasant, on the other hand, retained of Daoism
firmed by an imperial warrant obtained at the request of the
principally the imagery presented in the temples (d-ên) in var-
notables).
ious forms. Dominating the whole ensemble was the August
Jade Emperor, Ngo:c-Hoang (Chin., Yuhuang), assisted by
The thanh-hoang could be a celestial deity, a deified leg-
endary or historical personage, or even a disreputable person,
his two chief ministers, Nam-Tao (Chin., Nancao, the
such as a thief or a scavenger, whose violent death at a sacred
Southern Constellation) and Bac-Ðâu (Chin., Beidou, the
hour endowed him with occult powers. It even would hap-
Northern Constellation), who were charged respectively with
pen, although quite rarely, that an influential mandarin who
keeping account of the birth and death of human beings and
had rendered an important service to the village became a
of governing a multitude of deities ranked according to an
guardian spirit during his lifetime. A deity who failed to pro-
organization duplicating the imperial bureaucracy. Among
tect the village at a critical moment or whose perfidy was de-
these deities a special place must be assigned to Tao-quân
nounced by a mystical revelation would be chased away and
(Chin., Zaojun), the hearth deity, who at the end of each
replaced by another deity.
year reports on the acts and deeds of humans; the days sur-
rounding this event are a period of transition that provides
A maintenance service for the fire and the incense was
an occasion for the Vietnamese to celebrate their most spec-
celebrated throughout the year, and ceremonies were held at
tacular collective feast, the Têt Nguyên Ðan (Chin., Yuan-
the d-inh on the first and fifteenth day of each month and
dan), the celebration of the New Year. In popular Vietnam-
on certain calendar feasts. The most important feast of the
ese consciousness Tao-quân is actually a composite of three
year was the Vao Ðam, or Vao Hô:i (to be in festivities),
personages, a woman and her two husbands, whose unhappy
which took place in spring or autumn, or on the anniversary
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9594
VIETNAMESE RELIGION
of the birth or death of the tutelary deity. This feast lasted
ligion, overview article and article on Popular Religion;
for two weeks, during which time it was forbidden to hold
Chinese Religious Year; Confucianism, overview article;
any funeral ceremonies. It was celebrated in great pomp with
Daoism, overview article; Southeast Asian Religions, article
a series of processions, offerings, and prayers. Many villages
on Mainland Cultures; Yinyang Wuxing; Yuhuang.
undertook the organization of various entertainments: the-
ater, cockfights, bullfights, and chess games with the people
BIBLIOGRAPHY
themselves acting as the chess pieces. Particular to this feast
Cadière, Leopold Michel. Croyances et pratiques religieuses des Viêt-
was a rite called Hem, often held secretly, recalling the salient
namiens. 3 vols. Saigon, 1955–1958.
features of the deity’s life. It was celebrated at night when
Dumotier, Gustave. “Essai sur les Tonkinois: Superstitions.”
commemorating a dishonorable act: a scene of robbery for
Revue indochinoise 9 (1908): 22–76, 118–142, 193–214.
a thief deity, an enactment of excrement collection (with the
Durand, Maurice. Technique et panthéon des médiums viêtnamiens.
excrement replaced by peeled bananas) for a scavenger deity,
Paris, 1959.
and so forth.
Nguyên Dông Chi. Luoc khao ve thân thoa:i Viêt Nam. Hanoi,
1956.
Certain trees, rocks, and natural boundaries were ob-
Nguyên Du. Vaste recueil de légendes merveilleuses. Translated by
jects of cults that could lead to the construction of small al-
Nguyên Tran Huan. Paris, 1962.
tars. This veneration, very often fearful, could have varied or-
Nguyên Tung. “Les Viêtnamiens et le monde surnatural.” In My-
igins. The tree, for example, could influence by the simple
thes et croyances du monde entier. Paris, 1986.
force of its being. It could also shelter a malevolent spirit,
Nguyên Van Huyên. La civilisation annamite. Hanoi, 1944.
such as a ma, the soul of an unburied dead person, or of a
Nguyên Van Huyên. Le culte des immortels en Annam. Hanoi,
con tinh, the soul of a young girl or woman who died before
1944.
having experienced the joys of marriage. The man she suc-
ceeded in seducing would lose his reason and die unless exor-
Nguyên Van Khoan. “Essai sur le Ðình et le culte du génie tu-
télaire des villages au Tonkin.” Bulletin de l’École Française
cised in time. Sometimes, however, the tree or stone was not
d’Extrême-Orient 30 (1930): 107–139.
simply the habitat of a spirit but was in itself a deity: a deity-
Nguyên Van Khoan. “Le repêchage de l’âme, avec une note sur
tree or deity-stone, such as one finds among the Proto-Indo-
les hôn et les phách d’après les croyances tonkinoises actuel-
Chinese of the hinterlands.
les.” Bulletin de l’École Française d’Extrême-Orient 33 (1933):
The dominant features of Vietnamese religion were its
11–34.
openness to all forms of spirituality and its profusive charac-
Phan Ke Binh. Viê:t-Nam phong-tu:c. Saigon, 1970.
ter that resulted from this openness. These features were
Simon, Pierre J., and Ida Simon-Barouh. “Les Génies des Quatre
manifested on the level of the literati, whose most erudite
Palais: Contribution à l’étude du culte viêtnamien des bà-
members sought to abide by the texts of the Triple Religion
dông.” L’homme 10 (October–December 1970): 81–101.
or at least of one of the religions, as well as on the popular
Tran Van Giap. “Le bouddhisme en Annam, des origines au trei-
level, where the cult of the tutelary deity was observed and
zième siècle.” Bulletin de l’École Française d’Extrême-Orient
that was above all responsive to the different spirits peopling
32 (1932): 191–268.
the environment as well as to the counsels of specialists. A
New Sources
village might possess a temple of one or another of the Three
Condominas, Georges. We Have Eaten the Forest: The Story of a
Ways, peopled with saints of the other two. There might at
Montagnard Village in the Central Highlands of Vietnam.
the same time be a temple by the seaside dedicated to the
Translated by Adrienne Foulke. New York, 1994.
whale deity washed up and stranded on the shore. It should
Do, Thien. Vietnamese Supernaturalism: Views from the Southern
be noted that the intransigence of Christianity would elimi-
Region. London, 2003.
nate from the territory of a converted village all monuments
Ho, Tai H.T. “Religion in Vietnam: A World of Gods and Spir-
consecrated to another cult. This did not, however, prevent
its.” Vietnam Forum 10 (1987):113–145.
the majority of Christian peasants from having at least a
Matthews, Bruce. “The Power of Religion in Vietnam.” In Con-
minimum of respect for the spirits haunting the premises.
tacts between Cultures. Eastern Asia: Literature and Humani-
ties, vol. 3, edited by Bernard Hung-Kay Luk, pp. 102–107.
This general tendency toward syncretism made possible
Lewiston, N.Y., 1992.
a strong implantation of Catholicism (but not of Islam) and
Maurice, Albert-Marie. Croyances et pratiques religieuses des Mon-
encouraged Vietnamese, when emigrating in large numbers
tagnards du centre-Vietnam. Paris, 2002.
to foreign countries, to worship local deities until these were
Ngyuen, Tai Thu. History of Buddhism in Vietnam. Washington,
assimilated. This tendency has resulted, likewise, in the rise
D.C., 1997.
of new forms of syncretisms such as the Hoa-hao or Cao Dai,
Nguyen, The Anh. “Thien-Y-A-Na, ou la récupération de la dé-
the first grafted on a Buddhist core, the other on a Daoist
esse cam Po Nagar par la monarchie confuceenne vietna-
one.
mienne.” In Cultes populaires et sociétés asiatiques: appareils
culturels et appareils de pouvoir, edited by Alain Forest,
SEE ALSO Ancestors, article on Ancestor Worship; Bud-
Yoshiaki Ishizawa and Leon Vandermeersch, pp. 73–86.
dhism, article on Buddhism in Southeast Asia; Chinese Re-
Paris, 1991.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VIOLENCE
9595
Pelzer, Kristin. “On Defining ‘Vietnamese Religion’: Reflections
fluence. The Yoga school regards sus:upti (“dreamless sleep”)
on Bruce Matthews’ Article ‘The Place of Religion in Viet-
as a vr:tti (“transformation”) of consciousness, while the
nam Today.’” Buddhist-Christian Studies 12 (1992):75–79.
Veda¯nta school argues that it is not a vr:tti at all. Bhiks:u rec-
GEORGES CONDOMINAS (1987)
onciles these viewpoints by saying that there are two states
Translated from French by Maria Pilar Luna-Magannon
of dreamless sleep: ardha (“half”) and samagra (“full”). The
Revised Bibliography
Yoga school talks about the first, while the Upanis:ads talk
about the second.
God, the creator, is not simply an agent (as the
VIJÑA¯NABHIKS:U (c. sixteenth century
Nya¯ya-Vai´ses:ikas hold) who creates the universe as a potter
CE) was an In-
dian philosopher and exponent of a syncretic Sa¯m:khya-Yoga
produces a pot. The causality of God is said to be very differ-
and Veda¯nta system. Nothing is known of the birthplace of
ent from the three types of causality mentioned by
Vijña¯nabhiks:u, but some scholars have suggested that he was
Nya¯ya-Vai´ses:ika: samava¯yin (“inherent”), asamava¯yin (“non-
a native of Bengal. His direct disciple was Bha¯va¯gan:e´sa, who
inherent”), and nimitta (“efficient cause”). Rather,
may be the same as Gan:e´sa D¯ıks:ita, the author of a commen-
Vijña¯nabhiks:u refers to adhis:t:ha¯na ka¯ran:a (“ground cause,
tary on the Tarkabha¯s:a¯.
container”). For S´am:kara too, brahman is the ground for all
changes and causation. But while S´am:kara believes that all
Vijña¯nabhiks:u holds a significant position in the history
changing phenomena are unreal and the ground cause is real,
of Indian philosophy. A Sa¯m:khya-Yoga thinker, he is none-
Bhiks:u asserts that all changes are real and that the un-
theless recognized as having developed a distinct philosophi-
changeable ground cause, brahman, sustains this principle of
cal position all his own. He was the author of as many as six-
change within its individual unity. By rejecting nondualism,
teen or eighteen works, four or five of which are available as
Bhiks:u also fostered the bhakti movement. He interpreted
printed texts. The most notable are Yogava¯rttika,
bhakti as true devotion in the service of God, and referred
Sa¯m:khya-pravacana-su¯trabha¯s:ya, and Sa¯m:khyasa¯rah. He also
to the Bha¯gavata description of bhakti as “the emotion that
wrote commentaries on the Brahma Su¯tra and on many
melts the heart and brings tears to the eyes.”
Upanis:ads, including the Kat:ha, Kaivalya, and Taittir¯ıya.
SEE ALSO Patañjali the Grammarian.
Although Vijña¯nabhiks:u was undoubtedly an original
thinker, his originality was strongly tempered by his syncretic
BIBLIOGRAPHY
tendencies, as seen in his combining of Sa¯m:khya-Yoga with
Dasgupta, Surendranath. A History of Indian Philosophy, vol. 3.
Veda¯nta thought. One of his unique views was that the indi-
London, 1940. See chapter 22.
vidual’s ultimate goal is not the cessation of sorrow (duh:kha),
Rukmani, T. S., trans. Yogava˜rttika of Vijña¯nabhiks:u. Delhi,
but the cessation of the experience of sorrow. He maintained
1981. Text and translation.
that the state of moks:a (“liberation”) is not blissful and that
BIMAL KRISHNA MATILAL (1987)
when the scriptures talk about the blissful state of the self
(a¯nandamaya), what they really mean is the absence of
sorrow.
VILNA GAON SEE ELIYYAHU BEN SHELOMOH
Vijña¯nabhiks:u was primarily a yogin, both in theory
ZALMAN
and practice. In his Yogava¯rttika, he claimed that Yoga (as
taught by Patañjali) is the best path to liberation. He believed
that it was necessary to reconcile Veda¯nta philosophy with
VINAYA SEE BUDDHIST BOOKS AND TEXTS,
Yoga philosophy in order to combine knowledge and praxis.
ARTICLE ON CANON AND CANONIZATION—
He was critical of Advaita Veda¯nta and charged that the Ad-
VINAYA
vaitins were crypto-Buddhists.
For Vijña¯nabhiks:u, sentient beings (j¯ıvas) are not iden-
VINOBA BHAVE SEE BHAVE, VINOBA
tical with brahman (¯I´svara or Parame´svara) but are just parts
of brahman. The relationship is one of the-part-and-the-
whole, not total identity; the j¯ıvas are the sparks of the fire
VIOLENCE. Humans, as individuals and as groups, have
that is brahman. Brahman creates the world, often referred
the potential to be violent. Physical violence is disruptive and
to as ma¯ya¯ (“illusion”). However, according to
damaging to other individuals and groups because it conflicts
Vijña¯nabhiks:u, the world is not illusory, because prakr:ti
with some of their basic rights. Individuals try to protect
(“matter, nature”), being part of brahman, is eternal and real.
themselves from injury, and societies try to channel and curb
The creation is a real, not an illusory, transformation
violence both through symbolic action and through concrete
(parin:a¯ma), as in the Sa¯m:khya view.
counterviolence. Individuals and groups, on the other hand,
Bhiks:u’s interpretation of the Yoga Su¯tra differed from
may feel the necessity to resort to physical violence, while rit-
that of either Va¯caspati Mi´sra or Bhoja. His interpretation
ualization and symbolism may make violent acts easier to
of vikalpa (“mental discrimination”) indicates a Buddhist in-
perform.
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9596
VIOLENCE
Religion is the most powerful symbolic system humans
uals, narrations and images, can be seen as inherent to reli-
have developed. Throughout history, religion and violence
gion; (3) religion can be a healing force after violence has
have been in close contact. The detailed history of this con-
been committed, as part of its function to create or restore
tact still has to be written, although there is no lack of re-
social cohesion.
search on individual epochs and episodes, often stimulated
D
by contemporary events. Recent examples include the surge
EFINITIONS. In current research, violence is understood in
several different ways. In common speech, violence usually
in religiously motivated violence during the 1990s, reflected
refers to physical force directed against another human being
in the destruction of Yugoslavia or the conflict between Israe-
in order to inflict bodily harm or, in extreme cases, death.
lis and Palestinians. Both the actors on the ground and com-
This narrow use of the term is easily extended to include
mentators from the outside understood these conflicts as reli-
physical violence against other living beings and material ob-
gious confrontations, at least in part. During the same
jects. Violence may be a spontaneous emotional reaction to
period, the rapid spread of religious fundamentalism, Chris-
a provocation; premeditated; or institutionalized and ritual-
tian as well as Islamic, led to further reflection on the rela-
ized, as in the violence associated with warfare, torture, or
tionship between religion and violence. The trauma of the
punishment. In conflict research, the term tends to be used
attacks on the World Trade Center in New York and the
in an even wider sense. Johan Galtung, the founder of peace
Pentagon in Washington, D.C., which were quickly inter-
studies, introduced the concept of structural violence as a sup-
preted as religious as well as political phenomena, provoked
plement to direct (physical) violence. Structural violence re-
yet another body of studies. On the other hand, general
fers to the coercion inherent in societal structures that is used
studies of the relationship between religion and violence are
without the agreement of the victims and against their inter-
rare, and they often appear to be somewhat one-sided. Reli-
ests, such as the exploitation of workers in capitalistic econo-
gion is usually perceived either from the perspective of those
mies or the exclusion of foreigners from a state. Its effective-
institutionalized monotheist religions that dominate the con-
ness relies on the threat and plausibility of direct violence
temporary world, or from a secular position. Since even gen-
(Galtung, 1969).
eral research has grown out of actual necessities in most cases,
relatively little attention has been given to the place of vio-
A third type of violence is cultural violence, which is
lence within polytheistic religious systems.
structural violence of such long duration that it is embedded
INTRODUCTION. Earlier philosophical reflection treated vio-
in and protected by cultural institutions. Religious violence,
lence within the wider context of ethics or anthropology. Et-
or the violence inherent in the three institutionalized mono-
hological research, in which Konrad Lorenz’s investigation
theistic religions of the West, is the most obvious example
of aggression as a basic biological drive was the perhaps most
of cultural violence (Galtung, 1990). The contrast between
influential theory in the mid-twentieth century (Lorenz,
direct and structural violence is useful because it demon-
1959), was a later field for the study of violence. In the early
strates that direct violence is not necessarily an aberration but
twenty-first century, however, research on societal and politi-
a direct consequence of structural violence, and thus of social
cal violence has been carried out primarily in the area of con-
developments and institutions. This connection has conse-
flict and peace studies. These disciplines evolved as a re-
quences for those who wish to combat violence. Cultural vio-
sponse to World War II—the Stockholm International
lence, on the other hand, might appear as a simple extension
Peace Research Institute (SIPRI) being founded in 1959 and
of structural violence to a specific content; it might be seen
the Journal for Peace Research in 1961—and gained momen-
as inherent in such cultural institutions as those associated
tum during the Vietnam War. The origin of these fields of
with religions. The consequences for the question of religion
study in actual political events accounts for their perspective.
and violence, however, have to be explored in considerably
Researchers in these areas are interested in the political and
greater depth than has been done hitherto (Galtung, 1997–
social conditions under which collective violence originates
1998). As to the social conditions under which direct collec-
as well as finding ways to counteract collective violence. They
tive violence is likely to develop, studies converge to show
challenge Lorenz’s assumption that violence is a biological
that such violence is likely to occur when “political power
given of the human condition. Most of these researchers,
is centralized, non-democratic, and highly dependent on
however, regard religion as relevant only as a social or politi-
one’s group membership, be it race, ethnicity, religion, or
cal variable, and often overlook the consequences of the pos-
some cultural division” (Rummel, 1997, p. 170). This sum-
sibility that it might be an anthropological constant (Bur-
mary suggests that religion, not only in its monotheistic vari-
kert, 1996).
ants, is one among several possible triggers for violence, but
fails to explore the question as to whether there is a privileged
As a heuristic approach—that is, one intended to stimu-
connection between the two.
late exploration—the topic of religion and violence can be
subdivided into three different questions: (1) religion can be
RELIGION IN THE SERVICE OF VIOLENCE. Every society is
used to legitimate and condone or even to stimulate and in-
committed to the use of direct violence, if only to defend it-
cite to violence—this is the most common view, and exam-
self against outside and inside enemies. In developed socie-
ples range from the role of priests in warfare to religious riots
ties, however, the state usually claims a monopoly on the use
and wars; (2) violence, both direct and symbolic, through rit-
of violence. Violence inside the state is regulated by its laws
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VIOLENCE
9597
and structured by its justice system, violence against other
riots that accompanied religious practice before the rise of
states by concepts of warfare, among which the Roman no-
monotheist systems. When two neighboring villages in
tion of the bellum iustum, or just war, had the most impor-
Roman Egypt fought each other over the killing of a sacred
tant transhistorical consequences. In polytheistic systems,
animal (Plutarch, On Isis 72; Dio Cassius 42.34; Juvenal,
both law and warfare are protected by such specific deities
Satire 15), or when the killing of a sacred cat by a Roman
as the Greek Zeus, the guardian of justice inside society, and
soldier triggered riots (Diodorus Siculus 1.83.8), later schol-
Athena, the goddess of properly conducted defensive wars of
ars often pointed to rival political and economic ambitions,
the city-state of Athens. Monotheist systems place both areas
tensions created by the presence of foreign armies in Egypt,
under the tutelage and protection of their respective gods.
or popular impressions that local traditions were threatened.
This divine protection finds expression in the rituals sur-
But in all cases, the native discourse as well as the discourse
rounding both the performance of justice and warfare. War
of the Roman administrators and commentators was reli-
often was constructed as a time outside of society’s normal
gious. The same was true of the riots against the early Chris-
order and taking place outside civic space; rituals opened and
tians that triggered such major persecutions as the one in
ended this period, such as the Spartan sacrifices to Artemis
Lyons in 177 CE. The objections against the Christians were
Agrotera, “Wild Artemis,” before a battle, or the many rituals
usually couched in the language of sacrifice and perverted
of integration performed for returning warriors (Parker,
sexuality; economic problems entered only marginally, as
2000). Religion thus marks the borders of war’s confined ter-
when Paul threatened the prosperous business of the Ephe-
ritory. This role of religion was rarely contested in the name
sian silversmiths (Acts 19).
of a nonviolent and pacifist theology, as in the Buddhist con-
But it was not until Natalie Zemon Davis published a
cept of ahim:sa¯. As long as early Christianity remained at the
seminal paper in 1973 on religious riots in early modern
margins of the state, it was mostly a pacifist faith, following
France that historians were compelled to take religion seri-
the nonviolent teachings of the New Testament (Swift,
ously as a motive for violence. With the establishment of the
1979). This attitude changed, however, when the Roman
secularized state, matters became more complicated. Re-
Empire adopted Christianity as its official faith. Christian
search on religious violence in nineteenth-century France has
leaders were then confronted with the necessity of violence
shown that as a consequence of the French Revolution, “the
related to warfare. The prosecution of war was left to the laity
boundary between religious, social and political violence was
but was legitimated from Scripture, albeit under very clearly
extremely porous” (Ford, 1998, p. 105). Anticlerical riots in
stated conditions (e.g., Augustine of Hippo [354–430], Let-
the name of a secularized state against the Catholic Church
ter 189). Unlike Christianity, Judaism and Islam never had
confused the distinction between political and religious vio-
a tradition of nonviolence; war thus presented many fewer
lence more than the riots against Roman occupiers that were
theological problems. Nevertheless, in these religions too war
triggered by the killing of a sacred animal. In the latter case,
needed sanction and regulation. Islam in particular devel-
violence was used against foreigners who were seen to violate
oped the concept of jiha¯d (literally, “the exercise of faith”),
the norms of the indigenous religion. In the former case, vio-
the just defense of the faith (Colpe, 1994; Lewis, 2003).
lence resulted from the political desire to curb the influence
Despite these restrictions on open violence, Christian
of a religious institution.
and to a lesser extent Muslim history is full of religious wars,
VIOLENCE AS INTRINSIC TO RELIGION. The key question in
most conspicuously the crusades that also turned against Or-
this debate is whether religion as such contains violence or
thodox Christian Byzantium and the European wars of reli-
whether it is only associated with it. The answers given by
gion that followed the Reformation, such as the Thirty Years’
various scholars range from agreement to fierce denial, but
War of 1618–1648. The development of explicitly religious
the question may be too simplistic. Many religions contain
wars changes the relationship between religion and violence:
rituals, stories, and representations that are directly violent.
religion now is the very source of violence, at least in the
The pantheon of a polytheistic religion usually contains one
reading of the actors themselves. It has always been easy to
or several violent divinities; these are often connected with the
find political and economical motives for these religious
irrational violence of warfare, such as Ares in Greece or Erra
wars, in contrast to the indigenous understanding of them.
in Mesopotamia. But these gods represent a violence kept at
The key problem then has been to assess the extent and sin-
a distance and with which humans are uncomfortable. Civic
cerity of the combatants’ religious motivations. To some ex-
cults of Ares are extremely rare, and gods as well as humans
tent, the answer has always been determined by axiomatic
are said to hate him (Iliad 5.889). The myth of Erra describes
choices.
his rule as only short-lived and characterized by senseless de-
struction that necessitates the reconstruction of Babylon
In the past, historiography tended to emphasize “ratio-
(Maschinist and Sasson, 1985). These divinities define a
nal” political and economical motives. More recently, how-
world in which war is a bitter necessity that should be as in-
ever, indigenous insistence on religious motives has been
frequent as possible.
taken more seriously: religion has come to be seen as more
than just a thin veil hiding more important motivations
Other stories, however, place violence at the foundation
(Holt, 1993). This reevaluation of motives is true also for the
of the present-day cosmic order. Marduk, the god of Baby-
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9598
VIOLENCE
lon, creates the world from the body of his opponent Tiamat
lationships (Frankfurter, 2005). In other societies (Celts, Az-
and human beings from the blood of her closest ally, while
tecs), human sacrifice is attested with varying explanations
in Greek mythology Zeus fights the Titans and the monster
of the practice. In some cases, the foundational violence is
Typhon before he can establish his rule (Trumpf, 1959). In
taken more seriously and avoided by exchanging an animal
one possible reading of the New Testament, the Christian
for a human victim (Lincoln, 1991, pp. 176–207).
God must let his son die as a victim of human violence in
order to found the new messianic world order. Order can be
Not all modern theories of animal sacrifice pay atten-
created only through the destruction of its antecedents and
tion to its inherent violence. The two best-known theories
its enemies. This order is also precarious because these hostile
that address the problem, Burkert’s and Girard’s, were both
forces are still active and must be kept at bay. Thus protective
published in 1972; their connection with the wider cultural
violence is always necessary; for example, the Indian goddess
interest in violence seems obvious. Although their theories
Durga¯ is a powerful demon killer who protects the world
assume different origins for animal sacrifice (hunting rituals
“every time when demons create danger” (Dev¯ıma¯ha¯tmya
in Burkert’s case, scapegoat rituals in Girard’s), they both ar-
11.55).
rive at similar conclusions regarding the function of sacrifi-
cial violence—namely that the ritualized killing of a living
Animal and human sacrifice. The notion of protective
being channels the group’s innate violence and renders it
violence leads to the practice of animal sacrifice, a rite that
harmless. Violence is inherent in the religious act because vi-
is widespread in agricultural cultures. The victims are usually
olence as a threat is innate in humans, and religion offers a
domesticated animals. The performers often regard the kill-
symbolized way to domesticate and defuse it. In the mean-
ing of animals as unproblematic because it prepares them for
time, other scholars have challenged some of the premises of
a common meal with the gods. Moreover, meat is a staple
these constructions (Hamerton-Kelly, 1987), and the debate
food in these cultures. Ritualization and mythologization ex-
continues. The main thrust of this group of theories is that
plain and legitimate the public slaughter of animals, as does
religion does not contain or breed violence, but is rather a
the ritualization of hunting and warfare. The very fact of rit-
powerful instrument to counteract it.
ualization, however, might point to the existence of a latent
problem, in that the ritual and the discourse about it must
The problems surrounding questions of violence in the
give some kind of meaning to the killing. Sometimes, the in-
major monotheistic religions, Judaism, Christianity, and
digenous discourse about animal sacrifice and its practice
Islam, are more intricate and more controversial. Contempo-
point to the awareness of the problem. In some Polynesian
rary critics underscore the fact that the two main characteris-
cultures, the victim—a pig—is never killed and sometimes
tics of monotheistic faiths, revelation and universalism, make
never eaten by its owner because it is considered “a brother
them by their very nature potentially violent. Revelation can
of humans.” The complex ritual behavior allows the owner
lead to conflicts with those who contest this revealed truth,
of a pig, however, to also eat pork (Lanternari, 1976,
and universalism can lead to missionary expansion (Galtung,
pp. 298–303).
1997; Assmann, 2002). These consequences, however, are
not inevitable; the certainty of revealed truth generates con-
In Indo-European sacrificial ideology, the stories talk
flicts only when the claim of another truth becomes threaten-
about the killing of a human being (Lincoln, 1991,
ing to one or both parties. Early Christianity collided with
pp. 167–175). Thus the problem of killing interferes with
the Roman religious system when its refusal of sacrifice to
the necessity of eating to the point that animal sacrifice is al-
the emperor was seen as a threat to the divine protection of
together abolished. This abolition leads to vegetarianism, as
the empire (Fox, 1986, pp. 452–455). The Roman Catholic
with the Pythagoreans in Greece or the Buddhists and Jains
Church came into conflict with such other Christian groups
in India. In these instances, animals are regarded as too close-
as the Montanists, or with pagan diviners (Fögen, 1993)
ly related to humans to be killed. But with the exception of
whose rituals or beliefs challenged its monopoly of truth.
Buddhism, the rejection of animal sacrifice remained an op-
tion only for individuals, and could be given up again (e.g.,
In all cases, the situation is more complex than a simple
Findley, 1987).
conflict between religious systems. Modern analysts perceive
political and economical reasons for outbreaks of violence as
Human sacrifice as the ultimate form of sacrificial vio-
well as a conflict of personalities; the Montanist claim of
lence exists at least in the discourse about sacrifice, even in
charismatic prophecy, for example, challenged the estab-
societies in which actual human sacrifice is unattested. Greek
lished hierarchy of the church (Trevett, 1996). But again,
and Roman myths, for example, establish some violent ritu-
when indigenous actors give religious motivations for violent
als on a past history of human sacrifice that the present and
behavior, they should be taken at their word. The religious
less cruel rite replaced. Stories that legitimate direct violence
motivations of the Islamic terrorists who attacked the United
against others (Christians, Jews, Gnostics, religious reform-
States on September 11, 2001, were intended to be taken se-
ers, political rebels) typically accuse them of practicing child
riously, as were the claims of Mormon fundamentalists who
sacrifice and even cannibalism. Accusations of Satanism in
killed “recalcitrant” wives (Krakauer, 2003). Although Islam
the 1980s and 1990s adopted the same strategy to trigger
has a tradition of avoiding religious conflicts with non-
(and, presumably, legitimate) judicial violence in private re-
Muslims, Islamic fundamentalism as it developed in early
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VIOLENCE
9599
twentieth-century Egypt expressed its resistance to Western
Tantrism served as an ideological source for political violence
values in a religious key (Ali, 2002), as did Western funda-
during the struggle for Indian independence, its goddess Kal¯ı
mentalism with respect to the modernization of society.
coming to represent Mother India as a violent rebel (Urban,
2003, pp. 73–133).
Religious imagery and violence. A key role is often at-
R
tributed to the religious imaginary of narrations and images.
ELIGION AND THE END OF VIOLENCE. Religion plays a vital
but relatively unexplored role in the aftermath of violence.
All societies possess traditional (or even sacred) stories about
On one level, rituals mark the end of such periods of violence
the violent acts of their gods, demons, heroes, or ancestors.
as warfare. Cathartic rituals and rituals of thanksgiving rein-
Many of these tales value these acts positively and regard
tegrate the returning warriors into the fabric of peaceful soci-
them as a necessity, as in foundation myths or stories about
ety; the ringing of church bells and modern peace celebration
defense against spiritual or human enemies. Even when vio-
liturgies also preserve this religious symbolism.
lence is perpetrated by others against members of one’s own
group, the result can be turned into a positive statement, as
On another level, religion is used to heal the wounds
in the narratives of Christ’s crucifixion or the deaths of
caused by a violent conflict. In early nineteenth-century
Christian, Jewish, or Muslim martyrs. Another type of posi-
France, Catholic missionaries kept the memory of the hor-
tive narrative of violence is found in apocalyptic visions from
rors of the reign of terror alive by staging processions that
the Jewish-Christian Book of Enoch, which was composed in
retraced the way to the guillotine of prominent victims. The
the second century
declared aim of these ritual processions was to remember the
BCE, to the contemporary series of “Left
Behind” novels that are popular among American Christian
violent acts and, through confession, to expiate them. Ac-
fundamentalists in the early twenty-first century. In apoca-
cording to Catholic teaching, forgiveness and expiation are
lyptic visions, violence serves as a deterrent from sin or as a
possible only after penitence, and penitence presupposes
tool of mission and conversion. In martyrologies, the stories
memory of the sinful deed, even if this remembrance contra-
(whose recitation was part of the liturgy of the early Church)
dicted the official policy of oubli, forgetting, as practiced by
encouraged their audiences to withstand the violence of per-
the Restoration monarchy (Kroen, 1998). After the violent
secution in order to preserve the faith. Stories, however, can
civil wars in Zimbabwe in the 1980s, both the official Catho-
always be reenacted; violent stories can, under certain cir-
lic Church and the country’s indigenous religions were con-
cumstances, generate real violence (Lüdemann, 1997; Ellens,
cerned with healing; because, in an indigenous reading, the
violence had unleashed the demons of the murdered, Catho-
2004, vol. 1). The texts do not always function as directly
lic exorcists and traditional diviners and spirit mediums
as they did during the French wars of religion, however,
stepped in (Ranger, 1992, pp. 705–706). The extraordinary
when executions and mutilations reproduced the details re-
situations that prevailed in both nineteenth-century France
lated in apocalyptic narratives (Crouzet, 1990).
and twentieth-century Zimbabwe after a period of unusually
The early Christians sometimes provoked the Roman
high levels of violence generated new rituals within the ma-
authorities in order to suffer martyrdom in a sort of passive
trix of traditional ritualism. The same dynamics are visible
violence. In a theologically highly contested move, contem-
elsewhere; for example, Andean peasant communities rea-
porary Palestinian suicide bombers turned active violence
dapted “new discourses and practices . . . according to com-
against their enemies and themselves in order to become
munity memory about ancient practices” after the violence
martyrs. The investigators of persons suspected of witchcraft
of the Sendero Luminoso (Shining Path) insurrection (Ga-
in early modern Europe projected their own concepts of de-
marra, 2000, p. 286). It appears that most communities can
monic behavior on their victims in order to legitimate their
deal with “ordinary” levels and forms of violence with the
own punitive violence (Frankfurter, 2005). The reasons for
help of their traditional symbolic systems. On the other
this “dark side” of religion are complex, but a major factor
hand, extraordinary violence, especially the violence generat-
appears to be the tradition of reading sacred books in order
ed by prolonged periods of intensive or brutal civil war, de-
to find models for religiously (and thus ethically) correct ac-
mands adaptations of the symbolic language that gives mean-
tion. This pattern of reading is central to Christian, Muslim
ing to violence.
and Jewish religious education. To deny that some of the sto-
SEE ALSO Apocalypse, overview article; Martyrdom; New
ries taken as models encourage violence, or even to point out
Religious Movements, article on New Religious Movements
that the sacred books contain at least as many stories that in-
and Violence; Nonviolence; Sacrifice; War and Warriors,
culcate nonviolence, compassion, and love, serves only an
overview article.
apologetic function. The researcher seeks to analyze why cer-
tain epochs, circumstances and charismatic personalities pre-
BIBLIOGRAPHY
ferred one type of story or the other, and why certain epochs
Ali, Tariq. The Clash of Fundamentalisms: Crusades, Jihads, and
and circumstances actualized the dormant potential of the
Modernity. London and New York, 2002.
religious imaginary. It is instructive to see how one of the
Assmann, Jan. Die Mosaische Unterscheidung oder der Preis des
most violent symbolic systems, Tantrism, is serving in its Hi-
Monotheismus. Munich, 2003.
malayan version as the most powerful spiritual guide to total
Bowersock, Glen Warren. Martyrdom and Rome. Cambridge,
ascetic calm (Huntington and Bangdel, 2003), while Bengali
U.K., 1995.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9600
VIRACOCHA
Burkert, Walter. Homo Necans. Interpretationen altgriechischer Op-
Parker, Robert. “Sacrifice and Battle.” In War and Violence in An-
ferriten und Mythen. Berlin, 1972.
cient Greece, edited by Hans van Wees, pp. 299–314. Lon-
Crouzet, Denis. Les guerriers de Dieu: La violence au temps des trou-
don, 2000.
bles de religion. Seyssel, France, 1990.
Pérez Jiménez, Aurelio, and Gonzalo Cruz Andreotti, eds. La reli-
Davis, Natalie Zemon. “The Rites of Violence: Religious Riot in
gión como factor de integración y conflicto en el Mediterráneo.
Sixteenth-Century France.” Past & Present 59 (1973):
Madrid, 1996.
51–91.
Ranger, Terence. “War, Violence and Healing in Zimbabwe.”
Ellens, J. Harold, ed., The Destructive Power of Religion: Violence
Journal of Southern African Studies 18 (1992): 698–707.
in Judaism, Christianity, and Islam. 4 vols. Westport, Conn.,
Rummel, Rudolph J. “Is Collective Violence Correlated with So-
2004.
cial Pluralism?” Journal of Peace Studies 34 (May, 1997):
Findly, Ellison B. “Jaha¯ng r’s Vow of Non-Violence.” Journal of
163–175.
the American Oriental Society 107 (1987): 245–256.
Swift, Louis J. “War and the Christian Conscience. I: The Early
Fögen, Marie Therese. Die Enteignung der Wahrsager: Studien zum
Years.” In Aufstieg und Niedergang der Römischen Welt
kaiserlichen Wissensmonopol in der Spätantike. Frankfurt,
2:23:1, edited by Wolfgang Haase, pp. 835–868. Berlin,
Germany, 1993.
1979.
Ford, Caroline. “Violence and the Sacred in Nineteenth-Century
Trevett, Christine. Montanism: Gender, Authority, and the New
France.” French Historical Studies 21 (1998): 101–112.
Prophecy. Cambridge, U.K., 1996.
Frankfurter, David. Structure of Evil. Princeton, N.J., 2005.
Trumpf, Jürgen. “Stadtgründung und Drachenkampf.” Hermes
Galtung, Johan. “Violence, Peace and Peace Research.” Journal of
86 (1958): 129–157.
Peace Research 6 (1969): 167–191.
Galtung, Johan. “Cultural Violence.” Journal of Peace Research 27
Urban, Hugh B. Tantra: Sex, Secrecy, Politics and Power in the
(1990): 291–305.
Study of Religion. Berkeley, Calif., 2003.
Galtung, Johan. “Religions, Hard and Soft.” Cross Currents 47
FRITZ GRAF (2005)
(1997–1998).
Gamarra, Jeffrey. “Conflict, Post-Conflict and Religion: Andean
Responses to New Religious Movements.” Journal of South-
ern African Studies 26 (2000): 271–287.
VIRACOCHA is the name or title in the Quechua lan-
guage of the Inca creator god at the time of the Spanish con-
Girard, René. La Violence et le Sacré. Paris, 1972.
quest of Peru in the sixteenth century. According to Inca be-
Goodman, Martin D., and A. J. Holladay. “Religious Scruples in
liefs, Viracocha (also called Ticciviracocha) made earth and
Ancient Warfare.” Classical Quarterly 36 (1986): 151–171.
sky, then fashioned from stone a race of giants. Displeased
Hamerton-Kelly, Robert G., ed. Violent Origins: Walter Burkert,
with them, he turned some giants back into stone and de-
René Girard and Jonathan Z. Smith on Ritual Killing and Cul-
stroyed the rest in a flood. He then caused the sun and the
tural Formation. Stanford, Calif., 1987.
moon to rise from Lake Titicaca, and created, at nearby Tia-
Holt, Mack P. “Putting Religion Back into the Wars of Religion.”
huanaco, human beings and animals from clay. He painted
French Historical Studies 18 (1993): 524–551.
clothing on the people, then dispersed them so that they
Huntington, John C., and Dina Bandel. The Circle of Bliss: Bud-
would later emerge from caves, hills, trees, and bodies of
dhist Meditational Art. Columbus, Ohio, and Chicago, 2003.
water. He gave the people social customs, food, and other
Krakauer, Jon. Under the Banner of Heaven: A Story of Violent
aspects of civilization. Appearing as a bearded old man with
Faith. New York, 2003.
staff and long garment, Viracocha journeyed from the moun-
Kroen, Sheryl T. “Revolutionizing Religious Politics during the
tainous east toward the northwest, traversing the Inca state,
Restoration.” French Historical Studies 21 (1998): 27–53.
teaching as he went. At Manta, on the coast of Ecuador, he
Langlois, Claude. “De la violence religieuse.” French Historical
spread his cloak and set out over the waters of the Pacific
Quarterly 21 (1998): 113–123.
Ocean.
Lanternari, Vittorio. La grande festa. Vita rituale e sistemi di
produzione nelle società tradizionali (1959). Bari, Italy, 1976.
Viracocha is described by early Spanish chroniclers as
the most important Inca god, invisible, living nowhere, yet
Lewis, Bernard. The Crisis of Islam: Holy War and Unholy Terror.
New York, 2003.
ever-present. Texts of hymns to Viracocha exist, and prayers
to him usually began with the invocation “O Creator.” A
Lincoln, Bruce. Death, War, and Sacrifice: Studies in Ideology and
temple in Cuzco, the Inca capital, was dedicated to him. He
Practice. Chicago, 1991.
also appeared as a gold figure inside Cuzco’s Temple of the
Lorenz, Konrad. Das sogenannte Böse: Zur Naturgeschichte der Ag-
Sun. Near this temple, a huaca (sacred stone) was consecrat-
gression. Vienna, 1963.
ed to Viracocha; sacrifices were made there, particularly of
Lüdemann, Gerd. The Unholy in Holy Scriptures: The Dark Side
brown llamas. At the festival of Camay, in January, offerings
of the Bible. Louisville, Ky., 1997
were cast into a river to be carried by the waters to Viracocha.
Maschinist, Peter, and J. M. Sasson. “Rest and Violence in the
Poem of Erra.” Journal of the American Oriental Society 103
Viracocha may have been identified with the Milky
(1985): 221–226.
Way, which was believed to be a heavenly river. His throne
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VIRGIN GODDESS
9601
was said to be in the sky. The sun, the moon, and the star
by followers of the contemporary goddess religion. Goddess
deities were subservient to him. Inti, the sun, was the imperi-
worshipers in Western postmodern societies promote a biol-
al god, the one whose cult was served by the Inca priesthood;
ogistic understanding of femaleness that is focused on the
prayers to the sun were presumably transmitted by Inti to
procreative capacity of the female body, and therefore vener-
Viracocha, his creator.
ate one or several goddesses as givers and takers of life. In re-
Because there are no written records of Inca culture be-
lating all possible functions of goddesses from all times and
fore the Spanish conquest, the antecedents of Viracocha are
religions to sexuality and fertility, the goddess movement(s)
unknown, but the idea of a creator god was surely ancient
reveal an outlook on the essence of femaleness that resembles
and widespread in the Andes. Viracocha—who was related
that of ancient Greek gender ideology, even though it arrives
to Illapa (“thunder,” or “weather”)—may have been derived
at a different evaluation of it.
from Thunupa, the creater god (also the god of thunder and
HISTORY AND CRITICAL REEVALUATION OF THE NOTION OF
weather) of the Inca’s Aymara-speaking neighbors in the
THE VIRGIN GODDESS. The use of the term virgin goddess is
highlands of Bolivia, or from the creator god of earlier inhab-
grounded in the assumption that prehistoric societies in Eu-
itants of the Cuzco Valley. The god’s antiquity is suggested
rope and elsewhere worshiped a goddess who could appear
by his various connotations, by his imprecise fit into the
in three forms: as maiden (often used synonymously with
structured Inca cult of the solar god, and by pre-Inca depic-
virgin), mother, and aged wise woman. A dyad of the goddess
tions of a deity very similar to Inca images of Viracocha.
as mother and maiden had already been introduced by Jane
Viracocha is sometimes confused with Pachacámac, the cre-
Harrison (1903), and then taken up by the Jungian scholar
ator god of adjacent coastal regions; they probably had a
Mary Esther Harding (1935), but the idea of a female divine
common ancestor.
trinity was for the first time formulated by the poet and es-
The eighth king in a quasi-historical list of Inca rulers
sayist Robert von Ranke-Graves in his work The Greek Myths
was named for Viracocha. The god appeared in a dream or
(1955). The origin of this construction is unclear, but it was
vision to his son, a young prince, who (with the help of the
very probably influenced by the trinitarian structure of God
god, according to legend) raised an army to defend Cuzco
according to Christian dogma. Ranke Graves connected the
successfully when it was beleaguered by the rival Chanca peo-
threefold manifestation of the divine matriarch to the phases
ple. This prince became the ninth Inca ruler, Pachacuti Inca
of the moon (waxing moon, full moon, waning moon) and
Yupanqui (r. 1438?–1470?), the great man of Inca history,
to the three cosmic spheres: the “upper air” for the maiden,
who glorified architecturally the Temple of Viracocha and
earth and sea for the mother, and the underworld for the old
the Temple of the Sun and began the great expansion of the
woman. Admittedly owing this construction mainly to his
Inca empire. According to some authors, he was called Yu-
intuition, Graves also may have been inspired by the popular
panqui as a prince and later took the name Pachacuti
ideas of Johann Jakob Bachofen (1861) about the religion
(“transformer”). He is usually referred to simply as Pachacuti
of a matriarchal age in early human history. Bachofen
(Pachacutic or Pachacutec), although some records refer to
claimed that the relations of the sexes always found a cosmic
him more fully as Pachacuti Inca Yupanqui. It was he who
expression in the relations between sun and moon, and ac-
provided the list of Inca rulers.
cording to his hypothesis the gynaikokratia, the Greek term
for matriarchy, a social order that is dominated by assumign-
SEE ALSO Inti.
ly female values, was characterized by the reign of the moon
(and the night) over the sun (and the day). More recently,
BIBLIOGRAPHY
these kinds of ideas have been taken up by Heide Göttner-
The relative importance of Viracocha and Inti, the sun god, is dis-
Abendroth (1993) and Marija Gimbutas (1989; 1991).
cussed in Burr C. Brundage’s Empire of the Inca (Norman,
Gimbutas, who used a great deal of nineteenth-century theo-
Okla., 1963); Arthur A. Demarest’s Viracocha (Cambridge,
ry (Hegel, Bachofen, and James George Frazer) in her inter-
Mass., 1981); Alfred Métraux’s The History of the Incas (New
pretations of Stone Age artifacts, promoted the idea of a par-
York, 1969); and R. Tom Zuidema’s The Ceque System of
Cuzco (Leiden, 1964). Gary Urton’s At the Crossroads of the
thenogenetic primal goddess that might have emerged in the
Earth and Sky: An Andean Cosmology (Austin, 1981) inter-
Paleolithic era. According to her hypothesis, the primal god-
prets Viracocha in the light of present-day Quechua-
dess, who was avirgin in the sense that she did not have sexu-
speaking sources.
al intercourse with a male, was equated with nature as a
whole and therefore did not have a particular shape. The ear-
ELIZABETH P. BENSON (1987)
liest goddess images, the so-called Paleolithic Venuses (dated
before 10,000 BCE), are images of the awesome creative
power associated with woman and nature. The goddess could
VIRGIN GODDESS is a nonhomogeneous, highly
be represented by triangular stones or by stone or bone carv-
problematic concept for scholarly use, for it was partly made
ings emphasizing her vulva, buttocks, and breasts. In the
up by the religious politics of Greek city-states in order to
Neolithic or early agricultural era (which began c. 9000 BCE
further their patriarchal aims, and for the other part has been
in the Near East), goddess images symbolized the cosmic en-
popularized by a certain kind of feminist interest promoted
ergy of birth, growth, death, and regeneration, on which
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9602
VIRGIN GODDESS
farming, and indeed all life, depends. She was often depicted
early civilizations that can inform their modern interpreters
in zoomorphic shape or with animals as her companions
through written testimonies reveals a different picture. There
(these figures are known as Ladies of the Animals). The an-
is every reason to assume that the idea of the Goddess as one
thropomorphic goddess images, according to Gimbutas,
whose mythology focuses on the theme of fertility and pro-
gradually became differentiated into two functions, one as
creation is a rather late concept which appeared no earlier
“the giver and taker of all,” and the other as rebirth and re-
than in Hellenistic times (from about 300 BCE). Divine one-
generation. Eventually these two images were characterized
ness as the source for the multiplicity of goddesses and gods
as the Mother and the Maiden. The Mother was the sustain-
is an outcome of philosophical speculations undertaken to
ing power, represented especially by the enduring earth, the
systematize and rationalize mythological traditions. Early
bedrock that underpins all life. The Maiden, related to the
panthea and also the figurines and statuettes of the Stone Age
forces of renewal and regeneration, was represented especial-
show a great variety. In Mesopotamia and Egypt there was
ly by new life, plant and animal, that emerges in spring. The
a vast number of female and male deities with most diverse
Mother, the eternal, and the Maiden, the ephemeral power
powers and responsibilities. It seems unlikely that the prehis-
of nature, were understood to be two aspects of the same
toric figurines and statuettes that may represent female god-
whole. Gimbutas’s theories are very popular among people
heads—even that is uncertain—should indicate a uniform
interested in female spirituality, but they have provoked criti-
concept of the female divine. Nothing suggests that the nu-
cism from professional historians and archaeologists, who
merous sky goddesses, patronesses of war, and Ladies of the
argue that hardly anything can be said with any certainty
Animals and Hunting, as well as several female astral deities,
about Neolithic female figurines because of the lack of writ-
were to be subsumed under anything like the concept of the
ten information about them.
Maiden or Virgin Goddess.
Moreover, chastity and virginity only became a feature
But some adherents of contemporary goddess religions
of Olympic goddesses in Greek and then particularly in Hel-
have taken up Gimbutas’s conception and believe that farm-
lenistic cults; in other ancient religions, particular sexual or
ing societies of the Neolithic venerated a threefold goddess
antisexual attitudes of goddesses were not addressed. Instead,
as maiden, mother, and old woman. Moreover, they argue
it seems that sexuality was considered an integral part of god-
that this pattern is still recognizable in religions of the an-
heads as well as of humans. Thus, linking later virginal god-
cient world. Within the context of a constructed female mo-
desses to earlier figures who were supposedly parthenogenet-
notheism, all astral, war, and hunting goddesses venerated in
ic (i.e., able to create life exclusively out of themselves) is
ancient cultures are viewed as expressions of the Maiden, and
problematic. The assumption of a Virgin Goddess with a his-
as a particular focus of interest, this maiden goddess is inter-
tory beginning earlier than in Classical Greece lumps togeth-
preted as an antecedent of the virginal goddesses of Olympic
er phenomenologically and historically different qualities. It
religion in Classical Greece. Thus, the concept of the Virgin
must be concluded that a pre-Greek concept of virgin god-
Goddess emerged, although so-called virgin goddesses share
desses did not exist, and that even from the Classical Greek
no other feature than their youthful virginity, and even this
period onwards, virgin goddesses were never categorized as
is interpreted in peculiar and inconsistent ways. In various
a group. If anything, it could be stated that goddesses of the
contexts, virginity can mean maidenhood in the sense of pre-
ancient Mediterranean with virginal features are peculiar de-
maturity, it can mean temporary or constant willful absti-
velopments of archaic mistresses of the animals and the god-
nence from sexual activity, and it can denote a struggle for
desses of the early city-states in Mesopotamia (Inanna-Ishtar)
independence from male domination. By their divine func-
and Asia Minor (Cybele), whose power over natural forces
tions, so-called virgin goddesses do not form a coherent
was also called upon for the protection of the urban sphere,
group at all, and they have no automatic connection to the
but great caution is required to avoid generalizations inappli-
category of mother goddesses. The assumption that mother
cable to highly differentiated divine figures.
and daughter (maiden)are two aspects of the same deity was
GREEK VIRGINITY AND ITS IMPACT ON GODDESSES. Never-
taken from certain images in Minoan religion, where a
theless, it is interesting to see on which types of goddesses
woman figure appears with one or two maidens. The inter-
the Greeks imposed virginity and in which ways they thereby
pretation of these groups is uncertain, and their occurence
influenced their appearances and their spheres of action. But
is by no means universal, but culturally restricted to the Mi-
first, the implications of virginity, and specifically of Greek
noan and early Cycladic sphere. Generally, ancient polytheis-
virginity, need to be clarified. Ideas about the interrelated-
tic religions possessed a great number of highly differentiated
ness of female sexuality and threat become apparent as an-
female and male deities, and the accessible evidence does not
cient iconographic motifs, which are known from northern
allow for interpretations along the lines of monotheism.
Mesopotamian representations on seals and also in evidence
In sum, ideas about the Virgin Goddess are based on
during the orientalizing period in Greece (eighth century
several shortcomings and conflations. The monotheistic
BCE), but in the Classical era they became a generally recog-
character of a Neolithic goddess cannot be proven. It remains
nizable cultural feature.
an hypothesis that may be of some relevance in the interpre-
Two issues are important when considering the mean-
tation of prehistoric religions, but the evidence from those
ings of Greek virginity. The first regards the status and repu-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VIRGIN GODDESS
9603
tation of women in the urban milieus of Classical Greece,
move took place in a number of ancient civilizations which
both of which were formed and dominated by patrilineal and
are known as the cultures of the Axial Age, according to a
patriarchal order. Greek societies were structured by the oikoi
theory by the German existentialist philosopher Karl Jaspers
(households), and each oikos was ruled by a male head of the
(1883–1969). The gender-specific implications of this theo-
family. Girls were born and raised in one household, but
ry have not yet been analyzed, but it can be said that in the
later, through marriage, they passed into another domain of
majority of the civilizations of Jaspers’s Axial Age the tran-
living, bringing a dowry as their share of the patrimonial in-
scendental is ascribed to male godheads, whilst female deities
heritance into another man’s household. Thus, a daughter
were linked to nature and the material world. The emergence
was a threat to men’s possessions and to their wishes for a
of the idea of transcendence and the transcendental in the
stable existence. In order to guarantee the procreation of the
intellectual history of humankind thus supported the polar-
society of the poleis, it was naturally necessary to have women
ization of the genders, that is, the belief in fundamental dif-
crossing the borders between the oikoi. As a consequence, the
ferences in female versus male nature. One way of mediating
female sex was associated with all things hated and abhorred:
between the two became the construction of virginity as a
with changeability, unboundedness, pollutedness, formless-
“male femaleness,” and thus with a kind of physical female-
ness, uncontrolledness, and natural chaos—all oppositions to
ness that was not acted out and lived as such.
cultural order represented by men. According to patriarchal
Greek goddesses in general, and the Greek virgin god-
ideology, femininity stood for the ability or rather the fate
desses in particular, combine protective and transgressive
to cross boundaries. The means to control this necessary but
qualities in their relation to the cultural standards of the po-
dangerous inclination of women was first and foremost a
leis. This results from the ability to overcome boundaries,
control of their sexuality through the institution of legitimate
which in Classical Greek culture was ascribed to women and
marriage. In this context the polarity between virgin and wife
goddesses alike. Virginity could underline as well as constrain
developed. This polarity is expressed in Greek in the opposi-
this trait. It allowed for a kind of freedom, independence,
tion between gun¯e, which means both “woman” and “wife”
and power that was usually refused to females, but it also en-
and is used to refer to married women, and parthenos, which
sured that married women, who represented by definition
means “maiden, girl, or virgin” and “virgin” and is used to
the kind of femininity that was demanded by their society,
refer to unmarried girls. Only by a rigid control control of
remained securely cut off from these privileges. Goddesses,
women’s sexuality could a man be certain that his children
however, unlike ordinary women, could make exceptions
were his. Therefore, it was decreed that a woman must be
here.
a virgin at marriage and refrain from sexual intercourse with
any man but her husband. Since marriage meant subjection
INDIVIDUAL VIRGIN GODDESSES AND HEROINES. It is help-
of the female and her control by the male-defined cultural
ful to consider in more detail the expression of virginity by,
order, virginity made her an outsider and a potential threat.
or the impact of the virginity concept on, some mythological
In other words, for the Greeks, virginity became a means to
figures.
express what was to their standards a paradox—a female who
Kore. Strangely, the Greek goddess Kore, whose very
is independent from and even capable of exercising power
name translates as “maiden,” has so far attracted compara-
over men.
tively little attention by propagators of the threefold goddess.
For those Greek goddesses who were perceived accord-
Kore was closely related to death, which corresponds with
ing to the virgin pattern, this meant that they never became
general Greek ideas about human parthenoi. Their state of
fully subordinated. Consequently, virgin goddesses do not
being was regarded as very similar to being condemned to
always necessarily abstain from sexuality; they may be virgins
death. In rites that should prepare them for marriage, girls
in the sense of being unmarried, or even in the sense of not
from aristocratic families underwent rites connected with the
being confined through marriage to a male god. The com-
cults of either Artemis or Athena, initiating them to the
plex nature of the virgin goddesses is further explicated by
theme of sexuality by exposing them to a death-like experi-
the fact that the unmarried girl or woman poses a threat to
ence. In Kore’s myth this is symbolized by her abduction by
patriarchal social order because her sexuality is not under the
Hades, the god of the underworld. The sixth century BCE saw
a very rich production of Kore statues, mainly, apparently,
control of man. They carry the connotation of being wild or
for a grave cult. On the Athenian Parthenon there were six
untamed. This wildness can manifest itself in at least three
Korai, who probably functioned as grave-servants for
forms: as a connection to wild places and wild animals not
Erechteus, the legendary first king of Athens.
tamed or under control of the city; as passion for the ritual
shedding of blood, which draws hunters and warriors away
Hestia, Artemis and Iphigeneia, and Athena. Greek
from the city and the family; and as untamed sexuality, by
goddesses virgin in the sense of sexual abstinence by an adult
which men are seduced and can be endangered.
woman were Hestia, Artemis, and Athena.
A second issue that is important for the rise of Greek
Hestia, the personification of the hearth and the sacrifi-
virgin goddesses has to do with intellectual currents towards
cial fire, transcends the boundary between humankind and
more transcendental conceptualizations of the divine. This
the goddesses and gods. She had a major role in female rites
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9604
VIRGIN GODDESS
of passage such as marriage and childbirth. Because the my-
a warrior and was usually depicted wearing a helmet and
thology as well as the iconography of the goddess Hestia are
holding a spear and shield. Her title polias indicated that the
poorly developed, further implications of her virginity are
city was her home; her titles promachos and nike named her
not traceable.
victorious against its enemies. She avoided the company of
women but nurtured such heroes as Odysseus, Theseus, Her-
Artemis was the goddess of wild places, flocks, and the
akles, Perseus, and Erichthonius. Her virginity meant that
hunt; she was named Potnia Theron (“lady of the wild ani-
she could consort with men as an equal and engage in the
mals”) in the Iliad, and “slayer of wild beasts” in the Homeric
masculine pursuit of war. However, she also figured in im-
hymns. She had particularly close ties to deer, as indicated
portant initiation rites for girls, the Arrhephoria, the theme
by the legend that pregnant does swam to her island in order
of which seems to have been an encounter with overpower-
to give birth, and to bears. Bears play a significant role in the
ing and frightening aspects of male sexuality. Moreover, she
rites and roles of a cult dedicated to Artemis Brauronia,
was patroness not only of the masculine art of warfare but
which were performed by young girls. The stages of the ritual
also of the arts and crafts associated with women, including
are not clear, but it included libations and spinning and
pottery, weaving, and healing. One of the rituals performed
weaving, and it was finalized with a goat sacrifice. In Arte-
in her honor involved the weaving and presentation of a new
mis’s mythology, even human—and particularly maiden—
robe (peplos) for her ancient wooden statue; girls and women
sacrifices are significant. According to a study by Ken Dow-
played important roles in these rites.
den (1989), such plots can be interpreted as literary encod-
ings of girls’ initiation rites performed in the service of this
Hera and Aphrodite. If the designation virgin goddess
goddess. Near the temple of Artemis Brauroneia there was
is interpreted in the sense of a refusal to be submissive to a
a shrine for Iphigeneia, the daughter of Agamemnon and
male partner, two other Olympians deserve mention here,
Klytaimnestra, who on her way to her wedding with Achil-
although both are sexual and, according to Olympian my-
leus was almost sacrificed to Artemis. A deer was then slaugh-
thology, sexually active.
tered instead of the girl, and Iphigeneia was whisked away
Hera, known as wife of Zeus and as mother of Hebe,
by the goddess herself in order to serve her on the Tauris
Eleitheia, Ares, and Hephaistos, was also known as an inde-
Peninsular. Artemis was there venerated under the name Par-
pendent goddess. Before Zeus entered Greece, Hera was the
thenos, or as Iphigeneia, which confirms the closeness of the
indigenous goddess of the island of Samos, which was once
two figures. Artemis was a virgin herself and shunned men
called Parthenia, and of Argos; even at Olympus, her temple
except for her brother Apollo, and she insisted ruthlessly on
is older than that of Zeus. Her union with Zeus as presented
the chastity of her mythical attendents, the nymphs. Yet, the
in the Iliad was a sacred marriage that brought fertility to the
goddess as well as the nymphs were intimately familiar with
earth. However, another legend reports that every year she
sexuality, the female cycle, and childbirth. The sexual appeal
renewed her virginity at a sacred spring called Canathus in
of nymphs is apparent in, for example, the story of Odysseus
Nauplia.
and Kalypso, in which Artemis was explicitely invoked as
Elei-theia and Locheia, goddess of childbirth. She was one
Aphrodite, too, although fully and joyously sexual, can
of the most powerful patronesses of life and death and all pas-
be viewed as virginal in the sense of self-determined. Her sex-
sages between them.
uality is unbridled, untamed, and her own. She is married
to Hephaistos, according to Olympian mythology, but she
The Greek Artemis is clearly the heiress of the Mistress
is neither submissive nor faithful to him. Although she is a
of the Animals, but her wildness was acceptable in a patriar-
mother, her child Eros (“love, desire”) is but a reflection of
chal culture only if it was understood that she was not like
her sexuality. Aphrodite is related to the Lady of the Animals,
other women. Thus she was superficially bereft of her female
as indicated in the Homeric Hymn to Aphrodite, where she
sexuality, and although she always remained the goddess of
is portrayed as followed by wolves, lions, bears, and leopards,
women and female affairs, she was often portrayed as a mas-
in whom she awakens the spark of desire, and she is also con-
culinized huntress, clad in a short tunic, slaying wild animals
nected to the Near Eastern goddesses of sexuality and of war-
with arrows from her quiver. However, the image of the
fare such as Anat, Ishtar, and Astarte. Like Inanna-Ishtar and
Ephesian Artemis, which stressed her nurturing qualities by
Astarte, she is identified with the morning and evening stars,
depicting her as a mature female with many breasts, proves
which mark the transition between night and day. Aphrodite
that the Homeric shape of the goddess was not authoritative.
is an island goddess who entered Greece through Phoenician
ports in Cythera and Cyprus; her temples were often found
Worshiped in her temple, the Parthenon, Athena Par-
in the marshy ground where sea transforms into land, or on
thenos was a very different expression of a virgin goddess
the cliffs where the sea rises as mist to the land. Thus, the
than Artemis, for she was very much identified with the city
nature of her sacred places underlines her transcending ca-
and its distinct, male-defined culture. Athena was said to
pacities as they are also expressed through her irresistable sex-
have been born from the head of her father Zeus, and in the
ual appeal.
Eumenides of Aeschylus she was said to have declared that she
sided with her father against her mother in all things except
Sophia. Although in the classical culture of Greece the
marriage, which she shunned. She was born fully armed as
meaning of virginity was not necessarily confined to sexual
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VIRGIN GODDESS
9605
abstemiousness, certain currents in Hellenism and particu-
powerful women as virgins, but it also needs to be under-
larly in Hellenistic Judaism became obsessed with the reli-
stood as a confirmation and even superelevation of the most
gious benefits of chastity. This development applied to men
important function of Greek goddesses: the mediation be-
and women alike, but in the context of virgin goddesses only
tween different spheres of existence, which in Mary’s case is
the implications for female virginity are relevant.
the mediation between humans and the divine.
Due to the “ascetic tension” (Fraade, 1989) in Judaism
Kumari. A different kind of virgin goddess, which is
in the Hellenistic age, the feminine aspect of the Old Testa-
completely detached from the specific cultural conditions of
ment God acquired an independent identity, with a huge im-
the eastern Mediterranean, can be found in Nepal. Here, the
pact also on Gnosticism and emerging Christianity. In sever-
goddess Taleju, an aspect of Durga, inhabits a human virgin
al Jewish texts of that period (e.g., Proverbs, Ben Sira, c. 200
who is correspondingly worshiped as the goddess herself.
BCE, Wisdom of Solomon, c. 150 BCE), Sophia as a personifica-
The custom of having an immature girl residing in Taleju’s
tion of divine wisdom figures prominently, and chastity is
temple in Kathmandu is said to go back to a legend from the
described as one of her important traits. Another female fig-
late sixteenth century about the king Jaya Prakash Malla,
ure in a number of writings (e.g., Proverbs 9; fragment from
who used to play dice with the goddess when she regularly
cave four in Qumran) is clearly recognizable as Sophia’s
visited him in his palace. On one occasion he developed “un-
counterpart: the “strange woman,” one of whose most obvi-
holy thoughts” about his companion; she recognized this and
ous marks is her lasciviousness, as opposed to the wise
then disappeared. When the remorseful king begged forgive-
woman’s purity. Thus, a discourse developed in which vir-
ness, Taleju said she would return only in the form of a vir-
ginity was regarded as a means to, and even as a code for,
ginal little girl who would have to live next to the royal pal-
salvation. According to Gnostic mythology, the origination
ace. Since then, the living Kumari is chosen from the Sakya
of the lower worlds of psychic and material quality (as op-
community in the Kathmandu valley. Although Taleju is a
posed to the upper world of spiritual substance) results from
Hindu goddess, the living Kumari comes from a Buddhist
the fall of a female soul—later replaced by the Jewish So-
family (the Sakyas are descendents from the Buddha’s clan)
phia—and her involvement in passion and sexual activity. In
and is selected by high-level Vajracharya priests. Apart from
the end, the soul is restored by union with a male salvational
her virginity, further criteria are an unblemished body and
figure in a “virginal” bridal chamber. In Sethian Gnostic
a fearless mind. When the girl approaches puberty, she ceases
texts, the original, purely spiritual creation of the pleroma,
to be Kumari and in theory can live a normal life. However,
or fullness, is ascribed to the goddess Barbelo, who is charac-
she does not receive school education or any other training
terized as a “male virgin.” The Apocryphon of John, the Gospel
that would prapare her for such a life, and moreover she is
of the Egyptians, and The Three Tablets of Seth know of her
unlikely to get married because she is still believed to be pos-
as the “thrice male” and the “masculine female virgin.”
sessed by supernatural powers.
The Virgin Mary. Many features of ancient virginal
Possible meanings of virginity in Indian and Himalayan
goddesses survive to the present day in the Virgin Mary.
religions are less well researched than for Greek and Hellenis-
Throughout the Near East, Europe, and Latin America,
tic antiquity, and particularly the political aspect of it—as it
churches to the Virgin Mary were built at the holy places of
is suggested by the close bond with the Nepalese royals—has
the goddesses. Even though she is not prominent in the New
so far been neglected. Interpretations given agree on the as-
Testament, Mary eventually became the repository for all the
sumption that the phenomenon should be explained in the
lingering images of the goddesses. To the Greeks she is
context of shaktism. According to this branch of tantrism,
panaghia, which means simply “the all-holy.” In the Gospel
the goddess is understood as creative energy. This energy re-
of Matthew, a prophecy from Isaiah that reads “Behold, a vir-
mains untouched and therefore complete, as long as the god-
gin shall conceive and bear a son” (Mt. 1:23) is applied to
dess is virgin.
the birth of Jesus. Although the Hebrew word almanah in
SEE ALSO Goddess Worship, overview article; Lady of the
the original prophecy might be translated “young woman”
Animals; Mary, overview article; Virginity.
without the necessary imputation of virgin, both the Greek
translation of the Hebrew Bible, the Septuagint, and the Gos-
B
pel of Matthew use parthenos. Lest there be any ambiguity as
IBLIOGRAPHY
The concept of Virgin Goddess was developed by the works cited
to its interpretation, the author of Matthew clarifies, Joseph
above, including Johann Jakob Bachofen, Das Mutterrecht:
“knew her not until she had borne a son” (1:25). The theme
Eine Untersuchung über die Gynaikokratie der alten Welt nach
of Mary’s continual virginity despite of Jesus’ birth emerged
ihrer religiösen und rechtlichen Natur (Stuttgart, Germany,
already in second-century theological discourse, there. The
1861); Jane Harrison, Prolegomena to the Study of Greek Reli-
church agreed at the Council of Ephesus in 431 that Mary
gion (Cambridge, U.K., 1903); Mary Esther Harding,
would be called theotokos (“God bearer”), and confirmed this
Women’s Mysteries, Ancient and Modern (New York, 1935);
title at the Council of Chalcedon in 451.
Karl Jaspers, Vom Ursprung und Ziel der Geschichte (About the
Origin and Aim of History, Zurich, 1949); Robert von
The dogmatic establishment of Mary’s virginity is a
Ranke-Graves, The Greek Myths (New York, 1955); Ken
continuation of the Greek strategies to mark particular and
Dowden, Death and the Maiden: Girls’ Initiation Rites in
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9606
VIRGINITY
Greek Mythology (New York, 1989); and Heide Göttner-
Virgin Worship in Nepal (Kathmandu, 1975, with several re-
Abendroth, Die Göttin und ihr Heros, 10th edition (Munich,
prints), and for a more descriptive approach, see Siddhi B.
1993). Most influential were the popular books by Marija
Ranjitkar, Kumari. The Virgin Goddess (New Delhi, 2002).
Gimbutas, The Language of the Goddess (San Francisco,
Discussion of ascetic tension in Judaism in the Hellenistic age can
Calif., 1989) and The Civilization of the Goddess (San Fran-
be found in Steven D. Fraade, “Ascetical Aspects of Ancient
cisco, Calif., 1991). Positive assessments of Gimbutas’s views
Judaism” in Jewish Spirituality from the Bible through the
can be found in several articles in issue 12 (1996) of the Jour-
Middle Ages, vol. 1, edited by Arthur Green, pp. 253–288
nal of Feminist Studies in Religion, pp. 33–119.
(New York, 1989).
A critical reconsideration of the threefold Goddess in general and
JULIA IWERSEN (2005)
the Virgin Goddess as one of her forms has not yet been writ-
ten. Thorough reexaminations about the Goddess in prehis-
toric religions can be found in the collection Ancient Goddess,
edited by Lucy Goodison and Christine Morris (London,
VIRGINITY is the condition of young male and female
1998). Very insightful on the broader context of interpreting
persons who have not had sexual intercourse and have pre-
goddesses is the volume Engendering Archaeology. Women and
served their sexual innocence. This state is partly biologically
Prehistory, edited by Joan M. Gero and Margaret W. Coney
determined, in that children do not yet have sexual potency;
(Oxford, 1991). For the Near Eastern context see Tikva
but that condition can be voluntarily or obligatorily extend-
Frymer-Kensky, In the Wake of the Goddesses (New York,
ed until marriage, so that virginal status becomes a social fact.
1992).
The significance of virginity, therefore, has to be understood
The standard work on understandings of Greek virginity is Giulia
in a wider social context, in which it bears specific symbolic
Sissa, Greek Virginity, translated from the French by Arthur
meanings. A basic fact in every society is the organization of
Goldhammer (Cambridge, Mass., 1990). For several thor-
the relationship of men and women into various kinship sys-
ough analyses of Greek interpretations of the female body—
tems to guarantee the reproduction of the human species.
including its state as a virginal body—and female roles in
Being a complete man or woman presupposes sexual potency
Greek culture and religion consult Helen King, Hippokrates’
and activity. A virgin boy or girl has not yet reached the con-
Women: Reading the Female Body in Ancient Greece (London,
1998).
dition of full maturity, and therefore retains a purity that
makes him or her more suited for certain religious functions
Julia Iwersen, Die Frau im alten Griechenland. Religion, Kultur,
or specific activities.
Gesellschaft (Düsseldorf, Germany, 2002) deals with virgin
goddesses, virginity, and maidenhood in various contexts of
In Classical Greece and Rome, virgin children of living
Greek religion. Several important articles on the meaning of
parents often assisted with religious ceremonies. In Greece,
virginity and maidenhood in Greek religion can be found in
they had the task of cutting the olive branches with which
the volume The Sacred and the Feminine in Ancient Greece,
the victors at Delphi and at the Olympic games were
edited by Sue Blundell and Margaret Williamson (London
crowned. They also had a ceremonial role at weddings com-
and New York, 1998); see particularly the contribution of
parable to that of bridesmaids and pages, who are supposed
Susan Guettel Cole, “Domesticating Artemis,” pp. 27–43.
to be unmarried and consequently virgins. In Christianity,
Nannó Marinatos, The Goddess and the Warrior. The Naked
virgin children or eunuchs (i. e., artificial virgins) often func-
Goddess and Mistress of Animals in Early Greek Religion (Lon-
tioned as singers in the choir, because their pure status made
don and New York, 2000) is interesting about functions of
Artemis in male-dominated Greek society and also about
them more appropriate for contact with the divine world.
how the image of this goddess was changed and adapted to
Virginity is also believed to bring a man or woman into
Greek gender ideology. As for the maiden Kore, see Katerina
closer contact with nature, because he or she is still unspoiled
Karakasi, Archaische Koren (Munich, 2001) and Andreas
by sexuality. In the Babylonian Epic of Gilgamesh Enkidu,
Scholl, Die Korenhalle des Erechtheion auf der Akropolis. Frau-
who was created by the gods as Gilgamesh’s opponent, lived
en für den Staat (Frankfurt am Main, Germany, 1998). For
among the animals until he was seduced by a prostitute.
a classical interpretation of the virginity of a Greek goddess
After that the animals left Enkidu, who was forced to join
see Karl Kerenyi, Sie Jungfrau and Mutter der greichischen Re-
ligion (Zurich, 1952), translated as Athene: Virgin and Moth-
human society. For the same reason the Kaluli, a tribe of
er in Greek Religion (Zurich, 1978).
Papua New Guinea, believe that virgin youths are the most
effective hunters, and the belief is endorsed by a Kaluli myth
Wolfgang Beinert and Heinrich Petri, eds., Handbuch der Ma-
featuring Dosali, the mythical model of perfect manhood,
rienkunde (Regensburg, Germany, 1984), and Marina War-
ner, Alone of All Her Sex (New York, 1976) compile a vast
and Newelesu, his clownish, violent, and uncivilized anti-
amount of material on the Virgin Mary. For a comprehen-
thesis. Both stay a night with the Mother of the Animals.
sive phenomenology of the type in the ancient Mediterra-
Dosali behaves like a decent guest and gets a lot of game. Ne-
nean milieu (from Isis and Cybele to Mary the Virgin and
welesu forces the old woman to have intercourse with him,
Mother of God) see Stephen Benko, The Virgin Goddess:
and all the animals flee the house. A virginal man still has
Studies in the Pagan and Christian Roots of Mariology (Leiden,
close rapport with the animal world, because he is less entan-
Netherlands, 1993).
gled in the social world of marriage, exchange of property,
The Nepalese Kumari is examined and interpreted in terms of cul-
alliance, and all other issues linked with the world of settled
tural anthropology by Michael Allen, The Cult of Kumari.
married people.
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VIRGINITY
9607
The virginity of an unmarried girl is likewise temporary,
treated as brides. For example, they wore permanently the
a transitory biological condition with a strong social value.
hairstyle typical of a bride on her wedding day. They even
The virginity of young women often acts as a symbol of the
showed some male characteristics: Like male magistrates they
social purity of the whole group to which the women belong.
had the right to be escorted by a lictor. They were in every
In some societies, therefore, the chastity of the young women
respect ambiguous, and so especially fit to mediate between
is a matter of concern for the whole group. In India, the puri-
human society and the powers that watched over it.
ty of the social group, the caste, is dependent on the purity
As brides the Vestal Virgins were permanently on the
of the women, who transmit caste membership. Therefore
brink between the unmarried and married status. Their
the whole group scrupulously guards the chastity of the
anomalous sacred position also entailed living outside a nor-
young girls until their marriage, and often kills them if they
mal household: They lived together in a special house sepa-
break the interdiction of sexual intercourse. In other socie-
rated from common society. The same ambiguity is symbol-
ties, for example, in Samoa, a group of islands in the Pacific
ized by the sacred fire that the Vestals guarded. Fire is life-
Ocean close to the equator, the virginity of the daughter of
giving and life-destroying; it is pure and sterile and a symbol
the chief was a symbol of the integrity of the whole society,
of fertility, and thus a sacred symbol linking two spheres.
whereas other girls were permitted to have sexual relation-
The Vestals were not an isolated case. The priestess at the
ships as they pleased.
Delphic oracle, the Pythia, was required to be an elderly
In all societies where men exchange women, as is the
woman of over fifty who might have been married but had
case in almost all Mediterranean and Arab countries, and
to dress as a young virgin. In this way she acted as an inter-
where virginity is expected at marriage, the virginity of the
mediary between divine decisions and human affairs.
woman is an essential part of the marriage contract between
All these examples of virginity refer to a temporary sta-
the families and the chastity of the young woman is of direct
tus—even the Vestals were allowed to leave their service after
family concern. A bride who is not a virgin breaks the con-
thirty years and to marry if they wished. The symbolic aspect
tract and is often severely punished, even with death.
of virginity was often a motive for a permanent virginity, or
Virginity, however, has yet another aspect, in addition
what is often called celibacy. A permanent status of virginity,
to sexual purity as a link to nature or as a symbol of social
for instance, occurs in Buddhism as a requisite for monks
purity. Because of their lack or renunciation of sexual experi-
and in the Roman Catholic Church. Virginity was a wide-
ence, virgins are not completely male or female, and conse-
spread phenomenon in the early Christian church and was
quently defy in a sense gender specificity. In a state of am-
based upon specific concepts of human status and salvation.
biguity, they have aspects of both genders, as sometimes
In view of the impending end of the world the apostle Paul
becomes clear in mythology. Persephone, the corn maiden
considered the status of unmarried virgin as the most desir-
of Greek mythology, lives half the year with her mother De-
able (1 Cor. 7), in accordance with certain ascetical trends
meter and the other half with Hades, god of the underworld.
in the New Testament. Baptism in Christ represents the re-
As a virgin she belongs to both the female and the male
unification of male and female, “being one in Christ Jesus”
world; she is a typically intermediary figure, a go-between.
according to Galatians 3:28, and implies the abolition of sex-
This mediating function of virgins makes them particularly
ual differentiation.
appropriate for contact with the supernatural and implies
In particular during the second and third centuries CE,
their sacredness.
the ideal of following Christ as a virgin became a dominant
In imitation of this quality, chastity or temporary sexual
element in the nascent Christian church. This development
renunciation is often a prerequisite for a visit to a temple or
required broadening the idea of virginity to include those
for the performance of religious rites. The participants in the
who had been sexually active but now chose to abstain. Just
Eleusinian mysteries were obliged to observe a period of
as Christ was unmarried and single, so his followers too
chastity, just as in the Middle Ages lay people who wanted
should be virgins. But imitatio Christi means more than just
to take the Holy Communion had to remain chaste for some
an ascetic life of sexual renunciation. It is actually a reversion
days before and after. The priests in Israel had to live apart
of the fateful division of humankind into sexually active
from their wives during the period of their service in the Je-
males and females after the Fall, which started with the cre-
rusalem Temple, and the priests of the Dea Syria, the Syrian
ation of Eve from Adam as described in Genesis 2:21f. Ac-
mother goddess of fertility, were the so-called Galli, men
cording to an apocryphal logion of Christ quoted in 2 Clem-
who had emasculated themselves in the service of the goddess
ent, a treatise dating back to the middle of the second century
and had in this way made themselves into artificial virgins.
CE, the kingdom of God will come “when the two will be
one, and the outer like the inner, and the male will be united
Priestesses of various cults in Greco-Roman antiquity
with the female, so that there will be neither male nor female,
had to be virgins. The Vestal Virgins are a good example of
but the two will be one.”
how an intermediary position implies sacredness and contact
with the divine world. The Vestals were virgins, but they also
The same language occurs in logion 22 of the Gospel of
had the main characteristics of married women: Their dress
Thomas, an apocryphal gospel that originated in the Syriac-
was similar and they had some legal rights. They were also
speaking East and dates from about 200 CE. The reunifica-
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VIRGINITY
tion of male and female is explained as the transformation
virgins could win that struggle and undo the inheritance of
of women into men. When Simon Peter said to Jesus and
Adam’s fate of sexuality and death. Their life is, therefore,
the disciples, “Let Mary go out from among us, because
often depicted as a permanent war or struggle, a motif that
women are not worthy of the Life,” Jesus said, “See, I shall
had its roots in the antique world and exercised a deep influ-
lead her, so that I will make her male, that she too may be-
ence on Christian tradition. The virgins became saints who
come a living spirit, resembling you males. For every woman
mediated between this world and God because they kept an
who makes herself male will enter the kingdom of Heaven”
intermediate, ambiguous position. Their symbolic behavior
(logion 114).
pointed to their mediating function, as did that of the styli-
tes, early Christian ascetics who lived on the tops of pillars
This transcendence of sexuality is also described as be-
representing the link between heaven and earth.
coming like children who do not yet know sexual shame. In
the same Gospel of Thomas the disciples ask Jesus, “When wilt
But the most anomalous phenomenon connected with
Thou be revealed to us and when will we see Thee?” And
virginity is virgin birth. A virgin mother is a powerful symbol
Jesus said, “When you take off your clothing without being
of the relationship between the natural (human) and super-
ashamed, and take your clothes and put them under your feet
natural (divine) world. Through the Virgin Mary, Christ be-
as the little children and tread on them, then shall you be-
came the mediator par excellence, being God and human at
hold the Son of the Living One and you shall not fear” (logi-
the same time. Thus virginity is also a sign of the power to
on 37). When the apostle Thomas converted a royal bridal
cross the boundary of biological existence, to mediate be-
couple from “filthy intercourse” to a pure virginal life, as is
tween body and socioreligious ideals, between what is and
related in the apocryphal Acts of Thomas, written in the Syri-
what ought to be. In this way people can order their biologi-
an East around 225 CE, the bride took off her veil, because
cal existence and social world through the most powerful
“the veil of corruption is taken away from her, and the deed
symbols they have, the sexual bodies that are their only way
of shame has been removed.” According to her own words,
of survival and their eternal fate.
she is “betrothed to the true Husband,” a situation recalling
S
Genesis 2:24f.: “. . . and they shall be one flesh. And they
EE ALSO Celibacy; Chastity; Eremitism; Virgin Goddess.
were both naked, the man and his wife, and were not
BIBLIOGRAPHY
ashamed.”
A comprehensive study of virginity does not exist. For under-
The union between the virgin and Christ the true bride-
standing the religious significance of the ambiguous status of
groom was often celebrated in the ritual of the Bridal Cham-
virgins, modern cultural anthropology is useful, particularly
ber that is attested in nascent Syrian Christianity as well as
the works of Mary Douglas: Purity and Danger: An Analysis
in sectarian gnostic groups. It represented the union with
of Concepts of Pollution and Taboo (New York, 1966), Natu-
ral Symbols: Explorations in Cosmology (New York, 1970),
Christ the Second Adam that restored the asexual androgy-
and Implicit Meanings: Essays in Anthropology (Boston, 1975).
nous condition of humankind in paradise before the Fall.
Kirsten Hastrup’s article “The Semantics of Biology: Virgini-
Where there is no longer male or female, a new world has
ty,” in Defining Females: The Nature of Women in Society, ed-
come that is paradise regained. The life of the virgins is,
ited by Shirley Ardener (London, 1978), uses Douglas’s the-
therefore, often characterized as angelical life (bios aggelikos),
oretical insights with great profit, as does Mary Beard’s “The
referring to Luke 20:27–40.
Sexual Status of Vestal Virgins,” Journal of Roman Studies 70
(1980): 12–27. A bit out of date but a useful collection of
The Christian virgins who had overcome gender differ-
material and sources is Eugen Fehrle’s Die kultische Keusch-
entiation demonstrated their paradisiacal state in different
heit im Altertum, “Religionsgeschichtliche Versuche und Vo-
ways. They sometimes lived chastely together in one house
rarbeiten,” vol. 6 (Giessen, 1910). Aline Rousselle’s Porneia:
or community, to show how they could live without pas-
De la maïtrise du corps à la privation sensorielle deuxième-
sions. Often they lived singly outside common human soci-
quatrième siècles de l’ère chrétienne (Paris, 1983) is excellent
ety in isolation, for example, in the desert, because neutral-
for the social and medical background of virginity and asceti-
ization of sexuality implies a renunciation of all ties that link
cism in general in the antique and early Christian world. For
a person with society, since marriage and procreation are
a good survey of the topic, see Peter Nagel’s Die Motivierung
linked with its survival. Sexually and socially the virgins were
der Askese in der alten Kirche und der Ursprung des Mönch-
ambiguous: They were neither male nor female, and they
tums, “Texte und Untersuchungen,” vol. 95 (Berlin, 1966),
and Bernhard Lohse’s Askese und Mönchtum in der Antike
lived an angelical eternal paradisiacal life among or on the
und in der alten Kirche (Munich, 1969). Peter Brown’s The
outskirts of human mortal society. They even demonstrated
Making of Late Antiquity (Cambridge, Mass., 1978) is quite
the new life in their dress: The virgin Thecla in the apocry-
interesting.
phal Acts of Paul and Thecla dressed like a man and had her
hair cut short. She is reminiscent of Joan of Arc, the virgin
New Sources
Brown, Peter. The Body and Society: Men, Women, and Sexual
of Orléans, who also dressed like a man and played an inter-
Renunciation in Early Christianity, New York, 1988. Indis-
mediate role.
pensable.
The virginal life meant perpetual struggle with bodily
Clark, Elisabeth. Reading Renunciation. Asceticism and Scripture in
passions, the manifestations of Satan. Like Christ, Christian
Early Christianity. Princeton, N.J., 1999. A brilliant explora-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VISION QUEST
9609
tion of the consequences of late ancient sexual renunciation
human community and isolated in places remote from the
for the interpretation of Bible.
civic center of the village. Lakota peoples sometimes refer to
Elm, Susanna. Virgins of God: The Making of Asceticism in Late An-
it as “going on the hill.” A total abstinence from food and
tiquity. Oxford, 1994. Female ascetic life in Asia Minor and
water is fundamental to the ceremonial exercise. The cere-
Egypt. A very comprehensive bibliography is included.
mony is one of constant prayer. The duration of the ceremo-
Sfameni Gasparro, Giulia. Enkrateia e antropologia. Rome, 1984.
ny—usually dependent on the prior commitment of the
A systematic study of asceticism and virginity in early Chris-
faster—varies from one day and night (for an adolescent) up
tianity and Gnosticism. Select bibliography.
to four to seven days and sometimes longer (for an adult).
Sissa, Giulia. Le corps virginal. Paris, 1987. Virginity in Greece.
Finally, the American Indian vision phenomenon is al-
HAN J. W. DRIJVERS (1987)
ways predicated on an understanding of the world as peopled
Revised Bibliography
by both material and immaterial beings, with the visionary
moment as that which allows a human person to communi-
VIRGIN MARY S
cate with, and especially to receive communication from, im-
EE MARY
material spirit beings. Thus, the occasion always includes the
possibility of receiving some sort of personal power as a gift
from a spirit.
VISION QUEST. The personal vision is a fundamental
feature of American Indian cultures across the continent and
Much of the literature concerning the vision quest is
across all linguistic boundaries. While there are always people
somewhat unsatisfactory, either because of its great superfici-
who have visions of a quality that sets them apart from oth-
ality or because it attempts to impose colonial structures of
ers, people in all American Indian communities treasure their
meaning on indigenous phenomena. For instance, the ma-
own visions and respect those of others. Whether wake-state
jority of professional literature on the vision quest presumes
or sleep-state, the vision in American Indian cultural con-
the accuracy of nineteenth-century ethnographic collections
texts is always a communication between a human person
of vision recitations as if the whole of the recitation is accu-
and one or more nonhuman spirit persons.
rately represented in the brief paragraph typically recorded
While these vision experiences sometimes occur sponta-
by the ethnographer; and as if the typically language-
neously, they occur most frequently in the context of inten-
deficient ethnographer has also accurately translated the na-
tional seeking done in a carefully arranged ceremonial man-
tive language in which the vision would have been recited.
ner in what is called in English the vision quest or rite of vigil.
These anthropological renditions are typically rather
The details are always dependent on the particular purpose
short and cannot have been the whole of the vision experi-
for the quest and the particularities of community custom.
enced by the informant. In fact, it is a universal Native Amer-
The general structures, however, tend to be similar across the
ican characteristic that the vision, as an intensely personal ex-
continent. Adolescents might undertake the rite of vigil for
perience, is never shared fully but is kept throughout life as
one or two days and nights; adults might extend the ritual,
a private revelation. Thus, the ethnographer was almost al-
which includes fasting, from four to seven days, and occa-
ways not privy to the whole of the vision encounter. More-
sionally even longer. These occasions typically were, and are
over, few ethnographers, most of whom were Native Ameri-
yet today, life-altering experiences for Native women and
cans themselves, were fluent in the languages of those they
men. Fletcher and La Flesche report that a young man’s vi-
presumed to study, meaning that almost all translations re-
sion became his personal connection with the “vast universe”
lied on others whose English may have been only nominally
of the immaterial spirit world, “by which he could strengthen
better than the ethnographer’s understanding of the native
his spirit and his physical powers” (p. 131).
language. The most egregious example of this is John Nei-
The vision quest is a common American Indian ceremo-
hard’s poetic and romanticized interpretation of Lakota elder
nial tradition that is or was practiced in nearly every tribal
Nicholas Black Elk’s words in Black Elk Speaks. The work
community. Indeed, Ruth Benedict, an early ethnographer,
is based on Neihard’s daughter’s stenographic notes of Ben
could claim that the vision was the single unifying factor in
Black Elk’s relatively naive boarding-school English transla-
all North American Indian religious experience. While the
tion of his father Nicholas’s sophisticated and abstract La-
ceremony varied from community to community and ac-
kota spoken narrative, a sophistication that is inexorably
cording to the particularity of the occasion, Benedict is essen-
stripped away on its path toward the English printed version.
tially correct in claiming that it was, and is, structurally and
Perhaps the most significant shortcoming of the profes-
functionally similar across all these communities, even as she
sional literature is its proclivity, from the late nineteenth cen-
distinguishes characteristics unique to the Plains. In every
tury to the present, to treat all Native American cultural phe-
case, these were intense occasions of personal retreat from
nomena, including the vision quest, as historical artifacts that
human community, of intentional self-deprivation, and of
have no place in contemporary American Indian societies.
prayer.
The more recent academic treatments almost universally base
A number of consistent factors tie these phenomena to-
their interpretations on these older nineteenth- and early-
gether. In almost every case the faster is separated from the
twentieth-century ethnographic texts, treating them as if
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9610
VISION QUEST
they actually represented a “textus receptus,” an absolutely
A short word must be added with respect to the great
authoritative text, with regard to Native religious traditions.
appeal of this particular ceremony to non-Native adherents
of New Age movements and practices. The vision quest is
While many early ethnographers included interpretive
traditionally a ceremonial act performed by a single person
commentaries about visions and the vision quest, there is
in isolation, but always as a part of a particular community
only one important recent interpretation, in Lee Irwin’s The
and acting for the good of the whole. Given that personal
Dream Seekers: Native American Visionary Traditions of the
power and assistance is sought from the Mysteries for the ul-
Great Plains. Unfortunately Irwin’s book, for all of its inno-
timate benefit of the whole community, when a non-Native
vative insight, falls into the pattern just described. It is not
New York City resident flies off to South Dakota, for in-
an analysis of new data but merely rehashes the old ethnogra-
stance, to perform the rite of vigil on a Lakota reservation
phies, presupposing their authority and veracity, but this
under the guidance of a Lakota spiritual leader, one must
time using modern psychiatric and neurological investiga-
wonder what close community of political and spiritual exis-
tions of human dreaming as an interpretive device for under-
tence has made such rigorous claims on this person’s spiritual
standing the vision as a sleep-state experience. This leads
strength and why he or she has chosen to make the rite so
Irwin to place the Plains visionary experience under the more
far away from his or her community of residence. From a
general category of dreaming. It should be clearly empha-
Native American perspective, this particular performance of
sized here that the vision as experienced in American Indian
the rite has little or no meaning, and thus it must be invested
communities is not invariably, nor even usually, a sleep-state
with an entirely new and non-Native meaning. Thus, while
phenomenon, but is often experienced while one is awake.
non-Native rites that are modeled after American Indian vi-
It is a common theme in the professional literature to
sion quests may provide a response to various spiritual urges
see the vision quest as definitive evidence of the radical indi-
and needs, and may correlate well with a Euro-American
vidualism of Plains Native people. Nothing could be further
sense of individualism, ritual practices of that sort bear faint
from reality; in fact just the opposite is true. There is always
resemblance to the vision quests undertaken in Native com-
a symbiotic relationship between the person engaging in the
munities.
fast and the community to which she or he belongs, even
On the other hand, the vision quest, with its resultant
though the ceremony involves the deeply personal sacrifice
access to vision experiences, was and is an egalitarian and
of rigorous fasting and prayer over several days. The vision
democratic phenomenon in American Indian communities.
itself certainly is a deeply personal experience, and the learn-
That is, against Albers and Parker (1971), it is a rite that is
ing that comes from the experience affects the life of that one
available to every member of a Native tribal community and
person directly. The effort expended in such serious fasting
was never reserved only for an elite few, such as medicine
(total abstinence from food and liquid) is obviously a person-
people or other spiritual leaders, even though certain kinds
al commitment and a personal trial. Moreover, the adult
of medicine power do seem to run in families for a variety
faster may have decided on the undertaking either by person-
of reasons. Indeed, in many tribal communities it was com-
al direction from the spirit world or because of some personal
mon practice to require every adolescent male to make this
crisis. Or the person may have made an entirely voluntary
rite of vigil as a rite of passage from childhood to adulthood.
choice to engage in the ceremony as a distinct personal mo-
Georges Sioui, among others, correctly notes that the vision
ment to engage in prayer and to seek some spiritual commu-
quest might be required of males but was always equally
nication that might provide that person’s life with meaning,
available to females, for whom the exercise would not be
direction, and even personal spiritual power. Yet in each case
mandatory simply because of the privileged status of women
the person undertaking the ceremony understands the bene-
in most Native tribal communities.
fits that also accrue to the communal whole. Whatever per-
sonal power the faster may gain is ultimately intended to
Historically then, all males in many Native American
serve the interests of the community.
communities would have made a vision quest as a rite of pas-
sage before entering into adult responsibilities and possibly
One quintessential sign of the communal nature of the
community leadership of any kind. Recognized spiritual
vision quest is the common practice in Lakota and other
leaders, on the other hand, would all have engaged in at least
communities for the people to greet the faster with a hand-
one vigil of some length during which they would have re-
shake and a thank-you for the faster’s accomplishment as she
ceived a vision that communicated their specific medicine
or he completes the ceremony. In a typical vision quest,
power, a situation that continues in the present. Moreover,
moreover, the community or some part of the community
they would usually engage in repeated exercises of the vigil
participates in preparing the person to engage in the ceremo-
(today this is sometimes done annually), even if for much
ny. There may be teachings that need to be shared and even
shorter durations. While this may also be true of other com-
preliminary ceremonies that have to be performed. Then
munity members who do not receive such medicine visions,
through the duration of the fast the community will con-
the substantial difference in the visioning of these recognized
stantly be conscious of and in prayer for the one who is actu-
healers is their more open line of communication with those
ally performing the ceremony in isolation.
spirit beings who have selected them as interpreters. Thus,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VISIONS
9611
the annual vigil might be an occasion for some new spirit
ence suggests that the content of the perception is real, a di-
being to introduce itself to the healer and offer a different
rect, unmediated contact with a nonordinary aspect of reality
sort of spiritual power not previously accessible to that heal-
that is external and independent of the perceiver. “[Vision]
er. This increases the healer’s personal repertoire of power to
is very real,” says Lame Deer, a medicine man of the Sioux
help the community.
nation. “It hits you sharp and clear like an electric shock. You
At the same time, there is no sense of class stratification
are wide awake and, suddenly, there is a person standing next
embedded in the vision experience, as some contemporary
to you who you know can’t be there at all” (Lame Deer, Seek-
interpreters with a Marxist orientation would suggest. Heal-
er of Visions, New York, 1972, p. 65).
ers would have been supported historically by the rest of a
The explanation that visions are due to imaginings,
community because of their inherent practical usefulness to
pseudoperception, or errors of perception is an expression of
the community, and community gifts served to free them
the cultural difference between the visionary and the present-
from the pressures of subsistence hunting and the like. Be-
day Western psychologist in their views concerning the na-
coming a political leader was not predicated on access to vi-
ture of reality, a topic that would stray too far afield here.
sion power. On the other hand, leadership in Native Ameri-
But a stand should be taken against those psychiatrists who
can communities was spread in such diffuse ways through
clinically equate vision with hallucination. In hallucination
the community that different sorts of leadership were exer-
the content of what is reported is something to which noth-
cised by a variety of people at any given time. And it needs
ing real corresponds; it is a delusion. For the health profes-
to be said clearly that questing for a vision was a very egalitar-
sional the presence of delusions is a sign of insanity, and in
ian phenomenon, something that was available to every
an application of the so-called pathology model of religious
person.
experience, visionaries are classified as mentally ill—a diag-
This ceremony continues today in many American Indi-
nosis often imputed to shamans. Yet in clinically healthy
an communities and continues in forms that are consistent
subjects visions dissolve spontaneously (as will be seen
with the historical practice of the rite in these communities.
below), and, what is even more important for the institution-
alization of the visionary experience, they can be induced and
B
terminated ritually. This cannot be said of the hallucinations
IBLIOGRAPHY
Albers, Patricia, and Seymour S. Parker. “The Plains Vision Expe-
that are associated with insanity. Furthermore, one should
rience: A Study of Power and Privilege.” Southwestern Journal
be wary when encountering references to dreams in religious
of Anthropology 27, no. 3 (1971): 203–233.
contexts. Semantically, the English word dream includes the
Benedict, Ruth. “The Vision in Plains Culture.” American Anthro-
notion that its content does not represent anything real.
pologist 24, no. 1 (1922): 1–23.
Non-Westerners, however, often set in opposition a dream
category that is taken to be “real” or “valid” with one that
Benedict, Ruth. The Concept of the Guardian Spirit in North Amer-
is considered “ordinary.” The latter category includes fleet-
ica. Menasha, Wis., 1923.
ing, or “invalid,” dreams. The dreams referred to in such re-
Fletcher, Alice, and Francis La Flesche. The Omaha Tribe (1911).
marks as “Old Spotted Wolf had a painted lodge, which he
Lincoln, Neb., 1992.
was advised to make by the buffalo, in a dream” (George B.
Harrod, Howard. Renewing the World: Plains Indian Religion and
Grinnell, The Cheyenne Indians, vol. 1, 1972, p. 234), the
Morality. Tucson, Ariz., 1987.
dreams known from shamanistic traditions of flying, initia-
Horse Capture, George, editor. The Seven Visions of Bull Lodge,
tion, and dismemberment, and even the many revelatory
as Told by His Daughter, Garter Snake. Gathered by Fred P.
dreams of the Hebrew scriptures (Old Testament) should all
Gone. Lincoln, Neb., 1980.
properly be considered visions.
Irwin, Lee. Dream Seekers: Native American Visionary Traditions
of the Great Plains. Norman, Okla., 1994.
VISIONARY EXPERIENCE. Contrary to commonly held West-
ern views, having a vision is not a singular or rare event. The
Johnston, Basil H. Ojibway Ceremonies. Toronto, 1987. Written
father of this Western misconception is once more Thomas
by a member of the Ojibwe tribe.
Aquinas, who held that the human world and the sacred
Sioui, Georges E. For an Amerindian Autohistory: An Essay on the
realm are separated by a wide chasm. A report of a vision was
Foundations of a Social Ethic. Translated by Sheila Fischman.
therefore indicative of a rare event, something that could take
Montreal, 1992. Written by a member of the Wendot tribe.
place only under extraordinary circumstances. In reality, vi-
TINK TINKER (2005)
sions are known to all societies, and their use in ritual is wide-
spread.
When a type of behavior thus crosses boundaries, irre-
VISIONS. Usage of the term vision goes back to the thir-
spective of ethnic or religious divisions, one may have to look
teenth-century Italian theologian Thomas Aquinas, who first
to physical rather than cultural reasons. After all, human be-
used the word to refer to a “supernatural” manifestation. It
ings constitute one species only. Humans all have the same
describes a religious experience that involves seeing and, fre-
kind of body, the same nervous system. And, indeed, count-
quently, the other senses as well. The quality of the experi-
less reports and modern field observations by anthropologists
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9612
VISIONS
indicate that, when a person has a vision, certain physical
this happens, as this writer found during fieldwork observa-
changes occur. In what is popularly called a trance, the pupils
tions of a millenarian movement in the Yucatán, in Mexico,
may widen, muscles become rigid, and breathing seem shal-
a regular pattern will assert itself, which, if experienced in its
low. Some visionaries will fall into what appears to be a deep
entirety, will take about thirty-five or forty days. The trance
sleep or even a dead faint. In such a trance, as Barbara W.
episode is apparently most intense at the beginning, and
Lex, a medical anthropologist, maintains, two opposing
what is seen by participants during this time typically is
arousals of the nervous system are experienced. Their alter-
white. The man who started the Yucatán millenarian move-
nating action produces relaxation, and this accounts for the
ment initially saw white demons. A woman from another ap-
trance’s beneficial effect. Simultaneously, the brain synthe-
ostolic congregation in the same area saw “white angels on
sizes β-endorphins (the body’s own painkillers), as this writer
white horses galloping by, carrying white flags, very, very
learned in a study in which the trance experience was in-
white.” From the New Testament it is known that when the
duced in a religiously neutral environment. (See Ingrid Mül-
women went to Jesus’ tomb, whatever they saw there—an
ler’s M. D. dissertation, University of Freiburg im Breisgau.)
angel, two angels, two men, or one young man—the vision
These endorphins are thought to be responsible on the bio-
was bathed in dazzling light, white as snow. The initial vision
logical level for the joy, euphoria, and “sweetness” that are
of Kotama, the founder of Su¯kyo¯ Mahikari, one of the “new
often reported in the visions of Christian mystics. As this
religions” of Japan, was of a white-haired old man standing
writer learned from fieldwork, these physiological changes
in a white cloud. The next phase of the trance is characterized
must be produced before the visions can occur. In some mys-
by a gold or orange glow: The Yucatecan apostolic saw burn-
terious way, then, the body becomes a perceiving organ for
ing candles; Kotama’s old man was washing clothes in a gol-
the sacred dimension of reality.
den tub. Finally, there is a “double” vision, with ordinary
This manner of viewing the visionary event runs count-
and nonordinary perception overlapping. The Yucatecan
er to another cherished notion inherited from the Middle
went to the cathedral in Mérida and saw a procession of
Ages, namely that humans are dualistic in nature, consisting
priests whose heads were those of demons. The woman from
of a body and a separate soul. Rather, it seems to modern
the other apostolic congregation saw a big Bible fastened
science that human beings are biopsychological systems. This
above the entrance to the hospital where she was taken. The
view echoes ideas put forth by Galen, a Greek physician of
prophet Muh:ammad watched the angel Gabriel astride the
the second century
horizon, and no matter which way he turned, the angel was
CE, who contended that mind and matter
are different aspects of the same stuff. In other words, not
always there on the horizon. The widely reported voices are
the soul but the entire human being is having the vision.
probably also part of this last phase in many instances, as an-
other superimposition of a visionary (i.e., auditory) percep-
The ritual trance, or ecstasy, as an altered state of con-
tion on the ordinary environment. Kotama’s episode, for in-
sciousness, is responsible for even basic perceptions of a non-
stance, concluded with a voice telling him his new name and
ordinary quality. “Hearing” voices is not plain hearing.
giving him instructions. Eventually the vision dissolves, leav-
Those who experience voices can readily distinguish them
ing only ordinary reality as the perceptual field.
from ordinary speech. “I do not hear it in so many words,”
explained a German university student who reported being
Not everyone goes through the entire visionary se-
possessed by demons and hearing Jesus and Mary speaking
quence. It is possible to stray into it anywhere along the way.
to her; “I am given to know.” (See Felicitas D. Goodman,
But whether complete or not, its extraordinary and impres-
The Exorcism of Anneliese Michel, New York, 1981.) “Seeing”
sive character can result in a conversion experience for the
also takes place on a different level. As a blind !Kung San ex-
visionary and if the social configuration is right, religious in-
plained, the great god kept his eyeballs for him in a little
novation follows. According to legend, the Buddha’s enlight-
pouch, giving them to him only during the medicine dance;
enment came at daybreak after a sequence of visions in which
and when the dance was over, he had to return them to the
he saw first all his own rebirths, then other beings dying and
god. That is, he could see only while in trance. A changed
passing into the five destinies of existence, and finally the
quality is also reported during experience with an incubus—
chain that bound all beings to continued, recurrent death
that is, when a spirit has sexual intercourse with a human
and rebirth. Muh:ammad’s prophethood was heralded by a
being. In classical Greek tradition such sexual contact might
complete visionary sequence. First he experienced “true vi-
make a diviner out of a woman, as happened when Apollo
sions” resembling the brightness of daybreak. Several days
“raped” Cassandra. The Inquisition endlessly quizzed
later the angel Gabriel came to him with a coverlet of bro-
women accused of witchcraft concerning intercourse with
cade (gold?) with some writing on it and commanded him
Satan. When given the chance, these women testified that
to read it. Still later, Muh:ammad beheld Gabriel on the hori-
this was not like making love in ordinary reality.
zon. A hundred years ago Wovoka, the Ghost Dance messi-
ah, told of his vision that, “when the sun died, I went up to
Under certain circumstances, about which very little is
heaven and saw God and all the people that had died a long
known, clinically healthy human beings may inadvertently
time ago. God told me to come back and tell my people they
create the necessary biopsychological preconditions for a vi-
must be good and love one another, and not fight, or steal,
sionary experience—that is, they may “stray” into it. When
or lie. He gave me this dance to give to my people.” And in
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VISIONS
9613
this century, the cargo cults of Melanesia have been charac-
ther’s spirit threatened to kill her if she continued to resist.
terized by spontaneously occurring visions. Leaders of vari-
Her mother thereupon took her to the house of an aunt who
ous cults have told of hearing voices, seeing lights, and meet-
was also a sangoma. There Dorca sang the spirit song and
ing native gods and fairylike beings of the forests and waters.
danced for many hours. This was the beginning of her train-
They have spoken, too, of journeys to heaven (an idea bor-
ing as a sangoma.
rowed from Westerners) and of visits to the Hiyoyoa, their
In most non-Western societies, visions are an integral
own otherworld.
part of religious ritual. As Lame Deer says, “By themselves
While these spontaneous episodes of visionary experi-
these things [rituals] mean nothing. Without the vision and
ence dissolve without the aid of ritual, there is another class
the power this learning will do no good” (1972, p. 13). It
of vision in which this is not the case. This is the so-called
is understandable, therefore, that such societies cannot rely
shamanistic illness, reported predominantly in Asia but also
on the fortuitous occurrence of visionary experiences but
in Africa, North America, and, sporadically, other areas as
need ways for inducing them.
well. Medical anthropologists suspect that in some instances
Many strategies for inducing visions utilize rhythmic
the triggering mechanism may be biochemical, for example,
stimulation. Inuit (Eskimo) ritual specialists use drums, as
resulting from a socially prescribed change in nutrition, but
do various Siberian shamans, for whom the drum represents
such causes cannot often be pinpointed. Its onset is variously
the magic horse on which they ride to the beyond. Such
signaled by high fever, swelling of either the limbs or the en-
stimulation is so effective that by merely shaking a gourd rat-
tire body, prolonged unconsciousness, and inability to eat;
tle and using traditional postures, a visionary experience can
at times, there is also an indomitable urge to flee into the wil-
be induced in volunteers in a religiously neutral environ-
derness. These changes are preceded, accompanied, or fol-
ment. (See this writer’s article “Body Posture and the Reli-
lowed by visions. The condition, which may linger for years,
gious Altered State of Consciousness: An Experimental In-
is classed not only as an illness but also as a sign that the suf-
vestigation,” Journal of Humanistic Psychology, 1984.) Other
ferer is destined, singled out by an agency of the sacred ranges
methods involve sensory deprivation, as used by the Shakers
of reality, for a future as a religious specialist. Cure is effected
and by the Spiritual Baptists of Saint Vincent Island in their
by a ritual that is usually initiatory in nature.
mourning ritual; isolation and fasting, as practiced by the
One example among many comes from the German et-
Oglala Indians and other societies; and fasting and self-
hnographer Peter Snoy. In his book Bagrot (Graz, 1975),
mortification, as in the initiation ritual of the Plains Indians,
Snoy tells of a Yeshkun shaman from the Karakoram Moun-
during which adolescents seeking a vision would fast, bathe
tains (part of the Himalayan system). When this man was
in icy streams, and crawl naked over jagged rocks in order
about twenty he was walking home one day when suddenly
to acquire a guardian spirit. Christian mystics employed sim-
he saw five fairies dancing in the fields. They did not talk
ilar strategies. The German monk Suso (Heinrich Süse,
to him, but the next day he had the unconquerable urge to
c. 1295–1366), for instance, was able to achieve several vi-
run away into the mountains to join them. He started raging,
sions daily for a period of about sixteen years by fasting ex-
and five men finally managed to tie him up. He was kept tied
tensively and by sleeping in a tight undergarment through
up in his house for a whole year, and the fairies visited him
which nails protruded into his skin.
several times each day, descending through the smoke hole
Even intense concentration in combination with noth-
and singing and dancing for him. Eventually, the man’s vil-
ing more than certain breathing techniques may bring about
lage arranged an initiation feast for him. A goat was sacri-
visions, as has been learned from the Chinese Daoist philoso-
ficed, and he drank its blood, which the fairies told him was
pher and mystic Zhuangzi (369–286? BCE). Zhuangzi told
milk. And for the first time he danced, performing what is
of a master called Ciqi, who “sat leaning on his armrest, star-
in his society an important part of shamanistic séances. Sub-
ing up at the sky and breathing—vacant and far away.” The
sequently, the man worked as a healer and diviner.
changes wrought in him were striking to his companion,
who asked, “What is this? Can you really make the body like
Reporting from Africa, the British social anthropologist
a withered tree and the mind like ashes? The man leaning
Adrian Boshier, in “African Apprenticeship” (in Parapsychol-
on the armrest now is not the one who leaned on it before”
ogy and Anthropology, New York, 1974), tells the story of
(quoted in Poetry and Speculation of the Rg Veda by Willard
Dorca, a Zulu sangoma, that is, a diviner and healer. For
Johnson, Berkeley, 1980, p. xxvii). Ciqi explained that by
three years, Dorca was sick in bed. During this time her spirit
virtue of this change he was able to hear the piping of the
left her body every night, and she saw many things and visit-
earth and the piping of the heavens.
ed places where she had never been. One night in a vision
her dead grandfather came to see her. He told her that he
Other societies employ a number of different psychedel-
liked her very much and that his spirit would enter her body
ics to achieve visions. The use of such drugs goes back to an-
so that she would be able to help her people. She refused,
tiquity and is widely distributed geographically. Mushrooms
but spirit sangomas came to her every night, showed her
such as the fly agaric (Amanita muscaria) were probably
beads and herbs and a feather headdress she was to make, and
known to Mesolithic Paleosiberians (about 8000 BCE). Me-
sang her a song that she was to learn. Finally her grandfa-
soamerica and South America are particularly rich in plants
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9614
VISIONS
that contain the requisite alkaloids, and many societies there
during a medicine dance, and they need to be invited to take
utilize them ritually. But there are also reports of their reli-
part. An individual spirit of a dead loved one may appear to
gious application from every other continent. At first glance,
teach a man or a woman a new song, game, or ritual. A mur-
the use of psychedelics seems to represent an easy way of
derer’s essence may loiter at the tomb of his victim, and be-
achieving visions, and for this reason many North American
ings of curious shape may warn the living of danger. If they
Indians reject them. As Lame Deer said contemptuously,
penetrate someone’s body, they make him ill by leaving be-
“Even the butcher boy at his meat counter will have a vision
hind a bone, visible to the healer, who will remove it in a
after eating peyote” (1972, p. 64). Actually, though, matters
curing ritual by sucking it out. People also tell of seeing
are not quite that simple. Many of the substances bring about
strange neighbors, such as the “no-knees” of the San, beings
an undifferentiated condition of intoxication, and seeing the
who catch the sun as it sets and kill it. After the sun has been
right vision requires training. Thus Gerardo Reichel-
cooked, the no-knees eat it and throw its shoulder blade to
Dolmatoff, in his book Amazonian Cosmos (Chicago, 1971),
the east, where it rises once more.
discusses the use of Banisteriopsis caapi by the Desana Indians
of South America. He tells that during intoxication, the De-
The most spectacular institutionalized visionary experi-
sana religious specialist needs to learn to see the Milky Way
ence of hunter-gatherers, however, is the spirit journey, a
as a road, the hills and pools as communal houses of the spir-
perfect expression of the hunter’s life way, in which individu-
its, and the animals as people. Those who are unable to go
al initiative is of paramount importance. The Pygmies em-
so far in their visions see only clouds and stones, “and the
bark on this journey by “crossing a river.” On the “other
birds laugh at them.” In another instance reported by Rei-
side,” they may visit the realm of the spirits of the dead,
chel-Dolmatoff, during a communal rite of the same society,
where everything is reversed but still as orderly as is earthly
the men take the drug, and the priest, who has abstained,
existence. For the !Kung San of the Kalahari Desert the great
talks them through their visions.
god used to let down a cord from the sky by which he al-
lowed the medicine man to climb up to visit him. Nowadays,
FORMS OF VISIONS AND TYPES OF SOCIETY. It appears that,
however, during the medicine dance, medicine men send
cross-culturally, the neurophysiology of visionary experience
their spirits out to fly into the veld while their bodies lie life-
remains the same. Neither does the form in which it is ex-
less, for there is nothing to hold them up. They might see
pressed vary much, if one contemplates only the religions of
the spirits of the dead there, or the great god, or perhaps they
a particular type of society, of agriculturalists, for instance.
go because they need to order a lion to stop disturbing people
However, salient differences appear when comparing the re-
by roaring at night. An Australian medicine man takes a pos-
ligious expression of one societal type with that of another,
tulant up to the sky by assuming the form of a skeleton and
that of agriculturalists, for example, with that of hunters.
fastening a pouch to himself into which he places the postu-
There are, of course, syncretic patterns, for societies change,
lant, who is reduced to the size of a very small child. Sitting
and so do their religions. But it is still possible to recognize
astride a rainbow, the medicine man pulls himself up with
certain fundamental forms.
an arm-over-arm action. When near the top, he throws the
(In the following passages, the “ethnographic present”
young man out onto the sky as part of his initiation. An Inuit
is used in giving examples from non-Western societies, al-
shaman will swim muscle-naked through rock to the under-
though in many instances the rituals mentioned have fallen
world in order to seek out Tornassuq, the earth spirit, and
victim to Western conquest and aggressive missionizing.)
inquire of him the reasons for recent misfortunes of his band.
Other spirit journeys, as told of by North American Indians,
Visions of hunter-gatherers. The way of life of the
are undertaken to recover a lost soul, whose absence makes
hunter-gatherer is the most ancient and venerable of all
its owner sick.
human adaptations. Humans’ antecedents were hunters and
gatherers for a million years or more before any cultivation
Visionary experiences serve many important functions
of the soil was introduced. In such societies that are still ex-
within hunter-gatherer society. On the individual level, a vi-
tant, visionary experiences are varied, involving a highly so-
sion bestows well-being and strength as well as power to
phisticated use of religious trance. Hunter-gatherers under-
speak impressively, to cure and to divine, and to protect the
stand the ordinary and the nonordinary aspects of reality to
group against danger from the outside. For the community,
be closely intertwined, indeed to coexist in time and space,
visions are a part of many rituals. A spirit journey, for exam-
as one Pygmy elder from the Ituri rain forest expressed it. All
ple, is an important communal event. When an Inuit sha-
adult men can easily switch from seeing ordinary reality to
man starts out on his trip, the entire village is present, and
seeing its nonordinary aspect, having learned to do so early
all are there when he comes back to tell of his adventures.
on, usually during initiation rites. In the sacred range a man
Among the Salish, a tribe of North American Indians, the
can see the “spirits,” that is, the nonordinary aspects of
dramatization of the journey in a spirit canoe in quest of a
stones, mountains, waters, and winds, of plants, insects, and
lost soul is a most impressive performance. What was per-
animals. He sees the spirits of the unborn, one of which he
ceived in a vision is represented on cave walls, or on rocks,
has to take to his wife before she bears his child. The spirits
painted on bark, or carved in bone for all to see. For a while,
of the dead gather around when a feast is being prepared or
such innovative iconography will be confined to the originat-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VISIONS
9615
ing group, but unencumbered by written tradition, it even-
pastoralist societies arose as extensions of agriculturalist so-
tually diffuses to neighboring bands and even to the wider
cieties, and still others developed in which only the men are
cultural area, continually reinvigorating religious life.
pastoralists, while the women cultivate the soil. The vision-
ary experiences of nomadic pastoralists correlate with the dif-
Visions of horticulturalists. About ten to twelve thou-
ferences in their origins.
sand years ago human beings began growing some of their
own food instead of merely collecting it. The areas cultivated
Among reindeer herders, for instance, such as the
were no more than gardens, hence the name horticulturalist.
Evenki of northern Siberia, the hunter’s richly appointed sa-
Horticulturalists also continued hunting, some extensively,
cred dimension is still preserved, although it is accessible only
others less so, depending on the ecology of their respective
to the shaman. In his visions, the shaman constructs the
region. While European tradition retains no memory of the
fence that surrounds his clan’s territory and protects it
hunter-gatherer past, the horticulturalist way of life is reflect-
against enemy shamans. He communicates with the ruling
ed in recorded history. What is known of the Celtic, Ger-
spirits, the “masters” of waters, mountains, forests, and spe-
manic, and Greek societies clearly indicates their horticultur-
cies of beasts. In his spirit journeys he guides departing souls
alist character. Societies of this type survive in Southeast Asia
to the lower world, at which time he must ask the mistress
and, especially, in Mesoamerica and South America. Their
of that world for permission for the soul to enter. He also
members’ visions have much in common with those of hunt-
travels to the upper world, where he calls on Grandfather
er-gatherers, but not all horticulturalists learn the behavior.
Spirit and the supreme spirit ruler of all animal and plant life
Instead, there is a more or less pronounced tendency for reli-
as well as on the spirits of the sun, moon, stars, thunder,
gious specialists to assume the spiritual role that is performed
clouds, sunset, and daybreak. He even knows the way to the
by all male hunter-gatherers.
storehouse of the unborn, which is guarded by Bear. In addi-
tion, he masters the art of the vicarious spirit journey by
The spirit journey of the hunter-gatherer has undergone
swallowing his helping spirits and then sending them out to
significant permutations in various horticulturalist societies.
hunt down a disease spirit or fight an enemy shaman. He is
Their legends tell of full-fledged spirit journeys like those of
healer and diviner, and the marvelous ritual dramas of his
the hunter-gatherers: of the Teutonic god Óðinn (Odin)
visions were, until their destruction by Soviet authorities, at
who travels the earth, of a famous medicine man of the South
the heart of his society’s social life.
American Guaraní who calls on First Woman in her maize
garden in the mythical East. But horticulturalists cannot ex-
Traditions die hard, however. The Hungarian horse no-
plore such distant ranges with impunity. Just as Orpheus
mads have been cut off from their own cultural area in Inner
cannot retrieve Eurydice from the underworld, no Amazo-
Asia for over a millennium. By the year 1000 they had been
nian Akwe-Shavante can ever visit the village of the spirits
converted to Roman Catholicism, and their economy
of the dead, although some have had offers from the spirits
changed radically. Yet to this day they retain a clandestine
of friendly departed relatives to take them there. Instead,
shamanistic tradition, with one táltos (shaman) fighting the
horticulturalists undertake a lesser experience, an actual jour-
other in visionary battles, and with “women of knowledge”
ney that culminates in the desired vision. Initiates of the El-
who are able to see the spirits of the dead.
eusinian mysteries of ancient Greece descended into caves;
In passing to a discussion of nomadic-pastoralist socie-
the Huichol Indians of Mexico travel over land in search of
ties with important ties to agriculture, this article leaves the
peyote; adherents of Shinto climb Mount Fuji. Even the
visionary world of the hunters entirely behind. The Nilotic
North American Indians’ vision quest and their search for
Dodoth, for instance, whose women garden while the men
the guardian spirit is of this nature. The spirit journey may
tend the cattle—a pattern found only in Africa—have but
also be entirely vicarious, as when the Brazilian Yanomamö
one god. This god is so remote and vague that little is known
Indians send their friends, the miniature hekura spirits who
about him. He communicates with humans by such messen-
live under stones and in mountains, to enemy villages to eat
gers as shooting stars, and no shaman ever visits him, al-
the souls of the children there. (See Napoleon A. Changnon,
though his worshipers send him sacrificial oxen. The most
Yanomamö: The Fierce People, New York, 1977.) Visions are
important ritual specialist among the Dodoth is the diviner,
given shape in paintings on rock and in carvings, embroi-
whose oracles have a literal quality: “[Lomotin] would see it
dery, and clay. They invest the practitioner not only with
raining in a dream, then see a red ox being sacrificed and he
personal stature but also with power that leads to success in
would know, when he awoke, that the sacrifice of such an
curing, hunting, and war, all in the service of the com-
ox would bring rain. He was uncannily right” (Elizabeth
munity.
Marshall Thomas, Warrior Herdsmen, New York, 1965,
p. 173).
Visions of nomadic pastoralists. Nomadic-pastoralist
societies appear in a number of different adaptations. Some
For the Tuareg, nomads of the Sahara and nominally
such societies arose from hunters who had attached them-
Islamic, God (Alla¯h) is equally a distant overseer, who sends
selves to wild herds of animals, such as reindeer, or from
the spirits of Islamic saints as messengers, or angels, who are
hunters who had acquired pet animals, such as horses, which
often identified with lightning. In a faint outline of pre-
had expanded into domesticated herds. Other nomadic-
Islamic religion, Tuareg men have dealings with spirits called
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9616
VISIONS
kel asouf, which attach themselves to their hair, help them
a vision that he was being conducted to a choir, where the
divine, and are seen doing battle with each other.
mass was being sung. A large number of the heavenly host
The messenger complex is reminiscent of Judeo-
was present in that choir, sent by God, where they were to
Christian tradition, and, indeed, both Judaism and Islam
sing a sweet melody of heavenly sound. This they did, and
have their roots in nomadic pastoralism. Angels as messen-
they sang a new and joyous melody that he had never heard
gers abound in both the Hebrew scriptures and the New Tes-
before, and it was so very sweet that it seemed to him that
tament, from the one that spoke to Hagar, the mother of Ish-
his soul would dissolve for great joy” (Briefbüchlein, transla-
mael, to the heavenly host who announced the birth of Jesus
tion by this writer). The mystics soon found themselves in
and the white-haired angel wearing a golden girdle who ap-
opposition to orthodoxy in all three monotheistic traditions,
peared to John according to the Book of Revelation.
and within the century both Franciscans and S:u¯f¯ıs were
Muh:ammad’s numerous contacts with the angel Gabriel
being executed for blasphemy. The pagan traditions of popu-
have been mentioned before.
lar culture, with its legends of a wild huntsman and witches’
sabbaths, deteriorated without institutionalization or sup-
Spirit journeys are reported both of Moses and of
port from the larger society, eventually to be wiped out by
Muh:ammad, with the former, for instance, going up Mount
the Inquisition.
Sinai and there encountering God, and the latter rising
through the night, ascending to heaven, and conversing with
Visions of agriculturalists. As humans turn to tilling
God. Traces of these journeys are even contained in the New
ever larger open fields and to the consuming task of exerting
Testament, as in Matthew 4:1–3: “Then Jesus was led into
control over their habitat, the institutionalization of the vi-
the desert by the Spirit to be tempted by the devil. And he
sionary experience disappears entirely, and even spontaneous
fasted forty days and forty nights and afterwards he was hun-
occurrence is suppressed because of its perceived threat to the
gry. And the tempter came to him.”
written tradition. It is difficult, for instance, to gain recogni-
The spirit journey was later taken up by the Islamic S:u¯f¯ı
tion for a new shrine from the Vatican authorities, because
mystics. The first one of these to give a personal account of
claims of “genuine” visions are rarely credited. The predomi-
such experiences was Najm al-D¯ın (c. 1145–1223), the fa-
nant experience in the religions of large agricultural societies,
mous mystic and teacher of the city of Khorezm, an impor-
such as Chinese popular religion, Christianity, and Hindu-
tant center of learning at the time. Among the many mystic
ism, is instead spirit possession.
experiences he reported are visions of Muh:ammad as well as
The urban adaptation. The situation in modern urban
numerous spirit journeys. (See Die fawa¯ Dih al-g˘ama¯l wa
centers is similar to that in agriculturalist religions. Large
fawa¯tih: al-g˘alal des Nag˘mudd¯ın al-Kubra¯, translated by Fritz
urban movements such as pentecostalism or Umbanda, an
Meier, Wiesbaden, 1957.) Kubra¯’s spirit journeys were not
Afro-Brazilian healing cult, as well as some Japanese “new re-
metaphorical but were entirely real to him. He experienced
ligions,” rely on possession. If visions occur at all, they usual-
the sensations of being lifted off the ground into the air, of
being borne aloft by angels, and of flying. It was not his body
ly come about outside the religious context, as was the case
that flew but “he himself, his heart or holy spirit, which
with the near-death experiences investigated by the physician
leaves the body through a hole on the right side, opened by
Raymond A. Moody, Jr.
the formula of contemplating God.” Once in heaven, he en-
In general, it seems that as human beings develop vari-
countered God’s properties at various locations, and while
ous adaptations to their habitat beyond that of hunting and
passing them he incorporated them into his being. Kubra¯,
gathering, the frequency and rich variety of visionary experi-
who traveled widely and who carried Classical Greek and
ence in their world begins to diminish. Indeed, this reduc-
medieval Christian ideas back with him to Inner Asia, no
tion appears to be in inverse proportion to their control over
doubt also knew about the Jewish mystics of his time, such
the habitat, for as control over ordinary reality increases, the
as Mosheh ben Nah:man (Nahmanides) and perhaps also of
grasp on the sacred dimension as it is expressed in visions
the Italian friar Francis of Assisi.
starts to slip away. In the spirit journey the initiative belongs
By the early thirteenth century, however, mysticism was
to humans; in spirit possession humans are manipulated. Ins-
no longer part of European popular culture but was, rather,
titutionalization of the visionary experience causes it to dis-
an enterprise of the intelligentsia, who induced mystical ex-
solve even faster—in the West, ending with the mystics.
periences for personal enlightenment. In fact, Moses ben
Since the biological capacity described earlier remains intact,
Nah:man was criticized for having made mysticism accessible
however, a resurgence of all modes of ecstasy may be seen
to the masses, because it gave rise to visionaries, who suppos-
as more leisure time becomes available in the postindustrial
edly were followed blindly by the credulous. Thomas Aqui-
era. Tendencies toward such a development are evident in
nas’s premise that visions are a rarely occurring bridge be-
the countercultures of both the United States and Europe.
tween the human and the divine must be seen in this context.
Barely two generations later, Suso warned some nuns not to
SEE ALSO Angels; Cargo Cults; Drums; Hierophany; Im-
attempt any mystic experiences, although he himself had ex-
ages; Psychedelic Drugs; Revelation; Shamanism; Spirit Pos-
tensive visions. Once, while in a faint, “it seemed to him in
session.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VIS:N:U
9617
BIBLIOGRAPHY
Zinser, Hartmut. “Ekstase.” In Handbuch religionswissenschaftli-
A well-written biography of Francis of Assisi incorporating much
cher Grundbegriffe, vol. 2, pp. 253–258. Stuttgart, 1990.
recent research is Adolf Holl’s The Last Christian, translated
Stuttgart, 1990.
by Peter Heinegg (Garden City, N. Y., 1980). The Complete
Sogni, visioni e profezie nell’antico cristianesimo edited by the Insti-
Works of Saint Teresa of Jesus, 3 vols., translated and edited
tutum Patristicum augustinianum. Rome, 1989. Dreams, vi-
by E. Allison Peers (New York, 1946), contains illuminating
sions and prophecies in early Christianity and Gnosticism.
accounts of the mystic experiences of Teresa of Ávila. In the
section entitled “Interior Castle” she describes her pioneering
FELICITAS D. GOODMAN (1987)
attempt to protect her nuns from the Inquisition by pointing
Revised Bibliography
to illness as a possible cause for visions. Hans Peter Duerr’s
Dreamtime (Oxford, 1984), reviews the prehistory and later
struggles of pagan religion in Europe that involved contact
with the sacred dimension, with special regard to the role of
VIS:N:U. In the age of the R:gveda, India’s oldest religious
women. The footnotes in particular contain a wealth of in-
document (c. 1200–1000 BCE), Vis:n:u must already have
teresting material. An excellent study of Sufism is Annemarie
been a more important divine figure than it would appear
Schimmel’s Mystical Dimensions of Islam (Chapel Hill, N. C.,
from his comparatively infrequent appearances in the texts.
1975).
He is celebrated in a few hymns, of which stanzas 1.22.16–
Carlos Castaneda’s work, especially The Teachings of Don Juan: A
21 came to be a sort of confession of faith, especially among
Yaqui Way of Knowledge (Berkeley, Calif., 1968) and A Sepa-
the Vaikha¯nasa Vais:n:avas, who adapted them for consecrato-
rate Reality: Further Conversations with Don Juan (New York,
ry purposes and for invoking the god’s presence and protec-
1971), whether entirely reliable ethnographically or not, still
tion. These stanzas eulogize the essential feature of the char-
represents a graphic description of the feel of altered states
acter of the Vedic Vis:n:u: namely, his taking, from the very
of consciousness. For an unimpeachably authentic view of
place where the gods promote human interests, three steps,
American Indian visionary experience, Black Elk Speaks
by which he establishes the broad dimensional actuality of
(1961; reprint, Lincoln, Nebr., 1979), as told by the holy
the earthly space in which all beings abide (see also R:gveda
man of the Oglala Lakota through John G. Neihardt, the
1.154.1 and 3, etc.). His highest step is in the realm of heav-
poet laureate of Nebraska, remains unsurpassed. The anthro-
en, beyond mortal ken. Thus, his penetration of the prov-
pologist Michael Harner, in The Way of the Shaman: A Guide
inces of the universe, in accordance with the traditional Indi-
to Power and Healing (New York, 1980), provides instruc-
tions for self-experimentation on the basis of what he learned
an interpretation of the character of the original god as the
in his fieldwork with Indian societies of South America. The
representative of pervasiveness, must be considered a central
interest of the counterculture in such experiments is reviewed
feature in the vast complex of ideas for which the name of
in Tom Pinkson’s study A Quest for Vision (San Francisco,
the early Vis:n:u stood.
1976). A readable collection of case histories of near-death
Vira¯j, the idea of extending far and wide the female
experiences was put together by Raymond A. Moody, Jr., in
Life after Life (New York, 1975).
principle of creation and the hypostasis of the universe con-
ceived as a whole, came to be one of Vis:n:u’s epithets. Being
New Sources
essential to the establishment and maintenance of the cosmos
Amat, Jacqueline. Songes et visions. L’au-delà dans la littérature la-
and beneficial to the interests of humans and gods, his perva-
tine tardive. Paris, 1985.
siveness obtained ample room for the former and divine
Benz, Ernst. Vision und Offenbarung. Gesammelte Swedenborg-
power for the latter. To the sacrificer, who ritually imitates
Aufsätze. Zürich, 1979. Vision as revelation in the experience
Vis:n:u’s three strides and so identifies with him, the god im-
of Swedenborg.
parts the power to conquer the universe and attain “the goal,
the safe foundation, the highest light” (S´atapatha Bra¯hman:a
Casadio, Giovanni. “Patterns of Vision in Some Gnostic Tractates
from Nag Hammadi.” In Actes du IVe Congrès copte, II. De
1.9.3.10). Vis:n:u’s pervasiveness also manifests itself in the
la linguistique au gnosticisme, pp. 395–401. Louvain-la-
central cosmic axis, the pillar of the universe, whose lower
Neuve, Belgium, 1992. Including a selected bibliography on
end is visibly represented by the post erected on the sacrificial
visions in Gnosticism.
ground. This axis reaches the earth in the center or navel of
the universe, putting the cosmic levels into communication
Couliano, Ioan Petru, Expériences de l’extase. Paris, 1984. A typol-
ogy of visionary experiences from Greek antiquity until Mid-
with each other; it thus provides a means of traveling to heav-
dle Ages.
en as well as a canal through which heavenly blessings reach
humanity. In this navel is located the sacrifice with which
Goodman, Felicitas. Ecstasy, Ritual, and Alternate Reality. Bloom-
Vis:n:u is constantly identified.
ington and Indianapolis, Ind., 1988. An theory of religion
based on the study of religious trances and controlled dreams
In the R:gveda Vis:n:u is Indra’s ally and intimate friend.
in a cross-disciplinary perspective.
In the later Vedic Bra¯hman:a literature, two R:gvedic myths
Holm, Nils G. Religious Ecstasy. Stockholm, 1982. A collection of
connected with Vis:n:u, or with Vis:n:u and Indra, are further
essays by Scandinavian scholars tackling visionary experi-
developed so as to become, like two other myths, the seeds
ences in psycho-physiological research and historical case-
of some of the god’s avata¯ras. After Indra slew a boar that
studies from primal cultures to Book religions.
kept the goods of the asuras (antigods), Vis:n:u, (i. e., the sac-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9618
VIS:N:U
rifice) carried the animal off, with the result that the gods
Veda and who, after a battle of many thousands of years, kills
obtained the goods of their enemies. This boar, then identi-
the demons with a body consisting of mantras that represent
fied with the creator god Praja¯pati, is also said to have raised
his ´sakti (superempirical creative power). From this story
up the earth (S´atapatha Bra¯h. 14.1.2.11); in course of time
originates his epithet Madhusu¯dana, or “destroyer of
Vis:n:u fuses with Praja¯pati, and in the Maha¯bha¯rata
Madhu.”
(3.142.56, Bombay ed.) it is he who saves the overcrowded
earth by raising it up. The great fish (S´atapatha Bra¯h. 1.8.1)
Vis:n:u is usually depicted as a four-armed, dark blue
that delivers Manu, the first human, from the deluge appears
young man bearing in his hands a conch (an auspicious ob-
later as a form of Brahma (Maha¯bha¯rata 3.185) and becomes
ject that represents fertility and is supposed to strengthen the
in the postepic Pura¯n:as an avata¯ra of Vis:n:u.
divine powers), a discus (his invincible flaming weapon), a
mace, and a lotus (which, rising from the depths of the wa-
A conglomeration of religious currents contributed to
ters, evidences their life-supporting power). He wears the mi-
the development of post-Vedic Vis:n:uism. In the centuries
raculous jewel Kaustubha (which emerged from the churn-
before the beginning of the common era, Vis:n:u fused with
ing of the ocean). The characteristic curl of hair on his chest
several divine, mythical, and heroic or legendary figures.
is called the ´sr¯ıvatsa (“favorite of the goddess S´r¯ı”), and char-
Among them are (1) the primeval cosmic man (Purus:a), em-
acterizes him as the universal sovereign. These mythological
bodying the idea that creation is the self-limitation of the
attributes are often used as aids to devotion. The mere pres-
transcendent person (R:gveda 10.90), which became the key-
ence of Vis:n:u riding the eagle Garud:a, the theriomorphic
stone of Vais:n:ava philosophy; (2) the creator god Praja¯pati;
manifestation of his nature and energy, suffices, in myth, lit-
(3) Na¯ra¯yan:a, a divine figure featured in the narrative of
erature, and plastic arts, to subdue the demoniac serpents.
three ascetics who do not succeed in beholding him because
this is a privilege of those who follow the path of bhakti
In the post-Vedic period Vis:n:u’s consort is known by
(Maha¯bha¯rata 12.321ff.); and (4) Kr:s:n:a, who in the
two names, S´r¯ı and Laks:m¯ı; originally these were two differ-
Bhagavadg¯ıta¯ (Maha¯bha¯rata 6.23–40) teaches, in human
ent goddesses, the former representing fortune and prosperi-
shape, how to combine a socially normal life with a prospect
ty, the latter being closely connected with the ripe corn. Like
of final liberation. Although the names of these figures, when
Vis:n:u, S´r¯ı-Laks:m¯ı is eternal and omnipresent. Associated in
borne by Vis:n:u, came to represent particular aspects of his
every possible way with the lotus symbol, she is said to have
character and activities, they often also continued to indicate
risen from the ocean to preside over earthly welfare. It is with
the principal persons of sometimes almost independent
the Goddess in such form that Vis:n:u is united in all of his
mythical themes. This plurality of names also helped to over-
incarnations: He, “the husband of S´r¯ı,” is the creator; she,
come incongruities caused by the fact that Vis:n:u is both the
creation; she is the earth, he, its support; he is one with all
supreme being and a deity responsible for particular duties
male beings, she, with all female beings; and so on. In mythi-
and activities: “the only [triune] God, Jana¯rdana [Kr:s:n:a], is
cal imagery, Laks:m¯ı never leaves Vis:n:u’s side. In later Hin-
called Brahma¯, Vis:n:u, and S´iva, accordingly, as he creates,
duism, she is, as Vis:n:u’s ´sakti, the instrumental and material
preserves, or brings to an end” (Vis:n:u Pura¯n:a 1.2.62).
cause of the universe, God himself being the efficient cause.
Indissolubly associated with each other, they constitute the
In the epic period (c. 500 BCE–200 CE) Vis:n:u definitely
personal brahman, also called Laks:m¯ı-Na¯ra¯yan:a. Neverthe-
assumed that aspect of the godhead that he holds up to the
less, they are distinct: She alone acts, but everything she does
present day, that of preserver and protector of the world, lord
is the expression of his wishes. Laks:m¯ı also makes an appear-
and ruler of all. Yet many of his names and epithets continue
ance in various mythical stories under different names
to refer to character traits proper to a great god in the mytho-
(Maha¯laks:m¯ı, Bhadrakali, etc.). Many of these denote spe-
logical sphere. Moreover, the deeds and characters of paro-
cial aspects of Prosperity (S´r¯ı-Laks:m¯ı); some appear, as com-
chial gods, especially those of Indra, are transferred to him.
panions of Vis:n:u, as the goddesses Victory (Jaya¯), Renown
Whereas in the R:gveda he is not credited with warlike activi-
(K¯ırti), and so on. While his alliance with his second consort,
ties of his own but rather assists Indra in his encounters with
Bhu¯dev¯ı, the Earth, stamps him as a bigamist, Vis:n:u’s rela-
demons, he is already at an early date described as fighting
tions with many incarnations of his spouse are often charac-
and killing antagonists who, like Jambha, the disturber of
terized by youthful passion, reckless adventure, and
sacrifice, were in older versions slain by Indra.
human—often too human—emotions. He ravishes
Rukmin:¯ı—even though she has been intended for S´i´supa¯la,
In the extensive postepic Vais:n:ava literature many
whom he beheads—and marries her (Maha¯bha¯rata 2.37ff.);
mythical episodes are inserted to show that God, when de-
soon she is said to be an incarnation of S´r¯ı, destined to marry
voutly worshiped, is willing to appear in one of his forms in
Vis:n:u-Kr:s:n:a (Harivam:s:a 104ff).
order to help or protect his devotees. For instance, in the
story of the two demons Madhu and Kait:abha—who in the
In his supreme and at the same time triune character,
older version (Maha¯bha¯rata 3.194) intimidated Brahma¯ and
Vis:n:u, the Lord and highest Person, the unmanifest primor-
in the later version (Jaya¯khya Sam:hita¯ 2.45ff.) stole the Veda
dial principle, absorbs the universe at the end of a yuga (age
so that the world fell to a bad state—the gods and demons
of the world) by successively becoming the glowing sun, the
praise Vis:n:u, who by his supernormal knowledge restores the
scorching wind, and a torrential rain (Matsya Pura¯n:a 1.67).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VIS:N:U
9619
When the world has again become the undifferentiated water
providential concern with humanity as a whole. Howev-
from which it once arose, Vis:n:u—according to some, to-
er full of the wonderful and miraculous, the avata¯ra
gether with Laks:m¯ı—sleeps on a thousand-headed serpent
myths represent Vis:n:u as an essentially human character
called S´es:a, “the remainder” (because it represents the residue
whose actions are within the limits of human under-
that remained after the universe and all its beings had been
standing.
shaped out of the cosmic waters of the abyss), or Ananta, “the
(3) The emanations (vyu¯ha) of his power, namely,
endless one” (who, symbolizing eternity, is identical with the
Va¯sudeva (Kr:s:n:a), Sam:kars:an:a, Pradyumna, and An-
ocean out of which the world will evolve as temporal exis-
iruddha (Kr:s:n:a’s brother, son, and grandson), which,
tence and ultimately also with Vis:n:u himself). With the ser-
like the avata¯ras, represent an attempt at maintaining
pent and the ocean upon which this animal floats, Vis:n:u
a fundamental monotheistic principle while incorporat-
then constitutes the triune manifestation of the single divine
ing manifestations of his being. This is also an attempt
cosmic substance and energy underlying all forms of phe-
to harmonize theology with mythology and philosophy,
nomenal existence. During his sleep the world is “thought,”
for by assigning to these figures functions in a systematic
nonexistent. When he awakes, he engages in meditation for
explanation of the universe, theologians can account for
its recreation. A lotus grows from his navel, and on this flow-
Vis:n:u’s part in its creation, preservation, and absorp-
er is born the demiurge Brahma¯, who creates the world.
tion.
Then, while residing in the highest heaven (Vaikun:t:ha),
Vis:n:u in the form of Purus:a preserves the world until it is
(4) The immanent God, the inner ruler.
once again ripe for dissolution.
(5) The Mu¯rti (image or statue), God’s most concrete form.
The development of many myths and mythical narra-
tives attests to Vis:n:u’s adaptability and versatility. For in-
SEE ALSO Avata¯ra; Bhagavadg¯ıta¯; Goddess Worship, article
stance, the older sources (Maha¯bha¯rata 1.16ff.) state only
on The Hindu Goddess; Indian Religions, article on Mythic
that Vis:n:u-Na¯ra¯yan:a advised the gods and the asuras to
Themes; Kr:s:n:a; Maha¯bha¯rata; Mu¯rti; Praja¯pati;
churn the ocean in order to acquire from it amr:ta; then, in
Vaikha¯nasas; Vais:n:avism.
the form of an anonymous woman, he recovered this drink
of continued life from the asuras. Later versions relate his ap-
BIBLIOGRAPHY
pearance as a fascinating young woman, Mohin¯ı (“the delud-
Bhattacharji, Sukumari. Indian Theogony: A Comparative Study of
ing one”), tricking the asuras and distributing the amr:ta
Indian Mythology from the Vedas to the Pura¯n:as. New York,
1970.
among the gods.
Gonda, Jan. Aspects of Early Vis:n:uism. Utrecht, 1954.
In innumerable tales attesting to the popular belief in
Gonda, Jan. Die Religionen Indiens. 2 vols. Stuttgart, 1960–1963.
Vis:n:u’s intervention in the vicissitudes of individual lives,
Volume 1 has been issued in a second revised edition (Stutt-
the mythical element is no less mixed up with legend than
gart, 1978).
in the many hagiographic compilations, which, like devo-
tional literature in general, reactivate the power inherent in
Gonda, Jan. Vis:n:uism and Sivaism: A Comparison. London, 1970.
the mythical stories. Invocation of the god’s protection is
Gonda, Jan. Medieval Religious Literature in Sanskrit. In A History
therefore often accompanied by a reference to one of his
of Indian Literature, vol. 1, fasc. 1. Wiesbaden, 1977.
great exploits or important mythical aspects. Thus
Singer, Milton, ed. Krishna: Myths, Rites, and Attitudes. Honolulu,
Kr:s:n:a-Vis:n:u, who made the gods happy by slaying Kam:sa
1966.
(Maha¯bha¯rata 2.13.29ff.), will no doubt prove a competent
Zimmer, Heinrich. Myths and Symbols in Indian Art and Civiliza-
and reliable helper. Hearing the holy story of the
tion (1946). Edited by Joseph Campbell. Reprint, Princeton,
Ra¯ma¯yan:a—the heroic deeds of Vis:n:u descending to the
N. J., 1972.
earth to save humankind—is said to be a dependable way to
long life, moral purity, and good fortune (Ra¯ma¯yan:a 7, final
New Sources
chap.).
Gupta, Shakti M. Vishnu and His Incarnations. Bombay, 1993.
Patel, Sushil Kumar. Hinduism in India: A Study of Visnu Worship.
Synthesizing its theology, philosophy, mythology, and
Delhi, 1992.
religious practice, Vais:n:avism distinguishes five forms of
God:
Pattanaik, Devdutt. Vishnu: An Introduction. Mumbai, 1999.
JAN GONDA (1987)
(1) God in his transcendent form with the six attributes:
Revised Bibliography
omniscience, activity based on independent lordship,
ability, force, virtue combined with energy, and brilliant
self-sufficiency.
VISUAL CULTURE AND RELIGION
(2) The avata¯ras, in which God sends forth his Self to save
This entry consists of the following articles:
the dharma (order, stability) and humankind and to
AN OVERVIEW
protect the good and destroy the wicked, evidencing his
OUTSIDER ART
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9620
VISUAL CULTURE AND RELIGION: AN OVERVIEW
VISUAL CULTURE AND RELIGION: AN
Work in the 1980s and 1990s also explored the nature
OVERVIEW
of representation, often in connection with the discussion of
If the word culture, as Raymond Williams once pointed out
postmodernism and inspired by the oracular writing of Jean
(Williams, 1976, p. 76), is among the most complicated
Baudrillard. A number of important studies during this time
words in the English language, what can anyone hope to
complemented the social history of art with greater attention
achieve by clapping the word visual in front of it? Not sur-
to audience and reception, finding an important connection
prisingly, the use of the term visual culture among scholars
to the interest in the gaze and the visual construction of reali-
of art, film, and media is quite varied. For many it simply
ty. At issue was the status of art history, the authority of its
refers to forms of imagery beyond the pale of traditional fine
claims, its autonomy from the prevailing interests of the elite
art, such as film, mass-produced prints, and advertisements.
that controlled cultural institutions, as well as a host of ques-
For others the term signifies something procedural: the
tions about the nature of representation.
method of study or the set of questions and themes that oc-
cupy a particular body of scholarship. For yet others the term
The reflection on ideology, the nature of vision, the
marks a significant turn in the practice of art history, which
gendered gaze, and the constructedness of representation led
involves pedagogical as well as political commitments that
some art historians to greater awareness of the audience and
depart from traditional art historical practice. No discipline
its role in the interpretation of art. Prominent theoretical
takes images with the single-minded seriousness of art histo-
studies in the sociology of art assisted art historians along this
ry, and because art historians have been prominent in debat-
line of thinking. Anthropological studies have produced eth-
ing the use of the term, a review of developments in that dis-
nographies of image users. David Freedberg’s The Power of
cipline is a helpful way of approaching the definition of
Images (1989) problematized for art historians the capacity
visual culture. From there it will be possible to consider the
of images to incite fear and desire among viewers, for whom
implications of visual culture for the study of religion.
the appeal of images was not a matter of taste or connoisseur-
V
ship but their ability to act upon people, other images, or the
ISUAL CULTURE AND ART HISTORY. The rise of interest in
viewer’s own desires and anxieties. Freedberg’s book and sev-
popular culture, film, women’s studies, ethnicity and race,
and sexuality challenged the dominance of traditional schol-
eral other studies in the next years helped art historians rede-
arship in the humanities, which was historically invested in
fine the scope of art history. The study of response (Freed-
the canon of fine art and literature. For a long time art histor-
berg, 1989; Elkins, 2001) and reception (Heinich, 1996;
ical interpretation had also avoided political interpretation
Doss, 1999) decentered the traditional focus of the discipline
of images and had largely ignored contemporary imagery,
as the discourse on images to a discourse on the use and con-
especially mass-produced imagery, because it lacked the
ceptualization of images.
craftsmanship of fine art. Nor did it accommodate the cate-
The 1990s and early 2000s witnessed a surfeit of publi-
gories of genius, professional artist, and masterpiece or the
cations under the new rubric of “visual culture” (Evans and
criteria of museum value that dominated the discipline and
Hall, 1999; Sturcken and Cartwright, 2001; Bryson, Holly,
its canon of fine art. But during the 1960s and 1970s art his-
and Moxey, 1994; Mirzoeff, 2002). Generally speaking,
torians and art critics who were engaged by contemporary
scholars have made use of the term to designate the subject
art’s disavowal of traditional tastes or the celebration of polit-
of their interpretation as well as the method or interpretive
ical critiques of established authority in cultural and social
framework on which they have relied. But the definition of
affairs became interested in issues of reproduction, the con-
visual culture (not to mention its value) remains contested
ceptualization of viewing as a social and psychological act,
(“Visual Culture Questionnaire,” 1996). Perhaps the most
and the ways of seeing that shaped the meaning of images.
common meaning of the term is the most simple and least
The social history of art sought to situate works of art within
helpful: visual culture is whatever traditional art history does
the ideological constructions of class and gender that were
not do—film, advertisements, cartoons, tattoos. Another ap-
inseparable from any act of representation.
proach improves modestly on that one: visual culture is any
By the 1980s a rising tide of scholarship in art history
treatment of imagery or of viewing imagery that is especially
had begun to explore canon formation, gender, sexuality,
mindful of such concepts as the gaze, gendered practice of
and the art of marginalized cultures, races, and ethnicities.
viewing, postmodern accounts of representation, and so
A “crisis in the discipline” was discussed in professional fo-
forth. A third, common definition identifies visual culture
rums, and the first instances appeared of what came to be
as distinctly modern, as the product of modernity or post-
known as the “new art history” (Rees and Borzello, 1988).
modernity, as the hypervisual world of simulacra and mass-
Of special importance was the application of deconstruction,
produced images whose principal purpose is propaganda for
semiotics, and psychoanalytic theory (of greatest influence
state and commerce, which, in radical political economy, are
were the writings of Jacques Derrida, Roland Barthes, and
regarded as the same thing. Such a view ignores the ancient
Jacques Lacan). Practitioners of the new art history were in-
power of images in human culture and assumes a presentist
trigued by the visual construction of power relations, which
perspective and one that tends strongly to reduce images to
they conceptualized as the “gaze,” the visual field that evalu-
a means of persuasion. Those who criticize visual culture as
ates space and object as intelligible forms.
an approach to studying imagery argue that the term is inca-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VISUAL CULTURE AND RELIGION: AN OVERVIEW
9621
pable of clear definition and is inclined to level artistic quali-
and subject matter, are the familiar categories of this genre
ty in a reading of images that regards distinction as unaccept-
of art historical inquiry. The aim is a definitive edition of the
able because it is elitist (“Visual Culture Questionnaire,”
artist’s “oeuvre.” In any genre of art historical inquiry that
1996).
focuses on the image, stylistic features of the image are cus-
tomarily considered to be freighted with intent: style is a
DEFINING VISUAL CULTURE. None of the definitions listed
kind of signature, the imprimatur of the image maker as well
above is strongly compelling. And none of them offers much
as the visual preference of the image’s patron and its primary
of substance to the study of religion. Indeed religion plays
audience, those who bring to it a visual literacy that maker
no role whatsoever in the great majority of visual culture
and patron can presume. With these assumptions and tech-
studies cited above. Art historians who identify their work
niques, art historians are able to produce highly detailed
as the study of visual culture have largely concentrated on re-
analyses of objects, sorting out their histories, makers, and
visionist analyses of major works of art, the visual construc-
the genres of meaning that proceed from object-centered
tion of gender, the cultural politics of imagery, and the dy-
analysis and interpretation.
namics of the gaze. All of these are quite applicable to the
study of religious visual culture, but because many art histo-
Another approach privileges ideas over the object. This
rians assume that post-Enlightenment modernity is charac-
approach might be called the intellectual history of art, or
terized by secularization, religion is considered vestigial and
the history of ideas about art, or the history of art theory and
reactionary and therefore uninteresting. By contrast, the fol-
aesthetics. Whatever one prefers to call it, this avenue of in-
lowing definition of visual culture seeks to offer a way of in-
quiry makes important contributions to the understanding
terpreting images that will contribute to the understanding
of taste, evaluation, and the interpretation of art. In sum it
of religion. Given the dominance of art history as a discipline
seeks to delineate the theory of images that informs a particu-
in the discussion over the last two decades of the twentieth
lar philosophy, theology, culture, historical moment, or
century, the definition of visual culture outlined here is
taste. The theory-centered approach may not tell in as de-
grounded in the development of art history. Defining the
tailed a fashion as stylistic or iconographic study why an
term turns on differentiating studies according to the object
image looks the way it does, but the intellectual history of
of their scrutiny.
art has much to offer regarding why art was valued or not
at a particular time, how it was justified or criticized, and
As it was practiced for much of the twentieth century,
how it was interpreted. When conducted by skilled interpret-
art history focused on considerations of style, subject matter,
ers, this approach enhances studies of art objects by scrutiniz-
patronage, and the meanings to be derived from these coor-
ing the intellectual schemes that deployed various iconogra-
dinates. Such an approach privileges the visual object—the
phies, preferred certain styles, interpreted them in a certain
painting or sculpture—as the principal concern, as the object
manner, and offered rationales for the importance and use
of explanation. Iconography and stylistic analysis are the pri-
of art in the contemporary culture. The intellectual history
mary tools of this approach and serve well to scrutinize the
of art can have everything to do with the history of patronage
work of art as a highly intentional object, one bearing the
and the formation of subcultures for whom artistic taste and
intent of the artist, the impress of the artist’s visual tradition,
literacy were definitive. Moreover the history of great inter-
and the aims and preferences of the patron, whether prince,
preters of art—from philosophers like G. W. F. Hegel or Ar-
collector, church, or state. This manner of analysis preserves
thur Schopenhauer to important theorists such as Charles
the artist as a genius, a skilled maker who endows the work
Baudelaire or Walter Benjamin—is a special topic of study
with a supreme intention, a meaning to be excavated by the
among intellectual historians of art.
art historian and matched to the material evidence of the
image as the definitive meaning of the work.
A third approach to the study of the visual arts may be
called institution-centered because it scrutinizes the social
Skill at formal analysis, detailed knowledge of the histo-
formations of patronage, art instruction, art criticism, and
ry of style and iconography, facility with the vast tools at the
the many organizations that sponsor and regulate the pro-
art historian’s disposal for such research—iconographical in-
duction and presentation of art, including guilds, museums,
dexes and lexicons, archival collections, museum holdings—
galleries, exhibitions, collectors, dealers, and artists’ societies.
form the skills base for competence in this line of inquiry.
Art historians and sociologists of art study the ways in which
Art historians proceed by comparing one image under ques-
these institutions exert an influence over the training and ca-
tion with the preceding history of visual types in order to de-
reer of artists as well as the public display of art and the evo-
termine the relatively unique treatment of the image, posit-
lution of taste.
ing that every change in its presentation of its subject
corresponds to a particular intention of the image maker.
Finally, the approach defined here as visual culture takes
The artist’s monograph, one of the standard productions of
yet another form. Although it makes important use of and
art history in the twentieth century, develops a narrative of
relies on object-centered and theory-centered studies of im-
artistic production along the biographical lines of the artist’s
agery, the visual culture approach focuses primarily on visual
life. Juvenilia, professional formation, early work, mature
practices, that is, the things people do with images. A prac-
work, and late productions, analyzed largely in terms of style
tice-centered approach scrutinizes the social siting of images,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9622
VISUAL CULTURE AND RELIGION: AN OVERVIEW
the rituals that engage them, behaviors and attitudes toward
(Morgan and Promey, 2001, pp. 1–17; Huyler, 1999; Tana-
images, all manner of use, such as devotion and healing, and
be, 1998; Eck, 1981, pp. 33–43). Another way is narrating
the power of images as protective devices. Questions of cen-
their stories, as objects, in the ongoing history of a communi-
tral interest include the migration of images, how they are
ty or place (Davis, 1997). Still other scholars focus on the
displayed or hidden from view, the trade or traffic in images,
community’s circulation or traffic of images (Roberts and
and their hoarding, destruction, and exchange. These queries
Nooter Roberts, 2003; Cosentino, 1995) or the importance
explore the range of visual practices that help build, main-
of cult or devotional images in the public performance of
tain, and transform the lifeworlds of those who use them.
identity (Dean, 1999; Phillips, 1995) or in an extended com-
Scholars of visual culture are also interested in the ways
munity or loosely identified cohort, such as admirers of Elvis
of seeing that inform images and their reception. Vision is
Presley (Doss, 1999). In every such case the image is not an
not a passive operation but a creative and constructive one.
end in itself but part of a larger fabric of social life. The schol-
Seeing orders the world and imposes structures and expecta-
ar examines the image as a totem or joint property or shared
tions upon human experience. This is evident in the widely
emblem or ritual artifact or commodity—that is, as part of
varying systems of composing the visual field in images. Lin-
a social practice. The object of interpretation is not so much
ear perspective, the system privileged in the West since the
an image as the act of using an image, what may be called
Italian Renaissance but continually modified and subverted
a visual practice. The image itself is incomplete without its
by artists ever since, remains one important perceptual
ritual context or practice. Not only is this the case with the
scheme, but one whose artifice and historicity become clear
need to consecrate images such as statues or icons of Buddha
when compared to other models from different parts of the
(Kieschnick, 2003, p. 60; Freedberg, 1989, p. 82), but as far
world and different historical epochs.
as explanation is concerned, the image’s meaning is not to
be limited to the image itself, such as its style or subject
Methodologically the study of religious visual culture
matter.
will make use of those procedures that examine the object
(iconography, stylistic analysis, archeological analysis) as well
Because an image gains significance in its circulation,
as those methods that scrutinize the image’s cultural or social
exchange, veneration, and narration, those must each be
function and its reception, including ethnography and socio-
studied in order to understand the image in situ. And an
logical methods, such as sample surveys. Scholars of visual
image’s meaning is never fixed or complete but forever un-
culture require the skills of visual analysis practiced by art
dergoing mutation and stratification, as the meandering nar-
historians as well as facility with the intellectual history of
ratives that Richard Davis relates in his 1997 study of the
art and visual theory. Each of those approaches provides nec-
“lives” of Hindu statuary. Sculptures of Hindu deities were
essary interpretive practices to the visual cultural approach
consecrated after having been fashioned, then installed in
because a visual practice presumes a particular theory of the
temples, where they might become well known for their
power or efficacy of images and puts an image to work in
power to act on behalf of petitioners. When Muslims in-
part because of its appearance and material presence. Exam-
vaded the subcontinent, priests tried to anticipate the de-
ples include Allen F. Roberts and Mary Nooter Roberts
struction of the cult statuary by removing it from the temple,
(2003); Erika Doss (1999); David Morgan (1998); Donald
deconsecrating it, and burying it. Sometimes the statues were
J. Cosentino (1995); and Sally M. Promey (1993).
forgotten where they lay until their rediscovery, when a new
THE INTERPRETATION OF RELIGIOUS VISUAL CULTURE.
chapter in their lives would begin with reconsecration and
What does the application of this definition of visual culture
reinstallation in a temple or, during the British Empire peri-
do for the study of religion? Religion is often defined as a
od, their appropriation by the colonial force and exhibition
system of beliefs or organized propositions to which believers
in museums or palaces as ethnographic objects or as trophies.
assent. But this manner of describing religion reduces it to
Images created to illustrate an early book on Hindu myth
an intellectual dimension of human experience, ignoring the
and culture by a British missionary (Ward, 1817–1820) cir-
embodied, lived aspects that are much more characteristic of
culated in Europe and the United States, serving as one of
the experience of religion reported by or observed among
the earliest visualizations of Hindu deities. Such images illus-
practitioners. Scholars of religion engaged by the material
trated the Protestant imagination of “pagan idolatry,” which
culture of belief have made this case (McDannell, 1995;
was rudimentary to the Protestant understanding of mission.
Kieschnick, 2003) and have sought to show that objects of
It is important to understand images in a robust way, as sus-
everyday use and commercial nature play an important role
taining many, often staunchly rival, cultural perspectives.
in the practice of religion. Inexpensive, common objects,
Images, in other words, are the lens through which cultures
such as devotional pictures, commemorative statuary, prayer
perceive one another.
beads, wall hangings, and photographs of saints or loved
Images are actually deposits, pastiches, thickly sedi-
ones, participate fundamentally in rituals of memory, devo-
mented repositories of previous lives consisting of fragments
tion, and the formation and instruction of the young.
of memory that are made to adhere to one another. This al-
An important way of understanding religious objects
lows them to be forms of resistance as well as subordination.
and images is grasping their social or communal function
The story of Our Lady of Guadalupe illustrates this dynamic
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VISUAL CULTURE AND RELIGION: AN OVERVIEW
9623
of imagery. One account written over one hundred years
ration, which are relayed through the image to the person.
after the apparition was said to have taken place (1531) was
Maha¯ya¯na Buddhism has a long tradition of regarding the
produced, according to one scholarly authority, by a Mexi-
Buddha’s su¯tras as his embodiment (Tanabe, 1988). Ortho-
can Creole, Miguel Sánchez, whose purpose was to advocate
dox and Catholic Christians revere different versions of the
the propriety of criollismo, those born in Mexico of Spanish-
image of Christ imprinted miraculously on a veil or burial
born parents. An alternative account, the Nican mopohua,
cloth. Relics are considered especially powerful sacred points
written at the same time, portrayed the Virgin’s revelation
where petitions can secure blessing. In such instances images
as directed to the indigenous population (Poole, 1995,
participate in a metaphysical economy of dispensing merit
p. 126). Modern advocates of liberation theology and Chi-
accrued by saints or deities whose good works and holiness
cano and neo-Aztec identities have seen Guadalupe as yet an-
are a kind of spiritual capital that can be accessed through
other kind of symbol and have relied on the Nican mopohua
the veneration of imagery. In the case of Buddhist visual
(Brading, 2001, pp. 342–360).
piety, a common practice among Southeast Asian Therava¯da
Buddhists is the ritual application of gold leaf to statues of
Not only are images historical pastiches, they also fre-
the Buddha. This act is accompanied with prayers for bless-
quently integrate other forms of representation. Word and
ing and karmic merit. Children accompany their parents and
image, for examples, can be made to cooperate in powerful
grandparents on these occasions and are taught the practice.
ways in order to avoid proscriptions against imagery that are
sometimes enforced by religious traditions that consider the
In addition to encouraging the cultivation of devotional
written or spoken word to be the privileged medium of di-
relationships with the saint or deity, images are able to
vine revelation and authority. Such traditions include Sikh-
prompt and guide memory as well as creative thought or as-
ism, Islam, Judaism, and certain versions of Protestant Chris-
sociation. Used on such ritual occasions as marriage, bap-
tianity, such as Puritanism and other Calvinist sects. As
tism, and rites of passage, images mark the occasion and then
anxious as each of these traditions may profess to be regard-
commemorate it by virtue of domestic or public display
ing the inappropriateness of visual imagery, each contains
thereafter. Images are also commonly exchanged or given as
abundant examples of devotional and instructional uses of
gifts on these occasions, signifying important relationships
imagery. Recalling the contribution of Islam to their spiritu-
and status within family, clan, or community. If they serve
ality, Sikhs, for instance, stress the importance of avoiding
to shape and secure memory and therefore operate as conser-
imagery in worship. Yet images of the gurus and Sikh history
vative devices, images can act as generative engines of creative
abound in temples and in private homes. Among the most
or figurative thinking. Tarot cards are a good example of this,
interesting figures in the tradition, the man who is portrayed
as are man:d:alas in meditative visualization. On these occa-
more than any other Sikh, is Guru¯ Na¯nak, the founder of
sions, images invite associative processes of thinking that are
the faith and an immensely charismatic leader and teacher,
virtually unlimited. Images such as those on tarot cards pro-
voke association and suggest narratives. Because they literally
who is shown emanating an aura, his eyelids half closed, his
assert nothing, images invite interpretation. Their ambiva-
large eyes focused on the blissful state of his soul (Brown,
lence urges a proliferation of conjecture and association. The
1999). The image models the visual presence or demeanor
result in the case of visual imagery, as well as in literary imag-
of peace that Sikhs recognize in those who have achieved
ery in such apocalyptic literature as the Book of Revelation or
spiritual wisdom. One image of Na¯nak consists of the text
the figurative language in such sacred poetry as the Psalms
of one of his writings contained in the Guru¯ Granth Sa¯hib,
or allegory as in the Song of Songs, is an open-ended genera-
the collection of hymns and verse that form the central docu-
tion of interpretive possibilities. The text or image can be
ment and authority of the faith. Na¯nak is his word, his wis-
made to mean virtually anything, allowing a fit to be tailored
dom is manifest in his visual appearance. The intermingling
to any occasion or situation. Images and texts like this offer
of word and image stresses this unity and both enforces and
powerful creative resources to religious traditions. It is evi-
obviates the injunction against imagery in worship: one sees
dent in traditions as diverse as various astrologies or the Yi
Na¯nak and his wisdom, but one sees his word, which one
Jing’s system of divination or the Hasidic practice of numer-
is not allowed to confuse with an image and thereby lose
ology in which the numeric value of scriptural words dis-
sight of the true goal of the spiritual life (Singh, 1990,
closes deeper levels of meaning. Many religious traditions, or
p. 12).
popular subcultures within them, practice sortilege, the ap-
The capacity of images to embody teachers, prophets,
parently random selection of a passage in a book such as the
saints, or deities goes to the heart of the power of images in
Bible or the QurDa¯n, which is then read as an oracle speaking
religious life. Relics and icons are among the most universal
to the person who selected it. In every case chance is incorpo-
features in world religions. In many Buddhist traditions, for
rated into a material practice that reduces open-ended possi-
example, relics of the Buddha and paintings and sculptures
bility into a suggestive prompt. Chance is transformed into
of him form the core practices of devotion among both elite
a revelatory process.
and popular Buddhists. Images are able to incite and direct
CHALLENGES TO THE STUDY OF RELIGIOUS VISUAL CUL-
devotion precisely because they take the place of the holy
TURE. The place of images in religious study is fascinating
one, inviting the believer’s physical acts of veneration or ado-
in part because of the flurry of misconceptions associated
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9624
VISUAL CULTURE AND RELIGION: OUTSIDER ART
with images, many of which hinge on the idea that images
Huyler, Stephen P. Meeting God: Elements of Hindu Devotion.
mark an inferior religion or an inferior subculture within a
New Haven, Conn., 1999.
religion. The study of religion is often hampered by prevail-
Kieschnick, John. The Impact of Buddhism on Chinese Material
ing notions like this, which garner an appearance of authori-
Culture. Princeton, N.J., 2003.
ty but are often ideological mirages, conjured to serve partic-
McDannell, Colleen. Material Christianity: Religion and Popular
ular interests. For instance, it is a commonplace that Islam,
Culture in America. New Haven, Conn., 1995.
Judaism, and Protestantism do not engage in religious uses
Mirzoeff, Nicholas, ed. The Visual Culture Reader. 2d ed. London,
of images. Another such commonplace is that religions that
2002.
do employ images do so only at the level of popular piety.
The “higher” forms of Buddhism, Hinduism, and Christian-
Mitchell, W. J. T. Iconology: Image, Text, Ideology. Chicago, 1986.
ity are sometimes said to eschew any role for imagery. Mis-
Morgan, David. Visual Piety: A History and Theory of Popular Reli-
leading claims like these need to be traced to their sources
gious Images. Berkeley, Calif., 1998.
in order to recognize the cultural work they are intended to
Morgan, David, and Sally M. Promey, eds. The Visual Culture of
perform. All of these assertions originate in polemic: Protes-
American Religions. Berkeley, Calif., 2001.
tant polemic against Catholicism; an academic elite’s polem-
Phillips, Ruth B. Representing Women: Sande Masquerades of the
ic against popular, devotional religion; a Buddhist elite’s po-
Mende of Sierra Leone. Los Angeles, 1995.
lemic against popular practice; the polemic of the Brahmanic
Poole, Stafford. Our Lady of Guadalupe: The Origins and Sources
revival against Hindu “polytheism,” and so forth. Any study
of a Mexican National Symbol, 1531–1797. Tucson, Ariz.,
of the visual culture of religion must anticipate this especially
1995.
tenacious feature of scholarly and theological discourse.
Promey, Sally M. Spiritual Spectacles: Vision and Image in Mid-
Moreover one does well to avoid the art historian’s tendency
Nineteenth-Century Shakerism. Bloomington, Ind., 1993.
to focus exclusively on objects and the religion scholar’s tra-
ditional emphasis on doctrine, philosophy, or theology. The
Rees, A. L., and Frances Borzello, eds. The New Art History. Atlan-
aim inspiring the study of the visual culture of religion is
tic Highlands, N.J., 1988.
deeper understanding of the lifeworlds that religious peoples
Roberts, Allen F., and Mary Nooter Roberts. A Saint in the City:
construct and sustain in their visual practices and in the aes-
Sufi Arts of Urban Senegal. Los Angeles, 2003.
thetic imagination that envisions their worlds or those they
Singh, Santokh, trans. Nitnaym Baanees, Daily Sikh Prayers.
seek to create.
Princeton, Ontario, Canada, 1990.
Sturcken, Marita, and Lisa Cartwright. Practices of Looking: An In-
SEE ALSO Art and Religion; Iconography; Icons; Idolatry;
troduction to Visual Culture. Oxford, U.K., 2001.
Images; Media and Religion; Popular Culture.
Tanabe, Willa J. Paintings of the Lotus Sutra. New York, 1988.
BIBLIOGRAPHY
“Visual Culture Questionnaire.” October 77 (Summer 1996):
Brading, D. A. Mexican Phoenix: Our Lady of Guadalupe, Image
25–70.
and Tradition across Five Centuries. Cambridge, U.K., 2001.
Ward, William. A View of the History, Literature, and Religion of
Brown, Kerry, ed. Sikh Art and Literature. London, 1999.
the Hindoos: Including a Minute Description of Their Manners
Bryson, Norman, Michael Ann Holly, and Keith Moxey, eds. Vi-
and Customs, and Translations from Their Principal Works. 4
sual Culture: Images and Interpretations. Hanover, N.H.,
vols. London, 1817–1820.
1994.
Williams, Raymond. Keywords: A Vocabulary of Culture and Soci-
Cosentino, Donald J., ed. Sacred Arts of Haitian Voudou. Los An-
ety. New York, 1976.
geles, 1995.
DAVID MORGAN (2005)
Davis, Richard H. Lives of Indian Images. Princeton, N.J., 1997.
Dean, Carolyn. Inka Bodies and the Body of Christ: Corpus Christi
in Colonial Cusco, Peru. Durham, N.C., 1999.
Doss, Erika. Elvis Culture: Fans, Faith, and Image. Lawrence,
VISUAL CULTURE AND RELIGION: OUTSIDER
Kans., 1999.
ART
Eck, Diana L. Dar´san: Seeing the Divine Image in India.
One of the defining characteristics of the emergent academic
Chambersburg, Pa., 1981.
field of visual culture studies is its insistence on a method-
Elkins, James. Pictures and Tears: A History of People Who Have
ological principle of complete inclusion. Everything within
Cried in Front of Paintings. New York, 2001.
the realm of visual objects and practices is worthy of consid-
Evans, Jessica, and Stuart Hall, eds. Visual Culture: The Reader.
eration—especially imagery traditionally neglected or felt to
London, 1999.
be outside the purview of “classical,” “fine,” “canonical,” or
Freedberg, David. The Power of Images: Studies in the History and
“high art.” Those who are concerned about all that has been
Theory of Response. Chicago, 1989.
ignored and devalued in the domain of image making have
Heinich, Nathalie. The Glory of Van Gogh: An Anthropology of Ad-
a special affinity for the maverick and controversial move-
miration. Translated by Paul Leduc Browne. Princeton, N.J.,
ment called contemporary folk, grassroots, self-taught, ver-
1996.
nacular, or outsider art. Outsider art has no easily definable
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VISUAL CULTURE AND RELIGION: OUTSIDER ART
9625
stylistic tradition or distinct movement in the conventional
driven by unconscious, and sometimes conscious, motiva-
art history sense but instead refers to a loose grouping of per-
tions that are broadly religious and redemptive (Fine, 2004).
sons, practices, and attitudes distinguished primarily by their
HISTORY OF THE SELF-TAUGHT AND OUTSIDER FIELD OF
peripheral relationship to elite culture and the mainstream
ART. The diverse history of the self-taught and outsider field
art world. This marginality is largely determined by various
is yet to be written (Rhodes, 2000; Hartigan, 1991; Peiry,
psychological (e.g., psychosis, mental-physical disability, or
2001; Russell, 2001). Aside from some very general associa-
visionary experience) and sociological (ethnic-racial, demo-
tions with shamanistic phenomena, human eccentricity, psy-
graphic, economic, class, age, or educational) factors. This
chosis, and compulsive image making, the origins of this
unruly field is rambunctious, resisting any consistent defini-
movement in Western tradition go back to the discovery of
tion or nomenclature, a situation that has given rise to an al-
primitive culture, art, and religion (in both a tribal and ori-
most incessant and, at times, tedious, “term warfare.”
entalist sense) by the newly conceived human sciences to-
The current vogue for the terminology of “outsider art”
ward the end of the nineteenth century (e.g., psychology and
in the English-speaking world originates from the title of the
psychiatry, comparative religions, anthropology, folklore
British scholar Roger Cardinal’s 1972 book, which roughly
studies, and critical-historical disciplines such as art history).
translated the expression Art Brut. Art Brut was first used by
The impact and influence of primitivism as both a disturbing
the French avant-garde artist and cultural critic Jean Dubuf-
and a liberating break with classical traditions established in
fet (1901–1985) (Danchin, 2001). For Dubuffet, Art Brut
the Renaissance and the eighteenth century were profound
was art that expressed raw creativity and imagery supposedly
in many different cultural domains at the beginning of the
uncontaminated by bourgeois culture—an art perhaps best
twentieth century. Primitivism was therefore a formative fac-
found within mental wards. Cardinal and others expanded
tor in the development of modern art, as seen in the concerns
on Dubuffet by using the “outsider” terminology in neoro-
and methods of individual artists, such as Paul Gauguin,
mantic ways that eventually embraced a motley assortment
Henri Rousseau, Pablo Picasso, and Paul Klee. At the same
of artists and practices. In addition to psychotic, mediumis-
time, there were clear connections between primitivism and
tic, spiritualist, and children’s art, outsider art—especially in
the Dada and surrealist movements (Rhodes, 1994). These
North America—came to include naive, folk, tramp, African
associations, as well as the affinity with what would be called
American, prison, Hispanic American, vodou, tattoo, yard,
outsider art, is seen in surrealism’s passionate interest in a pri-
and circus artwork done by persons often self-taught in the
mal creativity rooted in the unconscious mind, in occult or
use of artistic methods and materials. The unfettered creativ-
“automatic” forms of religious experience and behavior, and
ity, obsessive drive, and apparent primitivity of this kind of
in various disruptive and unconventional artistic practices.
art are striking. Equally important, however, are the connec-
The other major influence on the genre of outsider art
tions with religious experience and practice as seen by the
was the identification of so-called “psychotic art” after the
prominence of nonordinary states of consciousness and dif-
cataclysm of World War I (MacGregor, 1989). Several
ferent kinds of visionary experience, the use of conventional
groundbreaking psychological studies appeared at this time,
and unconventional religious imagery, and the drive to con-
the most important of which was The Artistry of the Mentally
struct alternative and often strange paradisial worlds (Beards-
Ill (Bildnerei der Geisteskranken), written in 1922 by the Ger-
ley, 1995).
man psychiatrist Hans Prinzhorn (1886–1933). Prinzhorn
focused his attention on the artistic productions of schizo-
Outsider art may at times draw upon bits and pieces of
phrenics and spent considerable time developing an elabo-
the history of mainstream art, but rarely is it self-consciously
rate expressionist theory of image making that tried to identi-
ironic or concerned with the kind of referential “originality”
fy a set of basic artistic impulses. Another highly influential
associated with academic art making (Russell, 2001; DeCar-
German psychotherapeutic study was Walter Morgenthaler’s
lo, 2002). It is an art that has its own ambiguous inner inten-
(1882–1965) A Mentally Ill Person as Artist (Ein Geistesk-
tions and private passions. In this sense, outsider artists often
ranker als Künstler), published in 1921. This work concen-
strive to communicate something deeply personal, hidden,
trated on the brilliantly obsessive drawings by the Swiss men-
unseen, or repressed about this and other worlds. There is
tal patient Adolf Wölfli (1882–1965), now recognized as one
almost always something more than just “art as art” going
of the grand European masters of the outsider tradition of
on. Moreover, this obsessively intense “something more”
art.
often takes various stylistic forms and quirky contents that
may be most meaningfully called “visionary,” “spiritual,”
Dubuffet said that he happened to see a copy of Prinz-
“ecstatic,” “revelatory,” or “religious.” The increasing popu-
horn’s book and was haunted by the images. This epiphany
larity of outsider art in Europe and the United States during
eventually led to Dubuffet’s dramatic declaration of Art Brut
the last twenty years or so of the twentieth century appears
in the 1940s—a theretofore unrecognized tradition of artis-
in fact to be rooted in an almost quasi-religious “quest for
tic production in which creativity and image making were
authenticity” or “nostalgia for paradise” among a secularized
theoretically free from the asphyxiating influences of elite
middle-class audience of enthusiasts, collectors, and dealers.
culture (Peiry, 2001). Dubuffet’s definition of Art Brut was
Artist and audience in the outsider field often seem similarly
initially associated with the art of the mentally ill as witnessed
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9626
VISUAL CULTURE AND RELIGION: OUTSIDER ART
by Prinzhorn and Morgenthaler, but over the years his un-
twenty-first century, there has been an increased outpouring
derstanding of the field wavered between dogmatic rigidity
of exhibitions, catalogs, articles, and books. These develop-
and inclusive flexibility—as, for example, seen in the supple-
ments were mirrored by a growing number of organizations,
mental category of Neuve Invention (Fresh Invention), in-
journals, and cultural institutions—including the emergence
tended to include artists less radically cut off from main-
of a lively but sporadic secondary market of auctions and
stream cultural tradition. The Art Brut tradition—and its
trade fairs (Maizels, 2002). Unfortunately most of the pub-
institutional embodiment in the Collection De L’Art Brut
lished discourse about self-taught and outsider art has been
in Lausanne, Switzerland—continues as an increasingly con-
largely within the popular genre of pretty picture books re-
spicuous aspect of the European art scene.
plete with potted anecdotal biographies of the artists. There
Self-taught or outsider art in the United States gradually
is still very little serious commentary on self-taught and out-
came into prominence from the 1970s through the 1990s in
sider art, especially from multidisciplinary and cross-cultural
association with various artistic movements and eclectic in-
perspectives that comparatively and critically analyze the art-
terests. Perhaps the most important of these movements was
ists and artworks with an eye to artistic quality, cultural em-
the changing nature of what was originally called “folk art,”
beddedness, and historical significance. The field of self-
rural traditions that were becoming more individualistic, ec-
taught and outsider art also raises many interesting but large-
centric, and aesthetic in their methods and subject matter.
ly unexplored questions about the nature of intense visionary
These transformations within the realm of contemporary
experience, psychosis, and artistic creativity as related to reli-
folk art were already evident in early exhibitions of naive and
gious traditions, such as shamanism, mysticism, and other
primitive folk art in the 1940s and 1950s (Janis, 1999) and
forms of ecstatic cult practice.
then even more significantly in the later work of rural crafts-
SELF-TAUGHT AND OUTSIDER ART AND RELIGION. Self-
people, such as the Kentucky wood-carver Edgar Tolson
taught and outsider art frequently expresses specific religious
(1904–1984) (Ardery, 1998). Another important trend
belief systems by using traditional, eclectic, hybrid, or even
emerged from the maverick interests and curatorial philoso-
wildly strange imagery. Examples from the spectrum of reli-
phy of Herbert Hemphill (1900–1900) at the new Museum
gious iconography and intention are seen in the mostly con-
of American Folk Art in New York City (Hemphill and
Weissman, 1974; Hartigan, 1991). Hemphill boldly
ventional Protestant evangelical apocalypticism of Myrtice
stretched the parameters of folk art to include, within the
West’s paintings, which are based on the Book of Revelation,
jumbled cultural situation of the last quarter of the twentieth
the idiosyncratic religious allusions in Saint OEM’s art
century, all manner of strange and forlorn artistic pro-
(Eddie Owen Martin, 1908–1986), the pop cultural appro-
duction.
priations in Howard Finster’s scrappy “messages” from God
and Elvis, and the dark distortions of Roman Catholic
In the 1980s several innovative art dealers on the mar-
themes in Henry Darger’s illustrations of cosmic conflict in-
gins of the mainstream New York art world, most notably
volving “little girls with penises.” Outsider art’s early associa-
Phyllis Kind, who was originally based in Chicago, daringly
tion with madness, ecstatic experience, spiritualism, medi-
started to exhibit European Art Brut along with various
umship, conspiratorial occultism, and syncretistic religion
homegrown talent. These exhibits included such artists as the
also indicates that there are many connections with, to bor-
Chicago Imagists; newly discovered psychotic masters, such
row from William James, the “varieties of religious experi-
as Martin Ramirez (1895–1963) and Henry Darger (1892–
ence”—that is, states of extraordinary and visionary con-
1973); and a number of so-called “contemporary folk artists”
sciousness, obsessive practice, and unusual imagery on the
from the American South, such as the amazingly prolific,
margins of mainstream or organized religious traditions.
self-taught visionary preacher-painter Howard Finster
Witness, among many possible examples, the detailed divine
(1916–2001). During this same period, there was also an in-
cosmology constructed by Wölfli, the “Bible code” imagery
creasing awareness of numerous environmental works by
seen in Norbert Kox’s work, or the architectural spiritualism
compulsive creators around the world (e.g., Ferdinand Ch-
pervading Achilles Rizzoli’s (1896–1981) meticulous draw-
eval [1879–1912] in France, Simon Rodia [c. 1879–1965]
ings. Another very evocative but controversial, example of
in North America, and Nek Chan in India) and, ever since
these associations is the apparent allusion to various “Afri-
the groundbreaking show in 1982, Black Folk Art at the
canisms” or fragmented or creolized aspects of traditional Af-
Corcoran Gallery in Washington, D.C., an increasing recog-
rican religious forms seen in African American art (Thomp-
nition of the rich tradition of self-taught African American
son, 1984). Finally, self-taught and outsider art involves
artists (e.g., Bill Traylor [1854–1947], Sam Doyle [1905–
specific stylistic features (such as a penchant for composi-
1986], Jimmy Lee Sudduth, Thornton Dial, Mose Tolliver,
tional horror vacui [the avoidance of empty space], a juxtapo-
Purvis Young, Charlie Lucas, Gregory Warmack or Mr.
sition of image and word, an emphasis on sign as subject, and
Imagination, and Lonnie Holley).
thematic repetition), the use of cast off or recycled materials,
By the early 1990s these movements had awkwardly co-
and a tendency to construct monumental assemblages and
alesced into the field called self-taught/vernacular/outsider
environmental works that often have religious and visionary
art. During the late 1990s and after the beginning of the
significance.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VISUALIZATION
9627
Even more provocative than these associations with con-
Beardsley, John. Gardens of Revelation: Environments by Visionary
ventional and unconventional forms of religion are the sug-
Artists. New York, 1995. Insightful and gracefully written
gestions in outsider art of deeper links between religious and
study of outsider environments.
aesthetic experience. Most broadly, art and religion deal with
Cardinal, Roger. Outsider Art. New York, 1972. Foundational
imaginative creations that are felt or sensed to surpass (emo-
work.
tionally, spiritually, essentially, or aesthetically) the merely
Danchin, Laurent. Jean Dubuffet. Paris, 2001. Helpful overview
material or rational. The underlying conviction for both is
of Dubuffet’s life and work.
that there is some experienced dimension of meaning, sa-
DeCarlo, Tessa. “Outsider Biographies vs. Outsider Art.” Raw Vi-
credness, power, sublimity, or beauty in or beyond the sur-
sion 41 (Winter 2002): 22–27. Interesting attempt to distin-
face of things. Art and religion—and in a heightened way,
guish outsider art from mainstream tradition.
outsider art and visionary experience—are therefore overlap-
Dissanayake, Ellen. Homo Aestheticus: Where Art Comes from and
ping interpretive categories that partially name or define cer-
Why. New York, 1992. Pioneering study of the origins of art
tain important aspects of human experience, expression, and
as related to ritual tradition.
practice in both a quotidian and extraordinary sense. To
Fine, Gary. Everyday Genius: Self-Taught Art and the Politics of
some extent it seems that all religious behavior originally
Representation. Chicago, 2004. Important sociological analy-
draws on visionary experience and involves aesthetically ex-
sis of the outsider art world.
pressive practices of making invisible spirit or meaning visual
Hemphill, Herbert W., and Julia Weissman. Twentieth-Century
and therefore memorable and real in persons, things, and ac-
American Folk Art and Artists. New York, 1974. Foundation-
tions. Indeed effective religion is (perhaps) always artistic in
al book in the emergence of the outsider field.
its expressive ways and ritual means, whereas the most pow-
Hartigan, Lynda Roscoe. Made with Passion. Washington, D.C.,
erful art (perhaps) always manifests some real ecstatic moti-
1991. Good source of information on Herbert Hemphill and
vation and performative intensity. One should look then to
his influence.
what is artistic in religious practice and to what is experien-
Janis, Sidney. They Taught Themselves: American Primitive Paint-
tially and practically religious in art. Both art and religion
ers of the 20th Century (1942). New York, 1999. Influential
involve the basic everyday human drive for order. Both refer
work on American naive artists.
to the possibility of feeling “in place” and seeing “something
MacGregor, John. The Discovery of the Art of the Insane. Princeton,
more” within and behind the changing surface of things
N.J., 1989. Scholarly history and analysis of the tradition as-
(something unexpected, something strange, something spe-
sociated with the art of the mentally ill.
cial, something sacred). And it is this kind of creative “mean-
Maizels, John, ed. Raw Vision Outsider Art Sourcebook. Radlett,
ing making” that is related to the imaginative “world build-
U.K., 2002. Overview of the state of the field by the leading
ing” or “making special” aspects of religion and art
outsider journal.
(Dissanayake, 1992; Morgan, 1998).
Morgan, David. Visual Piety, a History and Theory of Popular Reli-
Significantly the special synergy of artistic and religious
gious Images. Berkeley, Calif., 1998. See page xv. Ground-
experience and expression seems particularly vivid within the
breaking study of religion and art as related to American
field of self-taught and outsider art. Whereas most people are
Protestant tradition.
relatively content to live within the fractured and often de-
Peiry, Lucienne. Art Brut: The Origins of Outsider Art. Paris, 2001.
pressing worlds given to them, outsider artists, who in their
Accessible and knowledgeable discussion of the European
art compulsively–ecstatically construct new self-identities
tradition.
and elaborate artistic environments, are those few brave, tor-
Rhodes, Colin. Primitivism and Modern Art. New York, 1994.
mented, and virtuosic souls who are driven to transgress the
Broad survey study of the influence of primitivism.
confining boundaries of all conventional worlds. Their spe-
Rhodes, Colin. Outsider Art: Spontaneous Alternatives. New York,
cial romantic, nostalgic, or primitive appeal is that they are
2000. Excellent introduction to the field with special empha-
primordial creators, inventors, or world makers in a rough
sis on the European tradition.
and unexpected sense. These marginalized and often psycho-
Russell, Charles, ed. Self-Taught Art: The Culture and Aesthetics of
logically wounded artist-healers can be metaphorically placed
American Vernacular Art. Jackson, Miss., 2001. Collection of
in a lineage embracing the Paleolithic shaman, tribal black-
important articles on aesthetic theory as related to outsider
smith, trickster-fool, medieval mystic, Renaissance magus,
tradition.
and romantic artist. All have that conjoined religious and ar-
Thompson, Robert Farris. Flash of the Spirit. New York, 1984. In-
tistic ability to make their visions real and therapeutic for
fluential study of the African religious roots of African Amer-
others.
ican vernacular art and tradition.
NORMAN J. GIRARDOT (2005)
BIBLIOGRAPHY
Ardery, Julia S. The Temptation: Edgar Tolson and the Genesis of
Twentieth-Century Folk Art. Chapel Hill, N.C., 1998. Pro-
vocative sociocultural analysis of the transformation of folk
VISUALIZATION SEE BUDDHISM, SHOOLS OF;
art.
DAOISM; MEDITATION
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9628
VITAL, H:AYYIM
VITAL, H:AYYIM (1543–1620), noted Jewish mystic.
ing fortune-tellers and magicians in order to learn about the
H:ayyim Vital was born in Safad, the Galilean town north
past history of his soul and promises for the future. Sefer
of Tiberias that was the site of an important renaissance of
ha-h:ezyonot also records his rich dream life, in which Vital
Jewish mystical activity in the sixteenth century. His teacher
communicates with various teachers and sages.
in rabbinic subjects was Mosheh Alshekh, who ordained him
as a rabbi in 1590. In 1564 he became a student of Mosheh
BIBLIOGRAPHY
Cordovero, the most important teacher of Qabbalah (Jewish
The biographical details of H:ayyim Vital’s activities are found in
mysticism) in Safad before the arrival of Isaac Luria. When
Gershom Scholem’s Kabbalah (Jerusalem, 1974),
Luria came to Safad in 1570, Vital became his chief disciple,
pp. 443–448, and Scholem’s Major Trends in Jewish Mysti-
the role for which he is best known.
cism (1941; reprint, New York, 1961), pp. 254ff. Vital’s the-
ory of prophetic illumination, as presented in his book The
Following Luria’s death two years later, Vital was one
Gates of Holiness, is detailed in R. J. Zwi Werblowsky’s Joseph
of several disciples who assembled a written version of the
Karo (London, 1962), pp. 65ff. An interesting technique of
master’s teachings, since Luria himself had recorded almost
contemplation that Vital taught is examined in my article
nothing on his own. Vital’s corpus, the Shemonah she!arim
“Recitation of Mishnah as a Vehicle for Mystical Inspiration:
(Eight gates), is the most detailed version and the main one
A Contemplative Technique Taught by H:ayyim Vital,”
in which Lurianic teachings were circulated widely from
Revue des études juives 141 (January–June 1982): 183–199.
For a study of the religious climate in which Vital worked,
about the year 1660. During his lifetime Vital sought to
see my book Safed Spirituality: Rules of Mystical Piety; The Be-
guard Luria’s teachings jealously and to assume authority as
ginning of Wisdom (New York, 1984).
the sole legitimate interpreter of his master’s ideas. Thus in
1575 he secured the pledge of twelve of Luria’s former disci-
New Sources
ples to study Lurianic teachings only with him, as well as a
Bos, Gerrit. “Hayyim Vital’s ‘Practical Kabbalah and Alchemy’:
promise not to reveal more of Luria’s doctrines than Vital
A 17th Century Book of Secrets.” JJTP 4 (1994): 55–112.
wished. Such tactics were rooted partly in Vital’s conviction
Faierstein, Morris Moshe. “Rêves et dissonance dans le ‘Livre des
that he alone was capable of explaining Luria’s work, as well
visions’ de Hayyim Vital.” Cahiers du Judaïsme 13 (2003):
as in personal rivalries among Luria’s disciples. In any case,
32–40.
this study fellowship lasted only a short time, for in 1577
Wexelman, David M. The Jewish Concept of Reincarnation and
Vital moved to Jerusalem where he served as a teacher and
Creation: Based on the Writings of Rabbi Chaim Vital. North-
head of a school. In later years he lived again in Safad and
vale, N.J., 1999.
in Damascus, where he died in 1620.
LAWRENCE FINE (1987)
Besides his work as a teacher of Lurianic ideas and prac-
Revised Bibliography
tices, H:ayyim Vital composed a number of qabbalistic trea-
tises on his own. He wrote a commentary to the Zohar, the
classical text of thirteenth-century Qabbalah, based upon the
VIVEKANANDA was the religious name of Naren-
teachings of Mosheh Cordovero, to which he subsequently
dranath Datta, or Dutt (1863–1902), a leading spokesman
added notes in accordance with Luria’s ideas. An interesting
for modern Hinduism and neo-Veda¯nta in the late nine-
and important treatise intended to appeal to a wide audience
teenth century, and the founder of the Ramakrishna Mission
is Vital’s Sha!arei qedushah (The gates of holiness). This book
in India and the Vedanta Society in the West.
presents Vital’s cosmological and anthropological views, cul-
L
minating in an account of the process by which an individual
IFE. Narendranath came from a Bengali family, ka¯yastha by
caste, that since the early nineteenth century had improved
might achieve a state of prophetic illumination. An adept,
its social status through the process of westernization. Naren-
according to Vital’s four-part program, must repent for all
dranath’s great-grandfather had clerked for an English attor-
sins, meticulously observe all religious obligations, practice
ney in Calcutta, while his grandfather took the vow of
acts of purification such as ritual baths and the wearing of
sam:nya¯sa (renunciation) and abandoned his family shortly
clean clothes, and enter into a state of perfect silence and soli-
after the birth of his son, Vishwanath, who would be Naren-
tude. Following these preparatory exercises the soul begins
dranath’s father. Vishwanath became a prosperous lawyer in
an ascent to its personal source in the divine realm as the
the Calcutta High Court. The Datta home was a cosmopoli-
adept meditates upon the ten sefirot, the divine qualities of
tan one, in which the worlds of Bengali Hinduism and Indo-
personality that characterize the qabbalistic system. Success-
Muslim culture merged with European learning. Vishwanath
ful contemplation results in various experiences of mystical
knew Sanskrit and Arabic, enjoyed the poems of H:a¯fiz:, and
inspiration, including having a revelation of the prophet
read the Bible and QurDa¯n for pleasure. Narendranath re-
Elijah.
ceived schooling in both Bengali and English, eventually
Vital also composed a diary, Sefer ha-h:ezyonot (Book of
earning his bachelor’s degree in 1884. Narendranath had a
visions), which reveals his interest in all manner of magic and
prodigious intellect; he loved to read, ranging over Sanskrit
esoterica. Here Vital discloses his youthful enthusiasm for al-
texts, English literature, philosophy, and history. His reading
chemy, which he later lamented, as well as his habit of visit-
in the cultures of ancient Egypt, Rome, the Muslim world,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VIVEKANANDA
9629
and modern Europe all provided insights into the trajectory
the loss of two father-figures plunged Vivekananda into the
of Indian history and contributed to his understanding of the
depths of spiritual uncertainty. In 1885 he accepted Rama-
relationship between East and West. Later in life he would
krishna as his guru and began a period of intensive religious
elaborate these conclusions in a well-known Bengali work,
training that lasted until Ramakrishna’s death in August
Pra¯cya o pa¯´sca¯tya (East and West).
1886. During the intervening months, Ramakrishna
brought Narendranath to a personal experience of Ka¯l¯ı that
During his college years, Narendranath belonged to the
he considered his pupil’s final test.
Bra¯hmo Sama¯j, a reformist movement begun in 1828 by
Rammohan Roy (1772–1833) that promoted a vision of
The origins of the Ramakrishna Mission lie in the final
Hindu monotheism and rejected such practices as image
months of Ramakrishna’s life, when he nurtured Naren-
worship and renunciation. Narendranath approved of the
dranath’s spiritual development and prepared for his own
Bra¯hmos’ rationalism and concern for social service, but he
death. Ramakrishna asked Narendranath to look after the
could not accept their repudiation of sam:nya¯sa, a path for
welfare of the disciples, but left no explicit instructions be-
which he—like his grandfather—felt some affinity. In the
yond saying, “Keep my boys together” and “Teach them”
1870s the Bra¯hmos found themselves torn between the rela-
(Williams, 1989, p. 325). Official accounts report that just
tive importance of social reform, emphasized by Sivnath
before his death Ramakrishna transferred his spiritual powers
Sastri (1847–1919), and devotional worship, promoted by
to Narendranath, saying, “by the force of the power trans-
Keshab Chandra Sen (1838–1884). While Narendranath
mitted by me, great things will be done by you” (Life, 1989,
shared Sivnath’s goals, he also found himself drawn to
vol. 1, p. 182). With his passing, Narendranath was left to
Keshab’s eclectic spiritual vision. After 1875 Keshab began
make sense of the powerful mystical experiences induced by
visiting a little-known holy man named Ramakrishna (1834/
his master and to ensure that the other disciples lived up to
6–1886), a celibate devotee of the goddess Ka¯l¯ı, a man un-
the master’s ideal of renunciation. The precise date for the
learned in a formal sense but wise in religious experience.
emergence of the monastic movement differs “according to
Narendranath first met Ramakrishna in 1881. Although im-
the perspective of the chroniclers” (Pangborn, 1976, p. 98).
pressed by the depth of Ramakrishna’s renunciation and
Some choose the day in January 1886 when Ramakrishna
spiritual attainments, he was disturbed by Ramakrishna’s
distributed ochre robes to the disciples; some choose Christ-
image-oriented worship of Ka¯l¯ı and his apparent lack of so-
mas eve of that year, when Narendranath led the disciples
cial concern. While Narendranath believed in the formless-
in a vigil of renunciation around a bonfire; others emphasize
ness of God, Ramakrishna urged him to meet God in person
the day in January 1887 when the disciples held a fire cere-
by worshiping Ka¯l¯ı.
mony at which they adopted monastic names, prefixed by
Official accounts say that at their first meeting Rama-
the title swami (Skt., sva¯m¯ı, “master”). Narendranath would
krishna took Narendranath aside and said to him, “Lord, I
initially be known as Swami Vividishananda, though this
know you are that ancient sage, Nara, the Incarnation of
would change.
Narayana, born on earth to remove the miseries of man-
Narendranath taught the disciples as best he could for
kind.” Narendranath was reportedly “altogether taken
several years, yet he remained uncertain of his own religious
aback” by this and concluded that Ramakrishna was a mad-
views. In 1890 he set off from Calcutta with nothing but a
man (Life, 1989, vol. 1, p. 76). At the same time, Naren-
staff and begging bowl on an extended pilgrimage through-
dranath was captivated by Ramakrishna; here was a man who
out India, during which he attempted to reconcile the philo-
claimed to have seen God and who spoke of religion as some-
sophical and devotional insights of Ramakrishna with the so-
thing real to be experienced directly. Nevertheless, such mys-
cial concerns of the Bra¯hmo movement. Internally, he
tic talk was far removed from the safety of Narendranath’s
sought realization of the absolute; externally, he sought
rationalism.
knowledge of India and the world. This search would even-
Unable fully to come to terms with Ramakrishna’s
tually take him far beyond India, though India remained the
views, Narendranath withdrew periodically during his col-
focus of his patriotic spiritual vision. When he heard that a
lege years to immerse himself in Western philosophy and sci-
World’s Parliament of Religions was to be held in Chicago
ence, as well as in Indian music, for he excelled as a singer.
in the autumn of 1893, Narendranath conceived a plan to
Narendranath’s singing affected Ramakrishna deeply, and he
seek Western material support for the revitalization of Hin-
pursued Narendranath as someone who had the potential for
duism and in return to share Hindu spiritual insights with
spiritual greatness.
the world. He obtained travel funds from the ma¯hara¯ja¯ of
Khetri, who suggested he adopt the religious name Viveka-
In 1884, Keshab died; two months later, Naren-
nanda (Skt., “he whose bliss lies in discerning knowledge”).
dranath’s father died. Keshab’s death meant his followers
With his patron’s support and a new monastic name, he left
were deprived of the spiritual charisma that united them,
for the United States.
while the death of Vishwanath plunged Narendranath’s fam-
ily into financial ruin. Narendranath, at twenty-one, had to
Although Vivekananda was not the only Hindu repre-
abandon his plans to go to England to study law. There were
sentative at the World’s Parliament of Religions in Chicago,
lawsuits within the family over property. In such a context,
he was the most dynamic. In contrast to the learned disserta-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9630
VIVEKANANDA
tions by other Hindu speakers, Vivekananda gave a powerful
humans may proclaim ´sivo’ham, “I am God,” this very in-
argument for the universal truth of Hinduism, which he
sight also obliges them to acknowledge the truth of daridra
claimed was grounded in experience, not dogma. “The
na¯ra¯yan:a, “God dwells within the poor.” Thus, nondual in-
Hindu religion does not consist in. . .attempts to believe a
sight provides an ethical imperative for social service. With
certain doctrine. . .but in realizing,” he claimed (Complete
fiery rhetoric, Vivekananda exhorted listeners to “Arise,
Works, 1964, vol. 1, p. 7). His lectures brought him wide-
awake, and stop not till the desired end is reached” (Complete
spread attention in the press and numerous speaking engage-
Works, 1964, vol. 3, p. 318). He called upon his followers
ments. Having attracted a dedicated group of Western fol-
to promulgate a manly religion that would have the energy
lowers, he shifted his plans from raising money for India to
and courage to overcome India’s discriminatory caste prac-
creating a worldwide religious movement based on the eter-
tices and interreligious strife. Such would be true service to
nal truths of Hinduism. With that purpose, and with his new
Ramakrishna’s Divine Mother as embodied in India herself.
Western disciples as the core, he founded the Vedanta Soci-
ety in New York in 1895. He soon had chapters in London
By adopting Veda¯nta as the essence of Hindu spirituali-
and Boston, for which he summoned two swamis from India
ty, Vivekananda built upon a revalorization of Veda¯nta that
to help direct their work. The mission to the West was well
had begun with Rammohan Roy and the Bra¯hmo move-
under way by the end of 1896 when Vivekananda left for
ment. However, Vivekananda’s neo-Veda¯nta combines
India to begin the second phase of his program.
Bra¯hmo worldliness with the mysticism of Ramakrishna,
which Vivekananda understood in terms of the classical sys-
Vivekananda’s arrival in India early in 1897 with a
tem of nondual philosophy known as Advaita Veda¯nta.
group of Western disciples was treated by the Indian press
Scholars debate whether Ramakrishna viewed himself as a
as a triumphal return, but not all Hindus were happy with
Veda¯ntin; the case can be made that his nondualism was
his aggressive proselytizing of Westerners or with his unor-
more Tantric than Veda¯ntic. What is clear is that Vivekanan-
thodox ideas. Ramakrishna’s former disciples, whom Naren-
da’s Practical Veda¯nta represents a creative transformation of
dranath had left seven years earlier, were themselves uncer-
Ramakrishna’s teaching. Some argue that the officially sanc-
tain how to respond to Narendranath-turned-Vivekananda
tioned neo-Veda¯nta of the Ramakrishna movement reflects
and his Western disciples. They were even more uncertain
the impact upon Vivekananda of Western reconstructions of
when Vivekananda revealed his plan to turn them into a
Advaita Veda¯nta as found in influential writers like Arthur
band of modern sam:nya¯sins dedicated to social service (seva¯),
Schopenhauer and Paul Deussen. Others view Vivekanan-
a plan he claimed Ramakrishna had intended.
da’s concern with social service as a result of his exposure to
Vivekananda’s dynamism and persuasive powers carried
Christianity and modern Western thought as a young man.
the day; the disciples were won over to his program of seva¯.
The influence of Bra¯hmo thought must also be acknowl-
To implement this program, Vivekananda instituted the Ra-
edged. Clearly the genesis of Vivekananda’s teaching lies in
makrishna Mission on May 1, 1897, organizing the monks
a context of cultural change in which competing Hindu phi-
in a new Ramakrishna Math (Skt., mat:ha, “monastery”). In
losophies like Veda¯nta and Tantra were actively converging
1898, with money from Western disciples, he purchased a
with Western norms of egalitarianism, positivism, and ratio-
site on the Ganges near Calcutta for a center to house what
nality, as well as with Orientalist constructions of Hinduism
would become the Ramakrishna Math and Mission. The
and Indian culture more broadly.
worldwide organization was established by 1899, at which
L
point Vivekananda turned over the active work of the move-
EGACY. Vivekananda’s teaching of the universal truths of
Hinduism and his example of a selfless love for the Indian
ment to his Indian and Western disciples. After visiting
friends in the United States and Europe from 1899 to 1900,
people had an immense impact on modern Hindu discourse
Vivekananda returned to India in semiretirement. He died
and apologetics in the early twentieth century, gaining appre-
on July 4, 1902.
ciation and reinforcement from figures like Mohandas Gan-
dhi (1869–1948) and Sarvepalli Radhakrishnan (1888–
TEACHINGS. In less than forty years of life, and in less than
1975). One of his greatest legacies may be seen in the place
ten years of intensive effort, Vivekananda redefined India’s
accorded to religious experience (anubhava) within modern
relationship to the West, prescribing Hindu spirituality as
Hindu thought. As we have seen, to Vivekananda, experi-
the antidote to Western materialism. Vivekananda’s teaching
ence was the source of truth, not books or dogmas; “until
was not the Hinduism of the orthodox, nor was it the re-
your religion makes you realize God, it is useless” (Complete
formed monotheism of the Bra¯hmos. In its eclectic universal-
Works, 1964, vol. 1, p. 326). For Vivekananda, it was Hin-
ism it shares much with Keshab Chandra Sen’s spirituality,
duism’s genius to have discovered the deepest truths of yogic
yet its spiritual fountainhead lay in the mystic insights of Ra-
experience through the teachings of Veda¯nta. In Radhakrish-
makrishna.
nan and other early twentieth-century Hindu apologists, this
Vivekananda taught the virtues of what he called “Prac-
neo-Veda¯nta appeal to experience would be elevated to the
tical Veda¯nta,” a universal Hinduism that combined practi-
very core of religion itself, providing colonized Hindus with
cal work for the world with the quest for ultimate union with
a powerful strategy for responding to Western, Christian de-
the One. Put simply, Practical Veda¯nta teaches that while
nunciations of Hinduism. Indeed, the neo-Veda¯nta evoca-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VLADIMIR I
9631
tion of India’s spiritual wisdom became something of a spiri-
Vivekananda in Europe Reconsidered: Perceptions of the West
tual rallying cry for nationalist mobilization.
in Nineteenth-Century Bengal (New Delhi, 1988). Early
scholarly studies of Vivekananda’s career and philosophy in-
Recognizing the degree to which the Indian nationalist
clude George M. Williams, The Quest for Meaning of Svami
movement came to be couched in Hindu idioms, scholars
Vivekananda (Chico, Calif., 1974) and, “Svami Vivekanan-
have raised questions regarding Vivekananda’s responsibility
da: Archetypal Hero or Doubting Saint?” in Religion in Mod-
for the subsequent development of more aggressive forms of
ern India, edited by Robert D. Baird, 2d rev. ed. (New Delhi,
Hindu chauvinism and for the increased polarization of Hin-
1989), pp. 313–342. The essays in Swami Vivekananda and
dus and Muslims. The question is both legitimate and com-
the Modernization of Hinduism, edited by William Radice
plex. On the one hand, Vivekananda’s Veda¯ntic universalism
(New Delhi, 1998), explore Vivekananda against the back-
does carry an implicit claim for the superiority of Hinduism;
drop of education and socioreligious reform, while Gwilym
on the other, he regularly praised the spiritual ideals of Islam,
Beckerlegge, The Ramakrishna Mission: The Making of a
the possibilities for Hindu-Muslim cooperation, and the
Modern Hindu Movement (New York, 2000) provides per-
spectives on several critical issues. Vivekananda’s relationship
need for religious tolerance more broadly. If Vivekananda’s
to the broader Ramakrishna Mission received early attention
name and message are occasionally used to promote the idea
in Cyrus Pangborn, “The Ramakrishna Math and Mission:
that India is a Hindu nation, this is perhaps a case of unin-
A Case Study of a Revitalization Movement,” in Hinduism:
tended consequences, a reminder us of the complex dynam-
New Essays in the History of Religions, edited by Bardwell L.
ics of religion and politics in the colonial and postcolonial
Smith (Leiden, 1976), pp. 98–119. In the wake of post-
context.
colonial studies, the question of Vivekananda’s relationship
to Indian nationalism, communal politics, and Hindu uni-
In a similar fashion, feminist scholarship has encouraged
versalism has been revisited by Shamita Basu in Religious Re-
the exploration of issues of gender, power, and identity as
vivalism as Nationalist Discourse: Swami Vivekananda and
these are manifested in the life and teachings of Vivekananda
New Hinduism in Nineteenth-Century Bengal (New Delhi,
and the Ramakrishna movement. Himself a spiritual seeker
2002) and Brian A. Hatcher in Eclecticism and Modern
drawn to a celibate guru with a visceral fear of women and
Hindu Discourse (New York, 1999). For Sister Nivedita’s
heterosexual contact, Narendranath toured the West as the
view of Vivekananda, see her The Master as I Saw Him (Cal-
dynamic and alluring Vivekananda, whose colorful silk robes
cutta, 1910), while issues of gender are explored in Indira
and turbans captivated women in audiences from Boston to
Chowdhury, The Frail Hero and Virile History: Gender and
Pasadena. Indeed, he attracted a number of devoted women
the Politics of Culture in Colonial Bengal (New Delhi, 1998);
disciples in the West, such as Christine Greenstidel, Marie
Parama Roy, Indian Traffic: Identities in Question in Colonial
and Postcolonial India (Berkeley, 1998); and Kumari Jaya-
Louise, and Margaret Noble. Noble, who adopted the name
wardena, The White Woman’s Other Burden (New York,
Sister Nivedita, was very close to Vivekananda, traveling ex-
1995). For Vivekananda’s writings, the standard source is
tensively with him in India and participating in his broader
The Complete Works of Swami Vivekananda, 8 vols., 14th ed.
attempt to Indianize the notion of womanhood in the service
(Calcutta, 1964). Vivekananda’s scriptural hermeneutics are
of mother India. Such relationships, when set over against
investigated in Anantanand Rambachan, The Limits of Scrip-
Vivekananda’s rhetoric of masculinity, provide fruitful
ture: Vivekananda’s Reinterpretation of the Vedas (Honolulu,
ground for exploring the gendering of nationalist projects,
1994).
as well as the limitations imposed on women agents by this
THOMAS J. HOPKINS (1987)
very process. As with Veda¯nta and Hinduism, the legacy of
BRIAN A. HATCHER (2005)
Vivekananda with respect to issues of gender and Indian
identity is a complex and fascinating one.
SEE ALSO Bra¯hmo Sama¯j; Ramakrishna; Sam:nya¯sa.
VLADIMIR I (d. 1015), founder and saint of the Russian
Orthodox church. Vladimir (Volodimir, Valdimar?; mean-
BIBLIOGRAPHY
ing “he who rules the world”) was the Varangian, or Scandi-
Details of Vivekananda’s life and career were compiled in two vol-
navian, prince of Kiev who established Christianity in the
umes by his followers as The Life of Swami Vivekananda, by
lands of Rus’ and is thereby recognized as the founder of the
His Eastern and Western Disciples, 6th ed. (Calcutta, 1989).
Russian (and Ukrainian) Orthodox church. According to the
Older biographical studies by disciples and enthusiasts in-
legends recorded in the Russian Primary Chronicle (c. 1111),
clude Swami Nikhilananda, Vivekananda: A Biography (New
Vladimir, in his search for a religion for his pagan people,
York, 1953) and Romain Rolland, The Life of Vivekananda
was courted by Latin Christians from the West as well as Jew-
and the Universal Gospel, 6th ed. (Calcutta, 1965). Amiya P.
ish Khazars and Muslim Bulgars. He chose Greek Christiani-
Sen provides a brief, unannotated biography in Swami
ty when, the chronicle declares, his ambassadors reported to
Vivekananda (New Delhi, 2000), while Rajagopal Chatto-
padhyaya scrutinizes received accounts in Swami Vivekanan-
him after visiting the Cathedral of the Holy Wisdom (Hagia
da in India: A Corrective Biography (Delhi, 1999). For a criti-
Sophia) in Constantinople: “We knew not whether we were
cal interpretation, see Narasingha P. Sil, Swami
in heaven or on earth. For on earth there is no such splendor
Vivekananda: A Reassessment (Selinsgrove, Pa., 1997). These
or such beauty. . . . We cannot forget that beauty” (quoted
may be compared with Tapan Raychaudhuri’s sketch of
in Dvornik, 1956, p. 205).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9632
VOCATION
Vladimir married the Byzantine princess Anna and was
VOCATION is a divine call or election, of a revelatory
baptized, with the Byzantine emperor as his godfather, by the
character, addressed to religiously gifted or charismatic per-
bishop of the Greek city of Kherson, whose clergy came, at
sonalities. It forms the first phase of their initiation into an
Vladimir’s command, to christen the Kievan peoples in the
often unwillingly accepted intermediary function between
Dnieper River in the year 988. Vladimir was partly motivat-
human society and the sacred world. Unlike functionaries
ed in his choice of religions by the political, military, and
with a special, well-defined religious task in a given group
economic advantages of an alignment with the Byzantines,
or culture (such as priests or even heads of families and elder-
and he is also considered to have been influenced by the bap-
ly men, who bring offerings and give religious instruction),
tism of his grandmother Olga, who had become Kiev’s ruler
vocation is often felt by persons outside or on the fringe of
in 945 upon the death of her husband, Igor. Olga was a com-
the established institutions, whose charismatic and often ab-
mitted Greek Christian baptized in 957, perhaps in Constan-
normal psychic character makes them appear as prophets,
tinople with the empress Helen as her godmother.
founders or reformers of religion, saints, or shamans. Those
Russian legends magnify the radical change in Vladimir
called, therefore, often make their appearance in periods of
after his conversion and the establishment of Christianity in
social turmoil or crisis. Sometimes they start a new religious
Kiev, both in the prince’s personal life and in his public poli-
movement that implies a break with the past, or else they ex-
cies. He is said to have abolished torture and the practice of
orcise illness, famine, or drought, which destabilize personal
capital punishment, an unheard-of action for his time and
or social health.
one allegedly opposed by the Greek bishops. He also gave
Vocation is experienced as divine revelation through
up his five wives and hundreds of concubines (the Primary
various media (voices, visions, and dreams, exceptional acci-
Chronicle speaks of eight hundred) in favor of monogamous
dents, severe illness, absentmindedness or insanity, and at-
fidelity to his Christian bride. He publicly desecrated statues
tacks of epilepsy), and it is sometimes accompanied by spe-
to Perun and the other local gods and constructed a new ca-
cial cosmic phenomena such as a solar eclipse, an earthquake,
thedral for his Christian bishop. He also introduced the use
or lightning. It usually provides the persons “called,” often
of the Slavonic language into church worship, using the liter-
after initial resistance and unwillingness, with special knowl-
ary language developed a century earlier by the Greek mis-
edge and missionary zeal for the rest of their lives.
sionary brother-saints, Cyril and Methodius, for their Slavic
converts in Moravia and Bulgaria. The introduction of this
A true prophet was the Iranian Zarathushtra (Zoroas-
language is considered to be the single most important factor
ter), who probably lived at the beginning of the first millen-
in guaranteeing the Christian unity and development of the
nium BCE and was called by his god, Ahura Mazda, to preach
various peoples under his rule.
the coming of his reign. Zarathushtra’s prophecy is charac-
terized by an intimate personal relationship with his god and
Vladimir was succeeded by his son Iaroslav the Wise
a highly moral and intellectual tone. It was Zarathushtra
(1036–1054) after a bloody war between Vladimir’s sons
“who first thought the good, spoke the good and did the
from 1015 to 1036, during which his son Sviatopolk, who
good, . . . the first revealer” (Yashts 13.88). Although of a
was ultimately defeated by Iaroslav, killed two other younger
wealthy aristocratic family, his vocation brought him into
sons, Boris and Gleb. Boris and Gleb, who, in order to save
poverty, permanent conflict with the established priesthood,
the lives of their followers, refused to enter into battle against
and even exile.
Sviatopolk, became the first canonized saints of the Russian
church, known in tradition as the “passion-bearers.” Vladi-
Further important material is provided by the reports
mir, with his grandmother Olga, is a canonized saint of the
on the vocation of the prophets of Israel and other chosen
Russian Orthodox church with the liturgical title of “equal
persons, as told by themselves or contained in the historical
to the apostles” because of his role in Christian conversion.
books of the Hebrew Bible. The prophet Isaiah tells about
his vocation which took place in a vision in which he heard
BIBLIOGRAPHY
the voice of the Lord:
The Russian Primary Chronicle contains the story of the reign of
In the year that King Uzziah died I saw also the Lord
Vladimir and the beginnings of Christianity in “the land of
sitting upon a throne, high and lifted up, and his train
Rus’.” The Laurentian text has been translated by Samul
filled the temple. Above it stood the seraphim, . . . and
Hazzard Cross and Olgerd P. Sherbowitz-Wetzor as the Me-
one cried to another and said, Holy, holy, holy is the
dieval Academy of America’s Publication no. 60 (Cam-
Lord of hosts. . . . Then said I, Woe is me! for I am
bridge, Mass., 1953). A critical study of Vladimir’s time fo-
undone; because I am a man of unclean lips. . . . Also
cusing on the conversion of the Kievan peoples is provided
I heard the voice of the Lord, saying, Whom shall we
in Nicolas de Baumgarten’s Saint Vladimir et la conversion de
send, and who will go for us? Then said I, Here am I,
la Russie (Rome, 1932). This work contains 310 bibliograph-
send me. (Is. 6:1–8)
ical items. A general study of the period is given in Francis
Dvornik’s The Slavs: Their Early History and Civilization
Seeing visions, hearing voices, and being filled with a divine
(Boston, 1956). This work contains an extensive bibli-
spirit are the most frequent media through which the proph-
ography.
ets of Israel received their vocation to preach the word and
THOMAS HOPKO (1987)
will of their God, whose appearance often has ecstatic charac-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VOCATION
9633
ter. Their activities are sometimes accompanied by miracles,
The history of Christianity and its various offspring
as in the story of Elijah and the priests of Baal (1 Kgs. 18),
shows a wide variety of vocations of saints, reformers, and
where Elijah brings down the fire of the Lord from heaven
prophets. Joan of Arc (1412–1431) received a vocation as a
and performs the role of rainmaker, bringing a period of seri-
little girl in a garden. She heard a loud voice and saw a bril-
ous drought to its end. Like most of the other prophets of
liant light and the archangel Michael escorted by a legion of
Israel, Elijah was in strong opposition to the religious estab-
angels. Michael the Archangel announced the arrival of Saint
lishment and practices of his time.
Catherine and Saint Margaret, who urged her to help the
French king and save France, a task she accepted after long
In the New Testament, Jesus’ baptism in the river Jor-
hesitation.
dan, during which he saw the heavens open, the Spirit de-
scending like a dove upon him, and a voice from heaven say-
Most nativistic cults and messianic movements that are
ing: “Thou art my beloved Son, in whom I am well pleased”
the result of an acculturation conflict are initiated by the vo-
(Mk. 1:9–11 and parallels), is a traditional vocation with the
cation of a prophetic leader, involving a remarkable amalgam
fixed elements of a vision, the Spirit, and a voice immediately
of elements from the old and the new religion. Such is the
followed by the temptation in the wilderness, which forms
case in the Shaker religion in the northwestern United States
Jesus’ initiation into his public role, again in opposition to
and in the Ghost Dance movement among the North Ameri-
the Jewish establishment of his days. The persecutor Saul be-
can Indians. The second wave of the Ghost Dance was initi-
came the apostle Paul through a vocation consisting of a vi-
ated by the Indian laborer Wovoka in 1890. During a solar
sion of heavenly light, a voice calling to him, and a temporary
eclipse he had an attack of fever and heard his fellow tribes-
blindness. After three days he was cured and filled with the
men make a loud noise to drive away the monster that de-
Holy Spirit (Acts 9). The vocation initiates a process of re-
voured the sun. Then he had the following vision:
birth, making Saul into the second founder of Christianity.
When the sun died, I went up to heaven and saw God
Mani (b. 216 CE), the founder of Manichaeism, received
and all the people who had died a long time ago. God
his first vocation at the age of twelve when an angel appeared
told me to come back and tell my people they must be
to him like “a flash of lightning,” ordering him to leave the
good and love one another and not fight, or steal or lie.
He gave me this dance to give to my people.
community in which he was reared. The angel was sent by
the King of Light and in Manichaean sources is called the
Other less peaceful messianic movements also began with the
Twin or the Paraclete. It was a kind of heavenly double that
vocation of a prophet. W. W. Harris of Cape Palmas in Libe-
guarded him during his youth, showed him many “visions
ria was jailed in 1912 because his preaching was suspected
and sights” and appeared again to him “in great glory” when
of inciting rebellion against the Liberian government. In a
he was twenty-four years old. The Twin revealed to him all
nocturnal vision the angel Gabriel appeared to Harris and
the mysteries of the world: “what my body is, in what way
called him to become the prophet of Africa; thus began his
I have come, . . . who my Father on high is, . . . the
very successful missionary travels along the west coast of Afri-
boundless heights and the unfathomable depths.” The spirit
ca, which lasted for two years.
sends Mani, who is very hesitant about his vocation, out into
the world to proclaim his saving message, promising him:
Also well-known is the vocation of the shaman, which
“You, then, expound all that I have given to you. I shall be
forms the first phase of a long and difficult initiation into
your ally and protector at all times.” Here again the first vo-
this ecstatic religious function that mediates between the
cation is followed by a period of mental preparation in close
world of the spirits and the world of men. Shamanism occurs
relationship with the spirit, who functions as a guarding spir-
all over the world, but principally in northern and Inner Asia
it and eventually brings about the revelation of perfect divine
and in North America. The vocation of the future shaman
knowledge.
manifests itself in a significant change of behavior, in mental
illness, hallucinations, epileptic attacks, strange accidents or
Muh:ammad, the prophet of Islam, obtained his voca-
ordeals, in all of which the activities of the guardian spirit
tion (in 609 or 610 CE when he was about forty years old)
are experienced. A shaman of the Yakuts in Siberia told how
after a long period of mental crisis and growing unhappiness
he became ill at the age of twenty, saw visions and heard
with religious practice in his birthplace, Mecca; as a result,
strange voices, and struggled with the spirit for nine years.
there ensued serious conflicts with the local tribal establish-
In the end he almost died; finally he began to be a shaman,
ment and his eventual departure (Hijrah) for Medina in 622
and his illness was cured. The vocation of the shaman is in
CE. The QurDa¯n contains some scanty allusions to the Proph-
almost all cases associated with an initiatory sickness that
et’s vocation, which took place in a nocturnal vision, perhaps
brings him to the threshold of death, often resulting in a
at Jerusalem, in which he saw Alla¯h or the angel Gabriel, who
complete disintegration of his personality, which is then re-
gave him the essence of the QurDanic message (su¯rahs 17:1,
integrated in the initiation. It is a process of death and re-
53:1–18, 81:19–26). Muh:ammad was so confused that he
birth. The future shaman sometimes sees in dreams or vi-
believed himself mad. Later Islamic tradition developed this
sions his head chopped off, his body reduced to a
theme into the legend of Muh:ammad’s nightly ascension to
dismembered skeleton or boiled in a kettle, symbols belong-
heaven and descent with the heavenly QurDa¯n.
ing to archaic cultural patterns in which the myth of life out
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9634
VODOU
of death is predominant. The powerful symbolism of the
third of the island of Hispaniola, which it shares with the
shamanic vocation as the initiatory phase of a process of re-
Dominican Republic.
birth is the most profound expression of the meaning of
This is where Caribbean Vodou began, but Haiti is not
every vocation: being called and reborn into a new condition
the only place Vodou in practiced. Vodou is also a central
of life in order to minister to and save fragile human lives
part of everyday life in Haitian diaspora communities in
with the help of the divine world to which the vocation gives
New Orleans and Santiago, Cuba, both products of the up-
entrance.
heaval caused by the Haitian Revolution (1791–1804). More
recent political and economic struggles in Haiti have also led
BIBLIOGRAPHY
to Vodou communities in New York City, Miami, Montreal,
A comprehensive study of the various forms of vocation is still
lacking. William James’s The Varieties of Religious Experience
and Paris.
(New York, 1902) remains basic for the correct understand-
In Haiti, vodou originally referred to one ritual style
ing of the psychology of the divine call. For the phenomenon
among many in their syncretic religious system, the style
of the Hebrew prophets and related persons, see Erich Fas-
most closely connected to Dahomey and the Fon language.
cher’s Prophetes: Eine sprach- und religionsgeschichtliche Un-
tersuchung (Giessen, 1927) and Johannes Lindblom’s Prophe-
The word vodou is derived from the Fon vodun, which means
cy in Ancient Israel (Philadelphia, 1962). Arthur Darby Nock
“god” or “spirit.” Hoodoo is a related term from the same Fon
offers an excellent introduction to the early Christian and
word, yet, in the United States, it is almost always used as
Hellenistic world in Conversion: The Old and the New in Reli-
a derogatory term that focuses on black magic spells and
gion from Alexander the Great to Augustine of Hippo (Oxford,
charms.
1933). For vocation in messianic movements, see Peter Wor-
sley’s The Trumpet Shall Sound: A Study of “Cargo” Cults in
Sensationalized novels and films, as well as spurious
Melanesia (London, 1957); Bengt M. Sundkler’s Bantu
travelers’ accounts, have painted a negative picture of Hai-
Prophets in South Africa, 2d rev. ed. (London, 1961); Wilson
tian religion. Vodou has been depicted as primitive and igno-
D. Wallis’s Messiahs: Their Role in Civilization (Washington,
rant. Vodou rituals have been described as arenas for uncon-
D.C., 1943), a general work; and I. M. Lewis’s Ecstatic Reli-
trolled orgiastic behavior, and even cannibalism. The same
gion (Harmondsworth, 1971). For the various forms of sha-
writers stir up fear of Vodou and suggest that if whites get
manistic vocation, Mircea Eliade’s Shamanism: Archaic Tech-
too close to a Vodou ceremony terrible things could happen.
niques of Ecstasy, rev. & enl. ed. (New York, 1964), is
These distortions are attributable to the fear that the Haitian
fundamental. Eliade’s Birth and Rebirth: The Religious Mean-
slave revolution sparked in whites. Haiti achieved indepen-
ing of Initiation in Human Culture (London, 1958) is a good
dence in 1804, and thus became the first black republic in
introduction in the complex field of vocation and initiation.
the Western Hemisphere at a time when the colonial econo-
New Sources
my was still heavily dependent on slave labor.
Harper-Bill, Christopher. Christian Religious Beliefs and Ecclesiasti-
cal Careers in Late Medieval England. Studies in the History
In Vodou there are three (not always clearly distin-
of Modern Religion. Rochester, N.Y., 1991.
guished) categories of spiritual beings: lemò, lemistè, and le-
Harran, Marilyn. “The Contemporary Applicability of Lutheran
marasa (respectively, “the dead,” “the mysteries,” and “the
Pedagogy; Education and Vocation.” Concordia Jounral 16
sacred twins”). While certain Vodou prayers, songs, and in-
(1990): 319–332.
vocations preserve fragments of West African languages,
Mahon, Brain J. Forgetting Ourselves on Purpose: Vocation and the
Haitian Creole is the primary language of Vodou. Creole is
Ethics of Ambition. New York, 2002.
the first and only language of more than one half the popula-
Schwehn, Mark. Exiles from Eden: Religion and the Academic Voca-
tion of Haiti. It has a grammatical structure familiar to
tion in America. New York, 1993.
speakers of West African languages and an eighteenth-
century French vocabulary mixed with a smattering of En-
HAN J. W. DRIJVERS (1987)
glish words and expressions.
Revised Bibliography
Although individuals and families regularly serve the
Vodou spirits without recourse to religious professionals,
throughout most of Haiti there is a loosely organized priest-
VODOU is a sometimes misleading, but nevertheless
hood open to both men and women. The male priest is
common, name for the religious practices of the majority of
known as an oungan and the female priest is a manbo. There
Haitians. Outsiders have given the name Vodou to the com-
is a wide spectrum of Vodou ritualizing. There are individual
plex web of traditional religious practices followed in Haiti.
acts of piety, such as lighting candles to petition particular
Only recently, and still to a limited extent, have Haitians
spirits, and elaborate feasts, sometimes lasting days and in-
come to use the term as others do. Haitians prefer a verb to
cluding the sacrifice of several animals as part of the meals
identify their religion: they speak of “serving the spirits.”
offered to the spirits. Energetic singing, dancing, and
A mountainous, poverty-stricken, largely agricultural
polyrhythmic drumming accompany the larger rituals. In the
country of approximately eight million people, Haiti has a
countryside, rituals often take place outdoors, on family land
land area of 10,700 square miles and occupies the western
set aside for the spirits, and there is often a small cult house
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VODOU
9635
on that land where the family’s altars are kept. Urban Vodou
Many of the names of Vodou spirits are easily traceable to
rituals tend to take place in an ounfò (“temple”). Urban al-
their African counterparts; however, the spirits have under-
tars, dense with sacrificial food and drink, sacred stones, and
gone change in the context of Haiti’s social and economic
chromolithographs of the Catholic saints and other images,
history. For example, Ogun among the Yoruba is a spirit of
are maintained in jèvo (“altar rooms”) off the central dancing
ironsmithing and other activities associated with metal, such
and ritualizing space of the temple, the peristyl. In the cities,
as hunting, warfare, and modern technology. Neither hunt-
those who serve the spirits also tend to keep more modest
ing nor modern technology plays much of a role in the lives
altars in their own homes.
of Haitians. Haiti, however, does have a long and complex
The goal of Vodou drumming, singing, and dancing is
military history. Thus, the Haitian spirit Ogou is first and
to chofè, to “heat up,” the situation sufficiently to bring on
foremost a soldier whose rituals, iconography, and posses-
possession by the spirits. As a particular spirit is summoned,
sion-performance explore both the constructive and destruc-
a devotee enters a trance and becomes that spirit’s chwal
tive uses of military power, as well as its analogues with
(“horse”), thus providing the means for direct communica-
human relations—anger, self-assertion, and willfulness.
tion between human beings and the spirits. The spirit is said
Africa itself is a powerful concept in Vodou. Haitians
to ride the chwal. Using the person’s body and voice, the
speak of Ginen (“Guinea”) both as their ancestral home, the
spirit sings, dances, and eats with the people and also deals
Guinea coast of West Africa, and as the watery subterranean
out advice and chastisement. The people in turn offer the
home of the Vodou spirits. Calling a spirit franginen, (“fully
spirit a wide variety of gifts and acts of obeisance, the goal
and completely African”) is a way of indicating that the spirit
being to placate the spirit and ensure his or her continuing
is good, ancient, and proper. The manner in which an indi-
protection.
vidual or a group serves the spirits may also be called fran-
There are marked differences in Vodou as it is practiced
ginen, with similar connotations of approval and propriety.
throughout Haiti, but the single most important distinction
is that between urban and rural Vodou. Haitian society is
ROMAN CATHOLIC INFLUENCE. For the most part, the slave-
primarily agricultural, and the manner in which peasants
holders were Catholics and baptism for slaves was mandatory
serve the spirits is determined by questions of land tenure
by French law. Many have argued that slaves used a veneer
and ancestral inheritance. Urban Vodou is not tied to specif-
of Catholicism to hide their traditional religious practices
ic plots of land, but the family connection persists in another
from the authorities. While Catholicism may well have func-
form. Urban temple communities become substitutes for the
tioned in this utilitarian way for slaves on plantations, it is
extended families of the countryside. The priests are called
also true that the religions of West Africa from which Vodou
“papa” and “mama”; the initiates, who are called “children
was derived, already had a tradition of borrowing the deities
of the house” or “little leaves” refer to one another as “broth-
of neighbors and enemies alike. Whatever Catholicism repre-
er” and “sister.” In general, urban Vodou is more institution-
sented in the slave world, it was most likely also used as a
alized and often more elaborate in its rituals than its rural
means to expand Vodou’s ritual vocabulary and iconogra-
counterpart.
phy, thus helping captive laborers function in a nominally
A
Catholic world. In 1804, immediately after Haiti declared
FRICAN INFLUENCE. Haiti’s slave population was built up
in the eighteenth century, a period in which Haiti supplied
its liberation, the Catholic Church withdrew all of its clergy
a large percentage of the sugar consumed in Western Europe.
from the new republic. Yet Catholicism survived in Haiti for
Vodou was born on sugar, sisal, cotton and coffee planta-
fifty years without contact with Rome and it did so through
tions out of the interaction among slaves who brought with
the imitative ritualizing of a Vodou figure known as prêt-
them a variety of African religious traditions, but due to in-
savan (“bush priest”) as well as the competitive market for
adequate records, little is known about this formative period
healing charms and talismans that was kept going by de-
in Vodou’s history. It has been argued by Haitian scholars
frocked Catholic priests and the self-appointed “clergy” who
such as Michel-Rolph Trouillot that the religion did not co-
ended up in Haiti in the early nineteenth century.
alesce until after the revolution, but others suggest it had an
Catholicism has had the greatest influence on the tradi-
effective presence, particularly in northern Haiti, during the
tional religion of Haiti at the level of rite and image rather
latter part of the eighteenth century. James G. Leyburn in
than theology. This influence works in two ways. First, those
The Haitian People (1941) and Carolyn Fick in The Making
who serve the spirits call themselves Catholic, attend Mass,
of Haiti (1990) argue that Vodou played a key role in the
and undergo baptism and first communion. Because these
organization of the slave revolt.
Catholic rituals at times function as integral parts of larger
Among the African ethnic groups brought to Haiti as
Vodou rites, they can be even directed to participate by their
slave laborers, the most influential in shaping Haitian cul-
Vodou spirits. Second, Catholic prayers, rites, images, and
ture, including Vodou, were the Fon, Mahi, and Nago from
saints’ names are integrated into the common ritualizing of
old Dahomey (the present Republic of Benin), those who
Vodou temples. The prêtsavan is an active figure in Vodou.
came to be known as the Yoruba (Nigeria), and Kongo peo-
He achieves his title by knowing the proper, that is the Latin
ples (Angola, and the Democratic Republic of the Congo).
or French, form of Catholic prayers.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9636
VODOU
Over the years, a system of parallels has been developed
these so-called nations became religious categories, diverse
between the Vodou spirits and the Catholic saints. For exam-
ritual styles of drumming, dancing, and honoring the Vodou
ple, Dambala, the ancient and venerable snake deity of the
spirits.
Fon people, is venerated in Haiti both as Dambala and as
St. Patrick, who is pictured in the popular chromolithograph
The Rada spirits (named after the Dahomean principal-
with snakes clustered around his feet. In addition, the Catho-
ity Allada, once a busy slave depot) comprise a collection of
lic liturgical calendar dominates in much Vodou ritualizing.
ancient, sweet-tempered, wise, and usually patient lwa. Then
Thus the Vodou spirit Ogou is honored in Haiti and in the
there are the fiery and powerful Petwo spirits. The origin of
Haitian diaspora on July 25, the feast day of his Catholic
the name “Petwo” is contested, but the strong Kongo influ-
counterpart.
ence is not. The home of the Ogou, also hot spirits, is the
Nago nanchon, a Dahomean name for Ketu Yoruba. Most
Bondye, “the good God” is identified with the Christian
big feasts end with the playful Gede, inveterate rule breakers,
God, and is said to be the highest, indeed the only, god. The
who insist they are a fami (“family”), not a nanchon. In rural
spirits are said to have been angels in Lucifer’s army whom
Vodou, a person may inherit responsibilities to one or more
God sent out of heaven and down to Ginen. Although the
of these nanchon through maternal or paternal kin. Familial
Vodou spirits may exhibit capricious behavior, they are not
connections to the land, where the lwa are said to reside in
evil. Rather, they are seen as intermediaries between the peo-
trees, springs, and wells, may determine which particular
ple and the high god, a role identical to the one played by
spirits are served. In urban Vodou, there are a few important
the so-called lesser deities in the religions of the Yoruba and
spirit nanchon that make their appearance, according to se-
Fon. Bondye is remote and unknowable. Although evoked
niority and importance, in most major rituals. In Port-au-
daily in ordinary speech (almost all plans are made with the
Prince, two nanchon, the Rada and the Petwo, have emerged
disclaimer si dye vle (“if God wills”), Bondye’s intervention
as dominant largely by absorbing other nanchon. Rada and
is not sought for help with life’s problems. That is the work
Petwo spirits contrast sharply. The Rada are dous, “sweet,”
of the spirits.
and the Petwo, cho,“hot.” When an individual, family, or
Both the Catholic Church in Haiti and the government
temple is described as ritualizing in a mode that is Rada net
of Haiti have participated energetically in the persecution of
(“straight Rada”), a great deal is being said about how that
those who serve the Vodou spirits. The last “antisuperstition
person or group functions socially as well as ritualistically.
campaign” was in the 1940s, but clerical and upperclass dis-
Each spirit has drum rhythms, dances, and food preferences
dain for the religion has persisted much longer. In the twen-
that relate to its identifying characteristics. For example,
tieth century, Catholic clergy routinely preached against
Danbala, the gentle Rada snake spirit, is said to love orja,
serving the spirits, and those who served them remarked,
thick sugary almond syrup. His devotees perform a graceful
“That is the way priests talk.” Many Catholic holy days have
spine-rippling dance called yanvalu. By contrast, the Petwo
a Vodou dimension that church officials routinely manage
rhythm played for rum-drinking spirits is energetic and
to ignore.
pounding, and the accompanying dance is characterized by
fast, strong body movements.
For years Catholicism was the only religion in Haiti
with official approval. Thus, the degree to which Vodou has
THE VODOU VIEW OF PERSON. In Vodou teachings the
been attacked, oppressed, tolerated, or even encouraged
human being is composed of various parts: the body, that is,
through the years has been largely a function of local politics.
the gross physical dimension of the person who perishes after
Presidents Dumarsais Estime (1946–1950) and Francois
death, in addition to two to four souls, of which the most
Duvalier (1957–1971) stand out from other Haitian heads
widely acknowledged are the gwo bonanj, and ti bonanj. The
of state because of their sympathy with Vodou. Jean-
gwo bonanj (“big guardian angel”) is roughly equivalent to
Bertrand Aristide, who was first elected president in 1990,
consciousness or personality. When a person dies the gwo bo-
was also a supporter of Vodou; in fact he changed the balance
nanj lingers, and immediately after death it must be protect-
of religious power. On April 5, 2003, President Aristide fully
ed because it is most vulnerable to capture and misuse by sor-
recognized and fully empowered Vodou as a Haitian religion
cerers. During possession, it is the gwo bonanj who is
that could legally exercise its influence throughout Haiti ac-
displaced by the spirit and sent to wander away from the
cording to the constitution and the laws of the republic.
body, as it does routinely during sleep. The ti bonanj (“little
guardian angel”) may be thought of as the spiritual energy
VODOU SPIRITS. The Vodou spirits are known by various
reserve of a living person and, at times, as the ghost of a dead
names: lwa, a common name with an uncertain origin;
person.
sen,“saints”; mistè, “mysteries”; envizib, “invisibles”; and
more rarely, zanj, “angels.” At some point in the develop-
Each person has one special lwa who is their mèt-tet,
ment of Vodou the spirits were sorted into nanchon, “na-
“master of the head.” (The top of the head and the back of
tions.” The nanchon at an early point in their development
the neck are places where spirits may enter and leave.) The
appear to have functioned primarily as ethnic slave catego-
mèt-tet is the most important lwa served by a particular per-
ries. The majority of the nation names are easily traceable to
son and it reflects that person’s personality to some degree.
places in Africa: Rada, Ibo, Nago, Kongo. Later, however,
A Haitian whose family serves the spirits may inherit spiritu-
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VODOU
9637
al responsibilities to a deceased family member’s mèt-tet.
The Gede are not only spirits of death but also boosters
That is a big responsibility, but there are also things that can
of human sexuality, protectors of children, and irrepressible
be gained. If the mèt-tet is conscientiously fed and honored,
social satirists. Dances for Gede tend to be boisterous affairs,
good luck and protection from both ancestor and lwa will
and new Gede spirits appear every year. The satirical, and
be gained. In addition to the so-called masters of the head,
often explicitly sexual, humor of the Gede levels social pre-
most people who serve the spirits have a small number of
tense. The Gede use humor to deal with new social roles and
other lwa with whom similar reciprocity has been estab-
to challenge alienating social structures. Through possession-
lished.
performance, they not only appear as auto mechanics and
doctors, they also critique government bureaucrats, military
Unlike Catholic saints who are usually known through
figures, and Protestant missionaries.
formulaic hagiography, Vodou lwa have richly developed
histories, personalities, needs, desires, character strengths,
VODOU CEREMONIES. In some parts of rural Haiti, the ideal
and flaws, and even taste in food and drink. Because the lwa
Vodou ceremony is one that serves the spirits as simply as
are fully developed characters and interact so intimately with
possible because simplicity is said to reflect discrete but
vivan-yo, “the living,” the practice of Vodou also functions
strong spiritual power, the African way of doing things
as a system for categorizing and analyzing human behavior,
(Larose, 1977). In practice, rural ritualizing tends to follow
in the individual and in the group. One of the characteristics
the fortunes of extended families. Bad times are often attri-
of virtually all Caribbean African-based religions is the great
buted to the displeasure of family spirits. When it is no lon-
ger possible to satisfy the spirits with small conciliatory offer-
amount of care given to analyzing social behavior and dealing
ings, the family will hold a large drumming and dancing feast
with the results of that behavior.
that includes animal sacrifice. Urban Vodou, by contrast, has
VODOU AND THE DEAD. Cemeteries are major ritual centers
a more routine ritualizing calendar, and events tend to be
in both urban and rural Haiti. The first male buried in any
larger and more elaborate. Ceremonies in honor of major
cemetery is known as Bawon Samidi. Bawon’s wife (or sister)
spirits take place annually on or around the feast days of their
is Gran Brijit, the first woman buried in the cemetery. Most
Catholic counterparts and usually include sacrifice of an ap-
cemeteries have a cross for Bawon either in the center of the
propriate animal—most frequently a chicken, a goat, or a
cemetery or near its gate. Lakwa Bawon (“Bawon’s Cross”)
cow.
marks the site’s ritual center. Lighted candles and food offer-
In both rural and urban settings, a rich variety of cere-
ings are left at the base of this cross. People stand with their
monies meet specific individual and community needs: For
hands on the cross praying aloud. Rituals for healing, love,
example, healing rites, dedications of new temples and new
or luck performed in rural cult houses or urban temples are
ritual regalia, and spirit marriages in which a devotee is wed
not considered complete until physical remnants of the
to a spirit usually of the opposite sex and must pledge sexual
“work” are deposited at crossroads or at Bawon’s Cross,
restraint one night each week, when he or she receives that
which is itself a kind of crossroads marking the intersection
spirit in dreams. There is also a cycle of initiation rituals that
of the land of the living and the land of the dead.
has both public segments and segments reserved for initiates.
Haitians who serve the lwa usually make a clear distinc-
The latter include the kanzo rituals, which mark the first
tion between the dead and the spirits. Yet a few of the ances-
stage of initiation into Vodou, and those in which the adept
takes the ason, the beaded gourd rattle symbolizing Vodou
tors, particularly if they were exceptional people when alive,
priesthood. Certain rituals performed during the initiation
actually evolve into spirits or lwa. Jean-Jacques Dessalines,
cycle, such as the bule zen (“burning the pots”) and the chirè
Toussaint L’Ouverture, and John Kennedy have all been re-
ayzan (“shredding the palm leaf”) may also be used in other
ported making cameo appearances through possession in
ritual contexts. Death rituals include the desounen, in which
Vodou ceremonies. The group of spirits, known as the Gede,
the soul is removed from the corpse and sent under the wa-
have Bawon as their leader and are spirits of the dead as
ters of Ginen, which is followed by the wète mò nan dlo
might be expected, but they are not ancestral spirits. Instead,
(“bringing the dead from the waters”), a ritual that can occur
they stand in for the entire community of human beings now
only after a person has been dead for one year and one day.
deceased and in this context, Gede’s crude comic perfor-
Herbal good-luck baths are routinely administered during
mances make some sense. They are designed to bring the
the Christmas and New Year season. Elizabeth McAlister’s
haughty to their knees and convince them that in the end,
2002 book on Rara has convinced scholars, in the habit of
human beings all face the same fate. The Gede are inclusive,
dismissing Rara as an entertaining aspect of Carnival, of the
with no limits, and therefore almost any image will work on
deeply religious character of these irreverent parades that
a Gede altar. Statues of the Buddha, LaoTzu, King Kong,
pour from the Vodou temples into the cemeteries and streets
St. Gerard, and Elvis Presley have all been sighted on Vodou
during the Catholic Lent.
altars. In and around Port-au-Prince, the capital of Haiti and
its largest city, the Gede are the object of elaborate ritualizing
Annual pilgrimages draw thousands of urban and rural
in the cemeteries and Vodou temples during the season of
followers of Vodou. The focal point of these Catholic-Vodou
the Feast of All Souls, Halloween.
events is often a church situated near some striking feature
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9638
VODOU
of the natural landscape that is sacred to the lwa. The two
grants, Vodou ceremonies are carried on in storefronts, rent-
largest pilgrimages are one held for Ezili Danto (Our Lady
ed rooms, high-rise apartments, and basement storage areas.
of Mount Carmel) in mid-July in the small town of Saut
North American rituals are often somewhat truncated ver-
d’Eau, named for its spectacular waterfall, and one held for
sions of their Haitian counterparts. There may be no drums,
Ogou (St. James the Elder) in the latter part of July in the
and the only animals sacrificed may be chickens. However
northern town of Plain du Nord, where a shallow, muddy
it is possible to consult a manbo or oungan in immigrant
pool adjacent to the Catholic church is dedicated to Ogou.
communities with ease, and the full repertoire of rituals can
be followed there, in one form or another. Even the pilgrim-
VODOU AND MAGIC. Serge Larose (1977) has demonstrated
ages are duplicated. On 16 July, rather than going to the
that magic is not only a stereotypic label that outsiders have
mountain town of Saut d’Eau to honor Ezili Danto, New
applied to Vodou, but also a differential term internal to the
York Vodou practitioners take the subway to the Italian-
religion. Thus an in-group among the followers of Vodou
American Church of Our Lady of Mount Carmel in East
identifies its own ritualizing as “African” while labeling the
Harlem.
work of the out-group as maji (“magic”). Generally speaking,
this perspective provides a helpful way to grasp the concept
SEE ALSO Santería; Yoruba Religion.
of magic within Vodou. There are, however, those individu-
als who, in search of power and wealth, self-consciously iden-
BIBLIOGRAPHY
tify themselves with traditions of what Haitians would call
Alfred Metraux’s Voodoo in Haiti (New York, 1959) is a complete
“the work of the left hand.” This includes people who deal
and accurate, if not sympathetic, treatment of Haitian
in pwen achte (“purchased power points”), which means spir-
Vodou. Melville J. Herskovits’s Life in a Haitian Valley (New
its or powers that have been bought rather than inherited,
York, 1937) is an early and popular ethnography of the
and people who deal in zonbi. A zonbi may be either the dis-
Mirebalais Valley located fifty-five kilometers inland from
embodied soul of a dead person whose powers are captured
Port-au-Prince. Herskovits worked there during a period
and used for magical purposes, or a soulless body that has
when Vodou influence had been significantly repressed by
been raised from the grave to do drone labor in the fields.
Christian missionaries and consequently he saw it as a dying
religion. Maya Deren, dancer and filmmaker, wrote a rich
Also included in the category of the left hand are secret socie-
and insightful work on her encounter with Vodou, Divine
ties known by such names as Champwel, Zobop, Bizango,
Horsemen: The Living Gods of Haiti (1953; reprint, New
and Zanglando. In Urban settings in the late twentieth cen-
Paltz, N.Y. 1983). In addition, Harold Courlander’s The
tury secret societies began to operate as if they were a branch
Drum and the Hoe: Life and Lore of the Haitian People (Berke-
of the Mafia, but their deep history is quite different: They
ley, Calif.,1960) provides much helpful information about
once represented religiously enforced rural law and order.
Vodou and its larger cultural contexts. It is especially good
The secret societies were groups of elders who used their
on music. To greater and lesser extents all of the above works
power not for personal gains but to enforce social sanctions.
are outdated. Donald Cosentino’s, The Sacred Arts of Haitian
For example, Wade Davis (1985) says that zonbi laborers
Vodou (Los Angeles, 1995), a selection of essays by leading
were created by secret society tribunals who voted to use
Haitian scholars and also the catalog from Cosentino’s highly
zonbi powder against a sociopath in their community.
successful exhibition of the same name, is the richest and
most diverse academic work on Vodou. A classic article by
The “work of the left hand” should not be confused
Serge Larose, “The Meaning of Africa in Haitian Vodu,” can
with more ordinary Vodou ritualizing that can have a magi-
be found in Symbols and Sentiments: Cross-Cultural Studies in
cal flavor, such as divination, herbal healing, and the manu-
Symbolism, edited by Ioan Lewis, 85–116, (New York,
1977).
facture of wanga, charms for love, luck, or health, or for the
protection of the home, land, or person. Much of the work
The most complete, although not necessarily the best, history of
of Vodou priests is at the level of individual client-
Haiti and Haitian Vodou is still James G. Leyburn’s The
Haitian People (1941, rev. ed. with a new introduction by
practitioner interactions Theirs is a healing system that treats
Sidney Mintz, New Haven, 1966). Joan Dayan’s Haiti, His-
problems of love, health, family, and work. Unless a problem
tory, and the Gods (Berkeley, Calif., 1998) brings postmodern
is understood as coming from God, in which case the Vodou
analytic skills and fresh archival work to her gendered ac-
priest can do nothing, the priest will treat it as one caused
count of Haiti’s revolutionary history. Carolyn Fick’s The
by a spirit or by a disruption in human relationships, includ-
Making of Haiti: The San Domingue Revolution From Below
ing relations with the dead. Generally speaking, Vodou cures
(Knoxville, Tenn., 1990) makes a carefully researched and
come about through ritual adjustment of relational systems.
convincing argument that Vodou played a significant role in
Haiti’s revolution and did so from the beginning. Michel-
VODOU IN THE HAITIAN DIASPORA. Drought and soil ero-
Rolph Trouillot, who argues that Vodou came together only
sion, poverty, high urban unemployment, and political op-
in the first half of the nineteenth century, does a brilliant job
pression have led to massive emigrations from Haiti in the
in Silencing the Past: Power and the Production of History
last half-century. Vodou has gone along with the Haitians
(Boston, 1997) of problematizing other versions of Haiti’s
who, in search of a better life, have come to major urban cen-
taken-for-granted history.
ters of North America. In New York, Miami, and Montreal,
Anne Greene’s The Catholic Church in Haiti: Political and Social
the cities with the greatest concentrations of Haitian immi-
Change (East Lansing, Mich., 1993) provides important in-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VOWS AND OATHS
9639
formation about the role of Catholicism in Haiti, as does
Whoever takes an oath to accomplish something is required
Terry Rey’s Our Lady of Class Struggle: The Cult of the Virgin
to answer for it, for he has named himself or some one of
Mary In Haiti (Trenton, N. J., 1999). Leslie G. Des-
his belongings as a pledge of his commitment and is thus
mangles’s The Faces of the Gods: Voudou and Roman Catholi-
bound by his very life, his honor, and his property.
cism in Haiti (Chapel Hill, N.C., 1993) explores the syncre-
tism dimension of the relationship between Vodou and
Vows and oaths therefore affect a person’s whole being;
Catholicism. Robert Ferris Thompson’s Flash of the Spirit:
they put one’s very existence in pawn. There is a distinct dif-
African and Afro-American Art and Philosophy (New York,
ference, however, between an oath and a vow: a vow is mere-
1981) contains the best analysis yet done on the specific Afri-
ly a personal promise, whereas an oath is a promise made be-
can retentions within Haitian Vodou.
fore some institutional authority. In taking an oath, a person
A handful of scholarly works cover new areas in Vodou scholar-
not only assumes an obligation but also becomes liable to
ship. E. Wade Davis opened the world of the secret societies
prosecution; the state and society have an interest in his act.
in The Serpent and the Rainbow (New York, 1985) and Pas-
Oaths serve as objective guarantees of what is promised.
sage of Darkness (Chapel Hill, N.C., 1988). Elizabeth McAl-
Swearing to tell the truth, one guarantees that what one says
ister’s Rara: Vodou Power and Performance in Haiti and the
is true. Oaths are self-endorsing.
Diaspora (Berkeley, Calif., 2002) changes the relationship
between Vodou temples and Carnival, and thus, to some ex-
The practice of oath taking by which a person places his
tent, between the sacred and the secular. My own work,
very life at risk is an extremely ancient one. It is an institution
Mama Lola: A Vodou Priestess in Brooklyn (Berkeley, Calif.,
of coercion, “the most powerful coercion known to primitive
updated edition, 2001), provides an extensive case study of
man” (Thurnwald, 1925, vol. 2, p. 39). Oaths are encoun-
Vodou in diaspora.
tered among all peoples and in all cultures. They are a primal
KAREN MCCARTHY BROWN (1987 AND 2005)
symbol of religion.
Because they are absolutely binding by nature, and be-
cause they are subject to both misuse and overuse, oaths are
VOGUL RELIGION SEE FINNO-UGRIC
nevertheless looked upon with some suspicion in the fields
RELIGIONS; KHANTY AND MANSI RELIGION;
of ethics, politics, and jurisprudence. They have to be judged
SOUTHERN SIBERIAN RELIGIONS
in themselves, in relation to the particular substance of the
promise they contain and the nature of the guarantee, as
both tend to vary considerably depending on the level of the
VOLOS SEE VELES-VOLOS
given culture and the conventions of the applicable code of
law.
GIVING AND RECEIVING—AN INSTITUTION OF LIFE. In the
VON GLASENAPP, HELMUTH SEE
archaic scheme of things, objects of barter, things that must
GLASENAPP, HELMUTH VON
be paid for, are not simply goods but rather gifts. They estab-
lish a substantial bond between giver and receiver, for the lat-
ter is obligated to provide something in exchange for the gift.
VON GÖRRES, JOSEPH SEE GÖRRES, JOSEPH
Such exchange affects the social position of the participants:
VON
it turns the giver into a receiver and makes of the receiver
a giver.
In this economy of mutual giving, the objects ex-
VON HARNACK, ADOLF SEE HARNACK,
changed have both an objective and a subjective significance;
ADOLF VON
they not only create the partnership, they also serve to insure
it. They are subject to recall. They give rise to rights and obli-
gations. They are pledges.
VON HÜGEL, FRIEDRICH SEE HÜGEL,
Vows and oaths have the same archaic structure. They
FRIEDRICH VON
create and solidify partnerships based on reciprocal giving.
One swears by specific things, and in the exchange these
pledges become extremely important. They guarantee the
VOODOO SEE VODOU
peace, subjectively and objectively. The bond of order they
establish is affirmed in the oath itself, so that the oath, like
the things by which it is sworn, is part blessing and part
VOTIVE OFFERING SEE VOWS AND OATHS
curse: it obligates one to a bond, and binds one to an obli-
gation.
In many languages the word for “oath” is somehow as-
VOWS AND OATHS. With the vow to accomplish
sociated with fate. The Assyrian mamuti translates as “oath,”
something, a person dedicates himself to the task wholly.
but it also means “obsession” and “curse.” The related term
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9640
VOWS AND OATHS
tamitu is also used for “oath,” but in addition it can refer ei-
Oath taking may entail trial by fire, duels, symbolic de-
ther to a divine oracle or the question put to the god (Peder-
struction of specific objects, or hypothetical self-
sen, 1914, p. 2). Clearly one is oneself possessed by what one
condemnation. The Maasai of East Africa bite off a few
possesses. Property can have a fatal power.
blades of grass, then exclaim: “May this grass prove poison-
ous to me if I have lied before God!” (Lasch, 1908, p. 80).
The Arabic word bai E translates as both “purchase” and
“sale,” but it also means “convenant.” The exchange of
The reciprocal giving and taking in the economy of bar-
wares, accompanied by ceremonial gestures of bonding such
ter is something that serves to solidify society, for the one
as reciprocal touching and shaking of hands, confers certain
who gives also has a right to receive. Gifts are therefore chal-
rights and obligations to both parties. One sells a certain ob-
lenges: they bind the receiver to the giver; they are what es-
ject, but one also sells oneself. The bond linking buyer and
tablishes a compact with him. They are an opening ceremo-
seller is an oath. Implicit in the word bai E are both the sealing
ny. While they serve to guarantee the fulfillment of oaths,
of a compact and an exchange of oaths (ibid., pp. 52–58).
they also anticipate the fulfillment of a vow, which is not a
The former secures the connection, while the latter consti-
pledge to the past, but to the future. A vow presumes a com-
tutes “religion” (from religare, “to tie fast”) in the truest
pact that is yet to be. Votive gifts are only down payments
sense, bondage to the gift of life. The Anglo-Saxon verb
on future covenants. They serve as symbols in the here and
swerian (“to swear”) suggests something of the magic in such
now of future fulfillment, and they have personal meaning.
a bond, for at one time it meant to recite mystic charms and
They give objective reality to a subjective religion.
spells in a strange, singsong kind of chant. Old Frisian swera
Like votive gifts, magical rites and animal and human
meant simply “to sing”—in the service of religion.
sacrifice are typical examples of such objectivization. So are
Oaths in early Germanic times were not only a religious
the conjuring of rain in Arizona, New Mexico, and southern
rite, they were themselves the religion. An oath was an actus
Europe, and so were temple prostitution in the Near East,
religiosissimus in the truest sense (Lex, 1967, p. 24). The
cult chastity among the Romans, continence in preparation
Middle High German word for “oath” contains the Indo-
for specific tasks (as in war vows), or the habit in Latin coun-
European root *it or *lig, meaning bond. An oath is an added
tries of placing votive offerings in the form of garments and
confirmation, an absolute guarantee, of the word and intent
models of healed limbs on altars and temple walls. Popular
of the person swearing, and it is also the fetter that binds him
faith abounds with customs of this kind. In them, promises
to the truth. The Latin term for “oath” is ius iurandum
take the form of gifts, and gifts serve as promises, concrete
(“sworn law”). Oaths were firmly established legal instru-
expressions of personal religion.
ments with statutory force: “An oath is an assurance backed
VOWS AND PERSONAL RELIGION. Gifts initiate the reciproci-
by religious sanctity; and a solemn promise given, as before
ty of giving and receiving, and they have been used for that
God as one’s witness, is to be sacredly kept” (Cicero, De offi-
purpose since archaic times. They have personal importance,
ciis 3.104). The oath of allegiance was known as the sacra-
for the promises they imply must be kept only if the gifts are
mentum.
found acceptable.
The things one swears by are pledges, and the promises
Vows are promises of the same kind. Whether they are
to which one binds oneself in swearing by things are oaths.
fulfilled is not a matter for the law but rather hinges on the
With the specific things to which he appeals, a person guar-
person governing the giving and receiving. Nothing is given
antees that to which he has committed himself. They can be
that is found unacceptable, and nothing is accepted that can-
demanded of him; they become objects for litigation. Greek
not be given. All involuntary vows are invalid. All voluntary
mythology (according to Hesiod) speaks therefore of the
ones are valid provided they satisfy the controlling authority,
oath as the offspring of contention. It issues from conflict
the religion, under which they are made. The same authority
over things to which one is obligated, namely heaven and
has the option of annulling them.
earth, life and death, gods and men. The obligation to them
is binding, and the bond with them brings with it obligation.
The Bible, Judaism, Christianity, Islam, and Buddhism
The very earth avenges itself on the perjurer, for with his oath
all limit the use of vows. They have rules applying to the
he has placed it in pawn. The Greeks speak of having to pass
pledges of individuals as well as those of whole groups, such
through the portals of the oath, for horkos, their word for
as communal orders and sects.
“oath,” designates a separate space before which one has a
The terms for vow in the Bible are the Hebrew nazir and
sense of dread (aido¯s), a border region. The strongest oaths
the Greek euch¯e (“prayer”). There a vow is an unconditional
of all were those sworn on the bank of the Styx, the under-
pledge of special submission to Yahveh. The Nazirite, or the
world stream whose waters expose the guilty and cleanse the
man who has made such a vow, must refrain from drinking
innocent of false accusations.
wine (Nm. 6:3), cutting his hair (Nm. 6:5), and coming into
Oaths are a divine judgment. The good and evil that
contact with a corpse (Nm. 6:6). The charismatic warrior
they decide between amount to fortune and misfortune.
Samson is an example of such a man (Jgs. 13ff). What distin-
Hence one speaks of eating and drinking one’s oath. It either
guishes a person under such a vow is not his asceticism but
confirms or threatens one’s very existence.
rather his symbolic strength, his total commitment to the ad-
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VOWS AND OATHS
9641
vancement of Yahveh’s cause. This same vow is met with in
1919, p. 30). Muh:ammad is supposed to have said that a
the New Testament as well: Paul had placed himself under
vow does not hasten anything and cannot forestall anything.
one (Acts 18:18) even before the Jerusalem congregation re-
However the miser’s vow makes him better, for essentially
quired it of him (Acts 21:23–24). Such a vow can be either
he tells God: “Give, that I may give—da ut dem!” (ibid.,
for life or for only a specified period.
p. 4).
The Talmud and Mishnah treat all kinds of vows, that
Vows encourage the fulfillment of obligations and the
is, vows of abstinence as well as vows of consecretion, under
accomplishment of certain tasks. War vows and vows of re-
the single rubric of nedarim, “vows” (Ned. 3.4). They advise
venge are clear examples of this; they enlist self-sacrifice and
that any such pledges be restricted as much as possible to
deprivation in the cause of securing just retribution. The bo-
basic religious practices. While admitting their usefulness as
dhisattva vow of Mahayana Buddhism consists of the prom-
insurance of unconditional compliance with sacred obliga-
ise not to wish to enter nirva¯n:a until all creatures have been
tions, the Jewish texts warn that vows must not be un-
released from the cycle of rebirth and have attained perfec-
dertaken lightly and add that they have only limited validity
tion. It first appears in the legend of the Buddha Amitabha
when made by minors.
in the second century BCE, and it continues to characterize
Christian vows consist of promises to obey the so-called
the aspirations of major sects in China and Japan. It is the
gospel counsels: poverty, chastity, and obedience. They are
key to the salvation doctrine of Amida Buddhism. For if one
taken in the various monastic orders and are implicit in their
gives what one receives, so does one receive what one gives.
rules. Affirmation of the counsels is a sign of the Christian’s
In promising to wait for salvation, one finds salvation in the
calling within the church to give himself to God, to preach
waiting. Such a vow has cosmic significance. It constitutes
the gospel, and to personify the Lord’s dominion. It consti-
sacrifice and self-denial.
tutes an anticipation of heavenly existence. By referring to
OATHS AND THEIR INSTITUTIONAL FORMS. Oaths have
the calling and thereby underscoring the voluntary and char-
both a constitutive and an instrumental force. They convey
ismatic aspects of monastic life, this article deliberately skirts
the truth of an assertion, but they also serve as a means
the notion of ascetic self-indulgence and personal gain reject-
whereby it can be determined whether or not that assertion
ed by Luther in his Reformation tract De votis monasticis.
is true. They confirm a promise, and at the same time pro-
There is such a thing as an unconditional pledge that is of
vide by their very form proof positive of the accuracy of its
necessity only temporal and is therefore not binding for all
content.
eternity.
The instrumental nature of oaths becomes particularly
The QurDa¯n and the six canonical works of the sunnah
apparent when a judicial system becomes detached from the
warn against excessive use of vows (nudhu¯r; sg., nadhr) and
life of the community, when state and culture are no longer
make quite clear just what the nature of such pledges ought
one and the same. In such cases, oaths no longer reveal their
to be. According to the earliest thinking, they are best related
constitutive force. In a state trial they function as legally
to the basic religious duties and devotions, the intensity of
binding proofs. They are one method of arriving at the truth
which they tend to heighten. Thus one might vow to pray
in legal proceedings, and as such they take on regulative im-
at specified places and times, to fast on unusual occasions,
portance.
to undertake pilgrimage to shrines other than Mecca, or—
most important of all—to provide additional, voluntary
The ritual of oath taking takes numerous forms. In
alms. Moreover, it is acceptable to vow to free slaves or to
every case there are strict rules governing the behavior of all
be especially attentive to fellow Muslims, to visit the sick, to
participants, the rights and obligations of the person swear-
attend services for the dead, and to accept invitations to wed-
ing, and the specific form in which he pronounces and con-
dings. Restrictive vows, entailing abstinence from certain
firms his pledge. There is a mystique associated with the tak-
foods, celibacy, extreme penance, and professions of contri-
ing of oaths, one that was especially pronounced in the Indo-
tion, are not considered binding. They are rejected for the
European cultural sphere. An obsession with form is typical
simple reason that a person who presumes to declare forbid-
of such rites, each role being carefully prescribed. An oath
den what is generally allowed is no different from the one
could miscarry if for some reason it was impossible to observe
who allows what is in fact forbidden. Therefore the QurDa¯n
strict conventions in the swearing of it.
explains that monasticism is an innovation “that was not in-
These conventions applied not only to the person taking
stituted by God, one that was only invented by the genera-
the oath but also to his oath-helpers. The use of witnesses
tions before you” (su¯rah 57:27).
is characteristic of the Germanic peoples and is in fact unique
In the broadest sense, vows are unconditional promises
to them. They might be members of the oath taker’s family
to do something specific—good or evil. In the narrower
or men with whom he has sworn brotherhood. They were
sense, they are unqualified pledges to do good, not evil, and
not obliged to confirm the substance of his assertion but only
as such they are directed solely to God. Often they are cast
to attest to this credibility. Once his oath had been taken,
in hypothetical terms: one “promises to do this or that under
they were called upon to swear—by twos, threes, sixes, or
the condition that this or that is forthcoming” (Gottschalk,
twelves—that it was “pure and not forsworn.”
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VOWS AND OATHS
Such oaths of purification could still count for naught
cy”) takes its strength from the constitutive force of the citi-
in the event of so-called eidschelte (ON, “oath challenge”).
zen’s oath, and the country’s civil code is based on it.
If the accused chose to force down the raised hand of the per-
There are, however, a number of traditions in which
son swearing, a duel had to be fought to decide the issue.
oaths are accorded only instrumental importance. This is the
The spot where an oath could be sworn, its wording,
case in Greek rhetoric, Roman and Islamic law, and in the
and all of the attendant gestures were strictly prescribed. The
various modern judicial systems. For them an oath is not
setting was called the malstat (“justice site”), dingstat (“trial
proof in itself but only a means of proof. It can be of assis-
site”), or richtstat (“judgment site”). This was where the com-
tance in determining the truth, yet it is not considered the
munity regularly gathered for its Þing, or legislative assembly,
truth itself.
and it was here that sacrifices were offered to the gods and
In Roman civil cases the oath “occupies a less important
trials were held. An oath circle would be inscribed on the
position than in Germanic ones, for while in the latter it is
ground and the person swearing required to stand inside it.
a statutory right of the accused that regularly takes prece-
Under no conditions could he leave the circle or even place
dence over other proofs, in the former it only appears at the
a foot outside its perimeter until the ritual was ended.
request of the adversary or the judge when there are no other
The wording of oaths differed considerably depending
means for bringing the truth to light” (Bethmann-Hollweg,
on the authority before which they were sworn and the per-
1864–1874, vol. 2, p. 573). It serves as a kind of confirma-
sons or objects serving as pledges. A man might swear by his
tion, strengthened by the fact that God is called to witness
sword, his threshold, the plank of his ship, his wife and chil-
it. Here the form and content of oaths, their religious and
dren, his own life, or one of the gods. The oath taker was
legal significance, and their ethical and political aspects are
required to stand and recite the argumentum iuramenti,
distinctly separate.
called the eidstab (“oath stave”), in a clear voice and without
The ancient writers produced numerous logical, rhetori-
assistance. On occasion the phrases might first be spoken by
cal, philological, philosophical, and theological treatises on
either the judge or the accuser, then repeated word for word
the problem of intent in oaths (restrictio mentalis), on the
by the accused. This type of oath was known as a gestabter
meanings of their terms and their differing connotations, on
eid (“directed oath”).
the degree to which an oath is binding depending on the
While swearing, the oath taker had to be touching his
rank of the deity by which it is sworn, and on the question
pledge with his free hand. It was this physical contact “that
of how frequently oaths may be required. They speak of so-
established the supernatural bond of the oath, the mysterium
phistic oaths, in which the sense and the wording differ, of
iuramenti, and gave it its magical force” (Brunner, 1906–
involuntary oaths (unlike Plato and Aristotle, Democritus
1928, vol. 1, p. 257). If the oath was sworn by a god, such
considered all oaths to be valid, even involuntary ones), and
contact was accomplished through substitution. An animal
finally of the proper form for the naming of pledges. One
was sacrificed to the god and the so-called eidring (“oath
reads of Rhadamanthys’s struggle against the misuse of oaths
ring”) dipped in its blood. The oath taker then took hold of
and of Herakles’ effort to do away with them altogether. The
the ring with one hand while raising the other. Local custom
Hippocratic oath sworn by physicians has a venerable tradi-
dictated how many of the fingers of his raised hand were to
tion, surviving as it does into the current time. Always there
be extended, whether two, three, or all of them.
have been disputes over just what one ought to swear upon
(as in the oath of allegiance or loyalty oath) and the degree
Everyone participating in the rite had to perform his
to which one commits oneself (oaths of office, oaths of vas-
role in accordance with fixed rules. No distinction was made
salage, the oath to the Führer).
between the miscarriage of an oath and outright perjury.
In the Bible, oaths are treated in both their constitutive
Form and content were considered one and the same. If one
and instrumental senses. The Lord swears an oath by himself
of the oath-helpers swearing overstepped the margin of the
(Dt. 29:9ff.). That oath is the basis of the covenant with Isra-
oath circle by a fraction of an inch, forgot a portion of the
el, and he is bound and obligated by it. But for it, he would
formula, used a wrong word, lowered his hand too quickly,
not have stood behind his chosen people and liberated them
or failed to touch the pledges as required, the oath was useless
from bondage. That divine oath has constitutive force even
and the guilt of the accused was established. It was clear that
for God himself. Men are permitted to swear oaths only as
he had perjured himself, and he was required to leave the set-
long as they call upon God in doing so, but they have not
tlement in dishonor, stripped of all communal ties. Later it
always observed this restriction. Hence Jesus’ admonition
became customary to punish a perjurer by chopping off ei-
not to swear at all (Mt. 5:34–37). Oaths are to be sworn be-
ther the fingers he had used in swearing or his entire hand.
fore the Lord as God; they are not suited for the reinforce-
In Germanic law a man’s whole life might hinge on his
ment of an intention that does not relate to him (Mt. 23:16–
oath. Depending on its force in a trial, he could be either
22). Jesus rejects the instrumental use of oaths. He neverthe-
saved or doomed. Oaths of fealty and vassalage have the same
less admits them when they serve to reaffirm the promise
constitutive importance, as does the citizen’s oath of the
implicit in the Lord’s name (Mt. 5:33). He also admits affir-
Middle Ages. The Swiss Eidgenossenschaft (“sworn confedera-
mation in the form of “Yea, yea,” “Nay, nay.” (Mt. 5:37).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VRIES, JAN DE
9643
This rule is applied by the early Christian church both
Wendel, Adolf. Das israelitisch-jüdische Gelübde. Berlin, 1931.
positively (Heb. 6:13–19) and negatively (Jas. 5:12). Swear-
New Sources
ing is permitted, yet oaths are still rejected. Meanwhile the
Aithen, Robert. “Formal Practice; Buddhist or Christian.” Bud-
oath had come to serve in an instrumental sense as a confir-
dhist-Christian Studies 22 (2002): 63–77.
mation of faith. In 251 CE the antipope Novatian required
Benoritz, Moshe. Kol Nidre: Studies in the Development of Rabbinic
an oath of allegiance from his followers; he was the first pon-
Votive Traditions. Atlanta, 1998.
tiff to do so. Later it became customary for bishops and
teachers to take oaths of office, Christian significance was
Berlinerblau, Jacques. The Vow and the Popular Religious Groups
given to the fingers extended when swearing, and oaths were
of Ancient Israel: A Philological and Sociological Inquiry. Shef-
field, U.K., 1996.
sworn on the Gospels and on relics.
Cartledge, Tony. Vows in the Hebrew Bible and the Ancient Near
One persistent problem has been whether priests ought
East. Sheffield, U.K., 1992.
to be required to swear oaths to secular authority, as in the
oath to the emperor in antiquity, to the Republic during the
Cott, Nancy. Public Vows: A History of Marriage and the Nation.
French Revolution, or to the Führer under National Social-
Cambridge, Mass., 2000.
ism. The Reformation rejected papal oaths. Various Chris-
Fagan, Patrick. Divided Loyalties: The Question of the Oath for
tian sects—Anabaptists, Jehovah’s Witnesses, Mennonites—
Catholics in the Eighteenth Century. Dublin, 1997.
refuse to take oaths of any kind.
Merkl, Judity. A Different Touch: A Study of Vows in Religious Life.
Collegeville, Minn., 1998.
SEE ALSO Binding; Covenant.
Stuart, Gershon. Kol Nidre: Its Origin, Development and Signifi-
cance. London, 1994.
BIBLIOGRAPHY
Bethmann-Hollweg, Moritz August von. Der Civilprozess des gem-
ELMAR KLINGER (1987)
einen Rechts in geschichtlicher Entwicklung. 6 vols. Bonn,
Translated from German by Russell M. Stockman
1864–1874.
Revised Bibliography
Brunner, Heinrich. Deutsche Rechtsgeschichte. 2 vols. 2d ed. Leip-
zig, 1906–1928.
Gold, I. Das Gelübde nach Bibel und Talmud. Berlin, 1926.
VRIES, JAN DE (1890–1964), was a Dutch folklorist
Gottschalk, Walter. Das Gelübde nach älterer arabischer Auffas-
and historian of religions. Jan Pieter Marie Laurens de Vries
sung. Göttingen, 1919.
was born in Amsterdam on February 11, 1890, and died in
Hirzel, Rudolf. Der Eid: Ein Beitrag zu seiner Geschichte. Leipzig,
Utrecht on July 23, 1964. In 1926, de Vries was appointed
1902.
to the chair for ancient Germanic linguistics and philology
Lasch, Richard. Der Eid: Seine Entstehung und Beziehung zu Glau-
(comprising also Indo-European comparative grammar) at
be und Brauch der Naturvölker: Eine ethnologische Studie.
the University of Leiden. Among the numerous positions he
Stuttgart, 1908.
held was the editorship of the fifth edition of Winkler Prins’s
Lex, Peter. Die Versicherung an Eides statt und ihr Verhältnis zum
Algemene Encyclopedie (General Encyclopedia; 16 vols,
Geloben und zum feierlichen Eid: Eine rechtshistorische Unter-
1932–1938); this function occupied him for the entire peri-
suchung. Zurich, 1967.
od of publication. He established also a famous series of clas-
Lichtenthaeler, Charles. Der Eid des Hippokrates: Ursprung und
sical Dutch literary works, “Bibliotheek der Nederlandsche
Bedeutung. Hippokratische Studien, no. 12. Cologne, 1984.
letteren” (1938–), sponsored by the Society for Dutch Liter-
Mauss, Marcel. Essai sur le don: Forme et raison d’échange dans les
ature and the Royal Flemish Academy of Language and Lit-
sociétés archaïques. Paris, 1925. Translated as The Gift: Forms
erature. Internationally famous as a Germanist, he became
and Functions of Exchange in Archaic Societies (New York,
known in even wider circles as a folklorist. During the 1930s
1954).
he pleaded fervently and often that the study of folklore
Pederson, Johannes. Der Eid bei den Semiten in seinem Verhältnis
(volkskunde) be considered a separate discipline, after having
zu verwandten Erscheinungen sowie die Stellung des Eides im
already championed the subject in congresses of philologists.
Islam. Strasbourg, 1914.
The interest in the creativity of the volk (from which during
Plescia, Joseph. The Oath and Perjury in Ancient Greece. Tallahas-
this part of his life he excluded the intelligentsia and the
see, 1970.
urban proletariat, a view evinced in Volk van Nederland, pub-
Schimmel, Annemarie. “Das Gelübde im türkischen Volksglau-
lished in 1937, which was a work by various authors that de
ben.” Die Welt des Islam, n. s. 6 (1959–1961): 71–90.
Vries organized and edited, and of which he wrote a major
Shirley, Francis A. Swearing and Perjury in Shakespeare’s Plays.
part) was no doubt in tune with some scholarly and general
London, 1979.
interest fostered all over Europe at the time.
Thudichum, Friedrich. Geschichte des Eides (1911). Reprint,
Unlike most scholars, de Vries had a career and lived in
Aalen, 1968.
a time of history in which one’s true colors could not always
Thurnwald, Richard. “Eid: Allgemein.” In Reallexikon der Vor-
be kept concealed. After World War II, he was dismissed
geschichte, edited by Max Ebert, vol. 2. Berlin, 1925.
from his position at the University of Leiden because of his
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9644
VR:NDA¯VANA
stance and his acts during the war. Under German occupa-
Other important untranslated works by de Vries include Alt-
tion (1940–1945) he had served as vice-chairman of the Kul-
nordische Literaturgeschichte, 2 vols. (1941–1942; rev. ed.,
tuurkamer (the body whose approval was required for any
Berlin, 1964–1967), Het sprookje: Opstellen (Zutphen, Neth-
artistic or literary production). In the summer of 1940,
erlands, 1929), Keltische Religion (Stuttgart, 1961), and
shortly after the German invasion, he wrote a pamphlet,
Kleine Schriften (Berlin, 1965).
Naar een betere toekomst (Toward a Better Future), that pro-
Further biographical information about de Vries can be found in
mulgated his antidemocratic views and hailed the newly
my article “Jan de Vries (1890–1964),” History of Religions
opened way toward a world in which the individual would
5 (1965): 173–177, and in P. J. Meerten’s article “Jan de
be subordinate to a more encompassing, national structure.
Vries,” Volkskunde 65 (1964): 97–113.
He published with National Socialist publishers, worked for
KEES W. BOLLE (1987)
a National Socialist journal, and by the end of the war even
became a “sympathizing member” of the Schutzstaffel (SS).
Many of de Vries’s readers, and especially his students, have
observed a mystifying inner contradiction in him.
VR:NDA¯VANA is both a mythical site, mentioned in the
Pura¯n:as, and a town in modern India that is one of the most
No doubt, there is a conflict that is at the same time an
important Hindu pilgrimage centers of North India and the
essential ingredient in his work. De Vries was not only an
focus of much religious activity. As a sacred locality known
industrious scholar but a very critical mind, a man who de-
in scripture, Vr:nda¯vana is ancient, but as a town it is com-
spised the crowd, yet longed for a truly harmonious commu-
paratively new.
nity, which he thought was reflected among ancient Ger-
manic and Norse tribes. Solitary, romantic in his tastes, and
MYTHICAL SITE. Vr:nda¯vana (literally, “sacred basil grove”)
of superb intelligence, he seemed blind to the vulgarity of
is described in the Pura¯n:as, most notably in the Bha¯gavata
Nazism, to which he committed himself with a fatalistic
Pura¯n:a, as a beautifully forested land associated with the
faithfulness, even seeing its impending defeat, and all the
cowherd god Kr:s:n:a. According to the Bha¯gavata Pura¯n:a,
while incapable of realizing the harmony with people for
Kr:s:n:a was born in the royal city of Mathura, but to avoid
which he longed. It is quite remarkable that de Vries’s schol-
slaughter by his wicked uncle Kam:sa his father secretly took
arly work does not show any feature of Nazi ideology or any
him across the Yamuna River to the cowherd settlement of
of the kitsch it spawned. He pursued his scholarly goals un-
Gokula, where he passed the early years of his infancy.
abated during, and also after, the war.
Kam:sa soon learned of Kr:s:n:a’s whereabouts, however, and
began to send various demons to destroy him. When the
After his retirement in 1955 from a position as second-
danger grew too great, the cowherds who had taken in Kr:s:n:a
ary schoolteacher in Dutch literature that he held for seven
moved to a new site—the beautifully forested land of
years, he wrote an impressive number of important books.
Vr:nda¯vana—and there set up an idyllic village. In the land
Among them are his Kelten und Germanen (1960); For-
of Vr:nda¯vana, Kr:s:n:a charmed the elders of the village with
schungsgeschichte der Mythologie (1961), in which his admira-
mischievous pranks and frolicked in the forest herding cattle
tion for romantic impulses in history stands out clearly; and
with his young companions. Most important, though, it was
Nederlands etymologisch woordenboek (1963–1971). The
in the forests of Vr:nda¯vana that Kr:s:n:a would meet with the
best-known handbook of Germanic religion is the second
adolescent gop¯ıs (cowherdesses) of the village under the au-
edition of his Altgermanische Religionsgeschichte (2 vols.,
tumn moon for love trysts. Kr:s:n:a’s passionate affairs with the
1956–1957). De Vries is among the foremost scholars who
gop¯ıs have been elaborated on extensively since medieval
recognized the importance of Georges Dumézil’s work.
times, and one gop¯ı in particular—Ra¯dha¯—rose to the posi-
Throughout his career, however, de Vries maintained his
tion of Kr:s:n:a’s favorite. The intimate relationships exempli-
own originality and erudite, critical competence in details.
fied between Kr:s:n:a and his lovers in Vr:nda¯vana came to
For instance, he points out the lack of clear evidence in Ger-
symbolize the human’s true relationship with the divine. For
manic sources for the existence of secret men’s societies, yet,
the practicing Vais:n:ava, Vr:nda¯vana is an eternal world, a
with implicit as well as explicit criticism on theoretical mod-
heavenly paradise that the liberated soul achieves after ulti-
els employed by others, he demonstrates various other specif-
mate success.
ic expressions of socioreligious cohesiveness.
MODERN-DAY TOWN. The modern-day town of Vr:nda¯vana
SEE ALSO Indo-European Religions.
(also known as Brindavan) is located on the west bank of the
Yamuna River, about eighty miles south of Delhi and forty
BIBLIOGRAPHY
miles north of Agra, and is situated in the modern Indian
Important works by de Vries that have been translated into En-
state of Uttar Pradesh. Vr:nda¯vana can best be understood,
glish include Heldenlied en Heldensage (Utrecht, 1959),
translated by B. J. Timmer as Heroic Song and Heroic Legend
however, by viewing it as part of Vraja (Braj), a distinct cul-
(London, 1963), and Godsdientsgeschiedenis in vogelvlucht,
tural region, complete with a distinct language (Vrajabha¯s:a,
translated by me as The Study of Religion: A Historical Ap-
or Brajbha¯s:a) and history, defined by its association with the
proach (New York, 1967) and later reissued as Perspectives in
Kr:s:n:a myth. Through complex historical developments of
the History of Religions (Berkeley, Calif., 1977).
the sixteenth century, this region came to be identified as the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
VR:TRA
9645
very land where Kr:s:n:a actually lived long ago. The town of
temples of Vr:nda¯vana. Charlotte Vaudeville’s article “Braj:
Vr:nda¯vana, in particular, was built on a site identified as the
Lost and Found,” Indo-Iranian Journal 18 (1976): 195–213,
forest where Kr:s:n:a met with Ra¯dha¯ and the other gop¯ıs for
is useful for understanding the cultural condition of the area
their nightly trysts.
surrounding Vr:nda¯vana before its development by the Vais-
nava Gosva¯mins. For a good description of the Kr:s:n:a dramas
The historical development of Vr:nda¯vana was due pri-
of Vr:nda¯vana, see Norvin Hein’s The Miracle Plays of
marily to the disciples of the Bengali saint Caitanya (b. 1486
Mathura¯ (New Haven, Conn., 1972) and John Stratton
CE), who came to be known as the Gaud:¯ıya Vais:n:avas. The
Hawley’s At Play with Krishna: Pilgrimage Dramas from Brin-
“reclaiming” of the sites of Kr:s:n:a’s exploits on earth was a
davan (Princeton, N. J., 1981).
cherished dream of Caitanya. Although the saint himself vis-
New Sources
ited the area surrounding Vr:nda¯vana only once, he had sent
Case, Margaret H. Seeing Krishna: The Religious World of a Brah-
before him a close disciple named Lokana¯tha A¯ca¯rya and
min Family in Vrindaban. New York, 1999.
then later, a group of theologians known as the Six
Das, R. K. Temples of Vrindaban. Delhi, 1990.
Gosva¯mins of Vr:nda¯vana. The establishment of Vr:nda¯vana
as an important religious center is chiefly the work of this
Entwistle, A. W. Braj: Centre of Krishna Pilgrimage. Groningen
group of theologians, especially two brothers among them,
Oriental studies, v. 3. Groningen, 1987.
Ru¯pa and Sana¯tana Gosva¯min. These brothers were to have
Mahanidhi, Swami. The Gaudiya Vaisnava Samadhis in Vrin-
the first of the magnificent temples of Vr:nda¯vana built in the
davana. Vrindavan, 1993.
sixteenth century with the help of wealthy rajas of Rajasthan.
DAVID L. HABERMAN (1987)
They were also responsible for establishing the location of
Revised Bibliography
many of the sites associated with the Kr:s:n:a myth and for cre-
ating a center of Vais:n:ava learning in Vr:nda¯vana.
Three other Vais:n:ava sects were involved in the devel-
VR:TRA, whose name is probably derived from the San-
opment of Vraja culture that took place in and around
skrit verbal root vr:, meaning “hold back, restrain, envelop,”
Vr:nda¯vana, namely, the Ra¯dha¯vallabhas, the Vallabha¯ca¯ryas,
is a serpent slain by Indra in the R:gveda. This act, which is
and the Nimba¯rkas. Vr:nda¯vana continued to grow and de-
Indra’s most famous, most impor:tant, and most frequently
velop as an important center for all Vais:n:avas, and with the
mentioned achievement, is the subject of several complete
construction of a large S´r¯ı Vais:n:ava temple in Vr:nda¯vana in
R:gvedic hymns (notably R:gveda 1.32 and 10.124). Vr:tra had
the mid-nineteenth century, all major sects of Vais:n:avism
coiled around a mountain, preventing the waters from flow-
came to be represented in Vr:nda¯vana.
ing down; Indra pierced him with his thunderbolt and re-
Today hundreds of pilgrims flock into Vr:nda¯vana daily,
leased the waters. This act has many symbolic resonances:
their numbers increasing substantially during the four mon-
slaying the dragon, releasing the waters or rains, bringing the
soon months when, as legend has it, all other pilgrimage sites
ambrosial soma down from heaven or the mountains (an act
come to reside in Vr:nda¯vana. These pilgrims come to walk
that Indra is elsewhere said to accomplish by stealing it, on
the very land trodden by Lord Kr:s:n:a and to see the natural
the back of an eagle), conquering the enemies of the invading
objects transformed by his contact. They come also to see
Indo-Aryans (for Vr:tra is called a da¯sa, or “slave,” the name
Kr:s:n:a in another important form—as an image (mu¯rti) re-
given to the indigenous non-Aryans), creating the world out
siding for the benefit of his worshipers in the many famous
of the body of the slain dragon, or rescuing it from the drag-
temples of Vr:nda¯vana. But most important, they come dur-
on who had swallowed it. The thunderbolt of Indra is a
ing the rainy season to see the numerous plays staged all over
cloud, which, as a phallic symbol, is a source of seed as well
Vr:nda¯vana that depict stories of Kr:s:n:a and his intimate com-
as rain; Vr:tra is a cloud pierced in his loins or his bellies; and
panions. Vr:nda¯vana continues to thrive—many new temples
the cows to which the waters are compared are also rain
are being constructed today—making it a living center of tra-
clouds. Vr:tra, who is depicted as a serpent or as a dragon
ditional Hindu culture.
whose arms and legs Indra has cut off, is a symbol of danger,
constriction, drought, and loss. The battle is waged with
SEE ALSO Caitanya; Hindi Religious Traditions; Kr:s:n:a;
magic as well as with physical weapons; Indra uses magic to
Ra¯dha¯; Vais:n:avism, article on Bha¯gavatas.
make himself as thin as a horse’s hair, and Vr:tra uses magic
to create lightning and fog. Indra wins, of course, and the
BIBLIOGRAPHY
hymns end on a note of affirmation for Indra’s victory.
William G. Archer’s The Loves of Krishna in Indian Painting and
The killing of Vr:tra was closely associated with the kill-
Poetry (New York, 1957) remains one of the best introduc-
ing of other demonic enemies, par:ticularly Tri´siras
tions to the Kr:s:n:a myth. See especially chapter 3 for a good
(if brief) description of Kr:s:n:a’s exploits in Vr:nda¯vana. The
Vi´svaru¯pa (the “three-headed, many-formed” son of Tvas:t:r:,
best sourcebook for the modern-day town of Vr:nda¯vana is
the ar:tisan of the gods), Namuci (“don’t-let-go”), and Ahi
still Fredrick S. Growse’s Mathura¯: A District Memoir, 3d
(the Serpent, perhaps just another name for Vr:tra). Vr:tra is
rev. ed. (Allahabad, 1883). Although this work is now quite
the younger brother of Tri´siras, created by their father to
dated, it provides detailed descriptions of the history and
take revenge upon Indra for the killing of Tri´siras. This my-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9646
VULVA
thology is elaborated in the Bra¯hman:as (c. 900 BCE), where
slain only with the aid of S´iva (who creates a fever in Vr:tra)
it is said that when Indra killed Visvarupa he cut off his three
and Vis:n:u (who places his own power in Indra’s thunder-
heads, which became three birds; Tvas:t:r: performed a sacri-
bolt). Moreover, even after killing Vr:tra, Indra is so weak-
fice to create Vr:tra. Namuci is a demon whom Indra is said
ened and defiled (polluted by the sin of brahmanicide for
to have killed with foam (R:gveda 8.14.13); later, Indra kills
having killed Vr:tra, a priest) that he runs away and hides in
both Vr:tra and Namuci with foam at the juncture of day and
a lotus stalk; still the fury (kr:tya¯) of brahmanicide incarnate
night (Taittir¯ıya Bra¯hman:a 1.7.1–7), when he had promised
seizes Indra until Brahma¯ distributes the sin among fire,
Namuci that he would kill him neither by day nor by night,
water, the trees, and the celestial nymphs, and purifies Indra
neither with anything dry nor with anything wet (S´atapatha
with a horse sacrifice (Maha¯bha¯rata 12.272–273).
Bra¯hman:a 12.7.3.1–2). In the Maha¯bha¯rata (5.9–13), Indra
Thus the ancient myth of the dragon whose body is dis-
kills Vr:tra alone by tricking him in this way. The cosmogon-
membered to form the world (as Tiamat’s body does in the
ic implications of the killing of Vr:tra are spelled out in the
Mesopotamian myth) is transformed into an epic myth in
Bra¯hman:as: Vr:tra lay covering all the space between heaven
which the sin of the warrior who kills the dragon is dismem-
and ear:th until Indra killed him (S´atapatha Bra¯hman:a
bered, as it were, to provide the substances that guarantee the
1.1.3.4–5); when Indra killed Vr:tra, Vr:tra said to him, “You
fer:tility of the world. In either case, it is, ultimately, the drag-
are now what I was; now cut me in two” (ibid., 1.6.3.1–17).
on that is the source of that fer:tility; the darker side of cre-
The killing of Vr:tra, par:ticularly when combined with
ation and the sin that inevitably arises in dealing with it, rath-
the accessory acts of killing Trisiras and Namuci, fits a pat-
er than the hero and his vir:tue, is the source of life.
tern that has strong resonances in other Indo-European my-
SEE ALSO Indian Religions, article on Mythic Themes;
thologies. In the Avesta, Thraetaona kills a three-headed
Indra; Snakes.
demon and sets free the cows that have been imprisoned. In
Greece, Herakles kills the three-headed Geryon, and the
BIBLIOGRAPHY
Roman Hercules kills Cacus, the son of Vulcan (who is, like
Vr:tra et Verethraghna by Émile Benveniste and Louis Renou
Tvas:t:r:, the blacksmith of the gods). Þórr (Thor), Indra’s par-
(Paris, 1934) remains the classic study of this myth; it has
allel in Eddic literature, kills the World Serpent. And in a
been imaginatively augmented and extended by Georges
more general way, Vr:tra can be assimilated to all the dragons
Dumézil’s writings, par:ticularly The Destiny of the Warrior,
killed by all the great heroes—to Python slain by Apollo, to
translated by Alf Hiltebeital (Chicago, 1970). The major
the dragon killed by Saint George, and so forth.
myths of Indra and Vr:tra, together with a lengthy bibliogra-
phy of the secondary literature, are assembled on pages
As Indra’s powers diminished during the period of tran-
74–90 and 320–321 of my Hindu Myths (Baltimore, 1975)
sition from the R:gveda to the Bra¯hman:as, the killing of Vr:tra
and discussed on pages 102–111 of my The Origins of Evil
was no longer regarded as an act that he could accomplish
in Hindu Mythology (Berkeley, Calif., 1976). Sukumari Bhat-
in single combat. Other gods help him (Aitareya Bra¯hman:a
tacharji’s The Indian Theogony (Cambridge, 1970) summa-
2.3.5), or he uses the power of sacrifice rather than brute
rizes the details of the encounter on pages 251–259.
force (S´atapatha Bra¯hman:a 2.5.4.1–9); finally, as with Na-
WENDY DONIGER (1987)
muci, he hedges with words to break his treaty (ibid.,
1.6.3.10). In the Maha¯bha¯rata, Indra is so overpowered by
Vr:tra’s superior magic and prowess that the demon can be
VULVA SEE YONI
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N


W
WACH, JOACHIM [FIRST EDITION] (1898–1955), German-American
historian of religions. Wach was born in Chemnitz, Saxony, and died while vacationing
in Orselina, Switzerland. He was a descendant of Moses Mendelssohn, a lineage that af-
fected his life and career both positively and negatively. His paternal grandfather, the
noted jurisconsult Adolph Wach, married Lily, the daughter of Felix Mendelssohn, the
composer. His father, Felix, married Kathe, granddaughter of the composer’s brother,
Paul. Young Wach was early exposed to music, literature, poetry, and both classical and
modern languages. After two years of military service (1916–1918), Wach enrolled at the
University of Leipzig, but in 1919 and early 1920 he studied with Friedrich Heiler at
Munich and with Ernst Troeltsch at Berlin. He then returned to Leipzig to study Oriental
languages and the history and philosophy of religion. For a time he came under the spell
of the enigmatic poet Stefan George, whose writings spoke of a heightened sense of “expe-
rience,” through which one perceives the multiple threads of the tapestry of life as a trans-
parent whole. Wach received his Ph.D. degree in 1922 from Leipzig with a thesis entitled
“The Foundations of a Phenomenology of the Concept of Salvation,” published as Der
Erlösungsgedanke und seine Deutung (1922).
When Wach started teaching at Leipzig in 1924, the discipline of the history of reli-
gions (Religionswissenschaft), still in its infancy, faced serious dangers. On the one side,
its right to exist was questioned by those who insisted that whoever knows one religion
(i.e., Christianity) knows all religions; on the other, its religio-scientific methodology was
challenged by reductionist psychological and social-scientific approaches. Thus in his ha-
bilitation thesis, Religionswissenschaft: Prolegomena zu ihrer wissenschaftstheoretischen
Grundlegung (1924), Wach insisted on the integrity and autonomy of the history of reli-
gions, liberated from theology and the philosophy of religion. He emphasized that both
historical and systematic dimensions are necessary to its task, and he argued that the disci-
pline’s goal was “understanding” (Verstehen): “The task of Religionswissenschaft is to study
and to describe the empirical religions. It seeks descriptive understanding; it is not a nor-
mative discipline. When it has understood the historical and systematic aspects of the con-
C LOCKWISE FROM TOP LEFT CORNER. Engraving of a commune of witches, undated. [©Bettmann/
Corbis]; Tenth-century ivory diptych showing the crucifixion, the Madonna and Child, and
Christian saints. Biblioteca Apostolica Vaticana, Vatican Museums. [©Scala/Art Resource, N.Y.];
The Four Horsemen of the Apocalypse, woodcut, c. 1496, by Albrecht Dürer. [©Burstein
Collection/Corbis]; Dogon altar object from Mali. [©Werner Forman/Art Resource, N.Y.]; King
Gudea with a vase overflowing with water and fish, c. 2140 BCE. Louvre, Paris. [©Erich
Lessing/Art Resource, N.Y.] .
9649
9650
WACH, JOACHIM [FIRST EDITION]
crete religious configurations, it has fulfilled its task” (p. 68).
he never altered his views on the basic structure of the disci-
His Religionswissenschaft is still regarded as a small classic in
pline: its twin tasks (historical and theoretical); the centrality
the field.
of religious experience and its threefold expressions (theoreti-
cal, practical, and sociological); and the crucial importance
Wach’s agenda centering on understanding led him to
of hermeneutics. But Wach emphasized three different
produce a three-volume work on the development of herme-
methodological accents in three successive phases of his
neutics in the nineteenth century (Das Verstehen, 1926–
career.
1933). The first volume traced the hermeneutical theories of
such major figures as Friedrich Schleiermacher, G. A. F. Ast,
During his first phase, Wach was preoccupied with the
F. A. Wolf, August Boeckh, and Wilhelm von Humboldt.
hermeneutical basis for the descriptive-historical task of the
The second volume dealt with theological hermeneutics
discipline. He was greatly influenced by the philological her-
from Schleiermacher to Johannes von Hofmann, while the
meneutics of August Boeckh, who defined the hermeneutical
third volume examined theories of historical hermeneutics
task as “recognizing” that which had previously been “cog-
from Leopold von Ranke to historical positivism. Under-
nized,” that is, as articulating what has been recognized in
standably, Wach felt it absolutely necessary to establish solid
its pristine character, even to the extent of “reconstructing”
hermeneutical foundations for the history of religions.
in its totality that which does not appear as a whole. Accord-
Wach was convinced that the history of religions (Reli-
ingly, Wach insisted that the historian of religions must first
gionswissenschaft) should not lose its empirical character. He
try to assimilate that which had been recognized as a religious
felt that C. P. Tiele and P. D. Chantepie de la Saussaye had
phenomenon and “reproduce” it as one’s own. Then he must
failed to make an adequate distinction between the history
observe and appraise that which has become one’s own as an
of religions and the philosophy of religion. He was critical
objective something apart from oneself.
both of those who started with philosophy and developed
During his second phase, Wach attempted to develop
science and of those who started with science and moved to-
the systematic dimension of the history of religions by fol-
ward philosophy. In his view, the history of religions lay,
lowing the model of sociology. In Wach’s view, the sociolog-
rather, precisely between the two. In this respect he followed
ical (systematic) task of Religionswissenschaft had two main
Max Scheler, who posited a “concrete phenomenology of re-
foci: (1) the interrelation of religion and society, which re-
ligious objects and acts” between a historical study of reli-
quires an examination, first, of the sociological roots and
gions (a positive Religionswissenschaft) and the essential phe-
functions of myths, doctrines, cults, and associations, and,
nomenology of religion (die Wesensphänomenologie der
second, of the sociologically significant function and effect
Religion). According to Scheler, this intermediate discipline
of religion in society; and (2) the study of religious groups.
aims at the fullest understanding of the intellectual contents
In dealing with religious groups, and especially with the vari-
of one or more religious forms and the consummate acts in
ety of self-interpretations advanced by these groups, Wach
which these intellectual contents have been given. It was
employed the typological method. As he stated in his Sociolo-
Wach’s conviction that an inquiry such as Scheler envisaged
gy of Religion (1944), he was convinced of the need to devel-
could be carried out only by employing the religio-scientific
op a closer rapport between Religionswissenschaft and other
method of Religionswissenschaft.
disciplines, especially with the social and human sciences. In
Wach’s reputation for erudition attracted many stu-
this sense, his Sociology of Religion was an attempt to bridge
dents to Leipzig. However, his productive career there came
“the gulf which still exists between the study of religion and
to an abrupt end in April 1935. The government of Saxony,
the social sciences” (p. v). Yet the ultimate aim of his socio-
under pressure from the Nazis, terminated Wach’s university
logical (systematic) study of religion was “to gain new in-
appointment on the ground of his Jewish lineage, even
sights into the relations between the various forms of expres-
though his family had been Christian for four generations.
sion of religious experience and eventually to understand
Fortunately, through the intervention of American friends,
better the various aspects of religious experience itself”
Wach was invited to teach at Brown University in Provi-
(p. 5).
dence, Rhode Island, where he stayed until 1945. His adjust-
During the third phase, Wach’s concern for an integral
ment to the new environment was by no means easy; he was
understanding of the various aspects of religious experience
especially anxious about his mother, sister, and brother, who
and its expressions led him to reassess not only the relation-
were suffering under the Nazi tyranny. From 1945 until his
ship of Religionswissenschaft with the social sciences but also
death ten years later, Wach taught the history of religions at
its relationship with normative disciplines such as philosophy
the Divinity School of the University of Chicago.
of religion and the various theologies. After Wach’s sojourn
Wach always asserted that the method of the history of
in India, where he delivered the Barrows Lectures at various
religions must be commensurate with its subject matter, that
universities in 1952, this concern became more pronounced.
is, the nature and expressions of the religious experience of
It was, in fact, one of the key motifs of his lectures on the
humankind as that experience has been unfolded in history.
history of religions sponsored by the American Council of
Following his mentor, Rudolf Otto, Wach defined religious
Learned Societies in 1954. Increasingly the vocabulary of
experience as the experience of the holy. Throughout his life,
“explaining” (Deuten, Erklären) came to be used side by side
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WACH, JOACHIM [FURTHER CONSIDERATIONS]
9651
with that of “understanding” (Verstehen) in his lectures.
at the University of Chicago (1945–1955), he was known
Wach shared his dream of pursuing a new grand synthesis
for listening as he worked to recordings of music by his an-
for the study of the human religious experience, a sequel to
cestor Felix Mendelssohn, and for being able to quote from
earlier works such as Religionswissenschaft and Das Verstehen,
memory lengthy passages from the verse of Goethe, Schiller,
with friends during the Seventh Congress of the Internation-
and other classic German poets. Nonetheless, the bearing of
al Association for the History of Religion, held in Rome in
his aesthetic reflections upon his formation as a historian of
the spring of 1955. But death came that summer and robbed
religions is generally underappreciated. In this respect he was
him of this venture.
not alone among some of the most influential mid-
twentieth-century comparatists of religions. To him, as to
BIBLIOGRAPHY
Gerardus van der Leeuw, would apply what Joseph Kitagawa
Among Wach’s important contributions to the study of religion
once said of Mircea Eliade, namely, that he had a passion for
are Der Erlösungsgedanke und seine Deutung (Leipzig, 1922)
culture (paideia) in the Greek sense of the word. As with van
and Das Verstehen: Grundzüge einer Geschichte der hermeneu-
der Leeuw, the accomplished poet and musician, and Eliade,
tischen Theorie im 19. Jahrhundert, 3 vols. (1926–1933; re-
the celebrated novelist and short-story writer, Wach’s pas-
print, Hildesheim, 1966). Neither of these works has been
translated into English. The following books by Wach are
sion for paideia meant that his vocation of studying and in-
available in English: Sociology of Religion (Chicago, 1944),
terpreting a universal range of religious phenomena was
Types of Religious Experience: Christian and Non-Christian
complemented by, and inextricably related to, a rich variety
(Chicago, 1951), and the posthumously published The Com-
of aesthetic concerns.
parative Study of Religions (New York, 1958) and Under-
standing and Believing: Essays (New York, 1968).
Presumably, the influence of the George-Kreis, especial-
ly through Gundolf, was among the chief factors that led
Treatments of Wach’s thought include the following: my “Jo-
achim Wach et la sociologie de la religion,” Archives de so-
Wach from the outset of his career to liken the investigation
ciologie des religions 1 (1956): 25–41; Kurt Rudolph’s “Jo-
of religions to the contemplation of literature and the arts.
achim Wach,” in Bedeutende Gelehrte in Leipzig, vol. 1
As the Kreis is thought to have instilled in Wach a preoccupa-
(Leipzig, 1965); my “Verstehen and Erlösung: Some Re-
tion with hermeneutics, so is it clear that Gundolf’s ideas
marks on Joachim Wach’s Work,” History of Religions 11
about the relation between the artist and the artist’s work
(1971): 31–54; and Rainer Flasche’s Die Religionswissenschaft
stimulated Wach’s thinking about the relation between reli-
von Joachim Wach (New York, 1978).
gious experience and the various forms of religious expres-
JOSEPH M. KITAGAWA (1987)
sion (practical, theoretical, and sociological). Wach opined
that the great experiences from which all religious traditions
originate “exist for others only in the degree to which they
WACH, JOACHIM [FURTHER CONSIDER-
are expressed and where there is genuine religion, it will nec-
ATIONS]. True to his highly cultured family back-
essarily be expressed” (Wach, 1958, p. 59). He ascribed this
ground, Joachim Wach remained a passionate devotee of
idea to C. P. Tiele. However, it also calls to mind the claim
music, literature, and the arts throughout his life. This devo-
in Gundolf’s classic biography Goethe (1922) that, while the
tion dovetailed with his scholarly interest in religions. Dur-
artist’s experience (Erlebnis) may be superficially distinguish-
ing his years as a student at Leipzig, where he majored in the
able from the artist’s work, the artist exists only insofar as he
history of religions and minored in philosophy of religion
“expresses himself” (sich ausdrückt) through the work (p. 2).
and “Oriental” studies, his friends included poets, musicians,
Wach associated the study of religions with the study
and dancers, in addition to scientists and physicians. After
of the arts as early as in his Habilitation thesis Religions-
taking his doctorate, he spent two years studying at the Uni-
wissenschaft (1924), known in translation as The History of
versity of Heidelberg, where he attended lectures by the emi-
Religions. Dismissing the common notion of understanding
nent historian and literary scholar Friedrich Gundolf (1880–
as empathy (Nachfühlen) or imitative experience (Nacherle-
1931), who had a lastingly influence on Wach. It was during
ben), and characterizing understanding instead as “an entire-
those Heidelberg years that Wach became associated with the
ly spontaneous, productive act,” he contends in this work
poet Stefan George (1868–1933), who, with his famous cir-
that to interpret a religion or a work of art requires no con-
cle, or Kreis, of disciples (including Gundolf, one of Wach’s
sideration of its originator’s “psychological condition”
closest links to the group), aspired to create a new world and
(Wach, 1988b, p. 111). While he followed Wilhelm Dilthey
culture of pure, sublime art. The most significant aesthetic
in likening the interpretation of a religion to that of an art
commitment of his life, Wach’s allegiance to the George-
work, Wach discounted the common analogization of hav-
Kreis is thought to have been largely the source of his lasting
ing a religious sense to possessing an ear for music. Inasmuch
concern with the problem and mission of understanding
as he dismissed the assumption that persons who profess no
(Verstehen), and to have stamped his whole personality for
religious faith or confession are “religiously unmusical”
life (see Flasche, 1978, p. 14).
(p. 115), he differed from Max Weber. The latter considered
There is abundant lore about Wach’s lifelong active in-
some people, including himself, to be “religiously unmusi-
terest in literature and the arts. During his years as professor
cal,” and cast them as antithetical to the religious “virtuoso”
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9652
WACH, JOACHIM [FURTHER CONSIDERATIONS]
(a term adapted from musicology). Wach instead remained
elist Thomas Mann’s idea of the poet’s yearning (Sehnsucht)
in harmony with the theory of Rudolf Otto, contending that
“signified the soul’s inner ability and readiness to transcend
“humanity, by nature, is attuned to religion,” and therefore:
itself,” a task the soul accomplishes through the imagination:
“The study of music knows that there is no such thing as an
“For imagination allows ideas to be grasped, feelings to be
unmusical person; such a person often lacks only the training
felt, and realms of the soul to be traversed that actual experi-
and development of an ear for music. It would be good, too,
ence [Erfahrung] could never teach the poet” (Wach, 1988b,
if historians of religions would realize that a poorly developed
p. 113). In this respect the poet resembles the scholar, whose
religious sense never means that such a sense is lacking alto-
“interest is stimulated by the appearance of a great personali-
gether” (p. 115).
ty, of significant processes, or of a tragic event” (p. 113).
Of all the arts, Wach invoked poetry the most extensive-
Given the same “inner affinity” as that between the poet and
ly to illustrate his notion of understanding. To counter a
the poet’s object, “the person who wishes to understand en-
common misinterpretation of Dilthey’s view of the relation
ters into a mysterious communication with the object of
between experience (Erlebnis) and understanding, he con-
study that allows him to penetrate to its core” (p. 113). With
tended that the possibilities of human experience are not lim-
an imagination thus aroused, the person feels drawn to seek
ited to the totality of a person’s external experience of life
a broader, deeper, more precise understanding of the object
(äussere Lebenserfahrung): one need not have been in love,
of interest, and “yearns to develop further those dispositions
waged battle, or grown old to understand a lover, a general,
of the soul that have not yet been realized. Thus, the limits
or the aged. Poets afford practical illustrations of, and in
of the empirical personality are expanded” (p. 113). This
some instances reflect theoretically upon, the fact that exter-
analogy between poetic yearning and the aroused scholarly
nal experiences (Erfahrungen) can be presaged by internal ex-
imagination anticipates Eliade’s well-known construal of lit-
perience (inneres Erleben). This is not to deny the formative
erary creation and aesthetic imagination as cognitive, episte-
bearing of external experience upon poetry. In probing the
mological instruments useful to the scholarly enterprise.
theoretical ramifications of this problem of imagination
Although Wach often appealed abstractly to the catego-
(Phantasie), experience (Erlebnis), and poetry, Wach was well
ries of “poet” and “poetry,” sometimes particular works by
aware of Dilthey’s observation that poetic creation invariably
specific literary artists proved revelatory to him as a historian
originates from “life-experience” (Lebenserfahrung). Like Dil-
of religions. For example, he found Friedrich Hölderlin’s po-
they, who qualified that “only those moments of [the poet’s]
etic depiction of the bond between Empedocles and Pausani-
existence [Dasein] that disclose to him one of life’s character-
as to exemplify the typal master-disciple relation (Wach,
istics possess a deeper relationship to his poetry” (quoted in
1988a, pp. 15–16, 19, 22), and his essay on “religious exis-
Wach, 1988b, p. 218n.), Wach emphasized that what ulti-
tence” in Fyodor Dostoevsky’s novels praises the German
mately matters for poetry is what the poet makes of external
Catholic theologian Romano Guardini for revealing in those
experiences through inner, imaginative power: “It is by imag-
texts the “groundlines of a Christian anthropology” (Wach,
ination that experiences first bear fruit. To an amazing de-
1934, p. 196). Wach’s Sociology of Religion (1944) is replete
gree, imagination may supplement experiences and even sub-
with allusions to prevalent symptoms of the interplay be-
stitute for them” (Wach, 1988b, p. 113).
tween religions and the arts, such as the “aesthetic finish” of
Such reflections were germane to Wach’s conception of
Trobriand magic; the priestly fostering of sacred song, music,
his religionswissenschaftlich enterprise. His distinction be-
dance, and literary and visual arts; Australian Aboriginal to-
tween life-experiences and what the poet imaginatively
temic practices; and certain rituals associated with prophets.
makes of them harks back to Aristotle’s distinction between
However, Wach elsewhere qualified that the practical, “activ-
history as that which conveys particular truths (telling what
istic” orientation of religious experience, involving “an im-
happened), and poetry as that which conveys universal truths
perative, a commitment which impels man to act,” distin-
(telling what might happen). Much as Aristotle viewed poet-
guishes it from “aesthetic experience, of which it shares the
ry as something graver and more scientific than history (see
intensity, and joins it with moral experience” (Wach, 1951,
Poetics 1451a–b), so Wach deemed Religionswissenschaft to
p. 33).
be hermeneutically more sophisticated than the positivist,
historicist approach to religion. While the historicist was pre-
BIBLIOGRAPHY
occupied with thoroughness of arbitrarily selected data,
Among the studies by Wach that reflect his interest in the arts are
Wach urged the scholar of religions “to determine by com-
his essay “Religiöse Existenz: Zu dem Dostojewskij-Buch
parison and phenomenological analysis if anything like a
Romano Guardinis,” Zeitschrift für Missionskunde und Reli-
structure can be discovered in all these forms of expression,
gionswissenschaft, 40th issue, 7th installment (1934): 193–
to what kind of experience this variegated expression can be
201; Sociology of Religion (Chicago, 1944); Types of Religious
traced, and, finally, what kind of reality or realities may cor-
Experience: Christian and Non-Christian (Chicago, 1951);
respond to the experiences in question” (Wach, 1951,
The Comparative Study of Religions (New York, 1958); Essays
in the History of Religions, edited by Joseph M. Kitagawa and
p. 30).
Gregory D. Alles (New York, 1988a); and Introduction to the
Wach indicated how his pondering of poetry informed
History of Religions, edited by Joseph M. Kitagawa and Greg-
his conception of his scholarly vocation. In his view, the nov-
ory D. Alles (New York, 1988b), the first part of which con-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WAHHA¯B¯IYAH
9653
stitutes a translation of Wach’s Habilitation thesis Religion-
(ijtiha¯d) by scholars was possible, although subject to clear
swissenschaft: Prolegomena zu ihrer wissenschaftstheoretischen
rules. He actively opposed what he considered innovations
Grundlegung (Leipzig, 1924). Wach’s undated paper, “Stefan
in devotional practices, such as the visitation of the tombs
George (1863–1933): Poet and Priest of Modern Paganism,”
of famous figures. In these and other themes Ibn Taym¯ıyah
was published posthumously in his Understanding and Be-
provided a basis for later Sunn¯ı fundamentalism, including
lieving: Essays (New York, 1968), pp. 11–29.
the Wahha¯b¯ıyah.
Aside from Rainer Flasche’s Die Religionswissenschaft von Joachim
The H:anbal¯ı school did not gain a mass following in
Wach (New York, 1978) and the other secondary sources
cited in the bibliography to Kitagawa’s entry on Wach above,
the Islamic world, but groups of H:anbal¯ı scholars had local
two pertinent studies include Flasche, “Joachim Wach
influence in some regions. One such region was the Najd in
(1898–1955),” in Klassiker der Religionswissenschaft von Frie-
central Arabia, where the H:anbal¯ı tradition continued in
drich Schleiermacher bis Mircea Eliade, edited by Axel Mi-
towns with established families of H:anbal¯ı teachers. Never-
chaels (Darmstadt, 1997), pp. 290–302; and Eric Ziol-
theless, the local lifestyle in the Najd did not reflect a funda-
kowski, “Wach, Religion, and ‘The Emancipation of Art,’”
mentalist spirit. People commonly believed that trees and
Numen 46 (1999): 345–369.
rocks possessed spiritual powers and that the graves of holy
E
men were places of special holiness. Such a society contained
RIC ZIOLKOWSKI (2005)
many elements that Islamic fundamentalists view as manifes-
tations of polytheism (shirk) and the ignorance of the pre-
Islamic era (Ja¯h¯ıliyah).
WAHHA¯B¯IYAH. An Islamic renewal group established
Najd was not unique in the eighteenth-century Islamic
by Muh:ammad ibn EAbd al-Wahha¯b (d. AH 1206/1792 CE),
world. While Islam had flourished in the strong empires of
the Wahha¯b¯ıyah continues to the present in the Arabian
the fifteenth and sixeenth centuries, by the eighteenth centu-
Peninsula. The term Wahha¯b¯ı was originally used by oppo-
ry, compromises with local religious customs and ineffective
nents of the movement, who charged that it was a new form
political organizations led Muslims from West Africa to
of Islam, but the name eventually gained wide acceptance.
Southeast Asia to call for Islamic renewal. The Wahha¯b¯ı
According to the teachings of Ibn EAbd al-Wahha¯b, however,
movement emerged at the very center of this world.
the movement is not a new Islamic school but, rather, a call
H
or mission (da Ewah al tawh:¯ıd) for the true implementation
ISTORY OF THE MOVEMENT. Wahha¯b¯ı history can be di-
vided into three periods, in each of which the movement is
of Islam. The Wahha¯b¯ıyah often refer to “the mission of the
associated with the establishment of a state as well as a com-
oneness of God” (da Ewat al-tawh:¯ıd) and call themselves
munity of believers. While the call has been Wahha¯b¯ı, the
“those who affirm the oneness of God,” or muwah:h:idun.
state in each case was based on leadership by the SaEu¯d
HISTORICAL BACKGROUND AND CONTEXT. Renewal move-
family.
ments have deep roots in Islamic experience. The QurDa¯n
and the sunnah, or normative practice of the prophet
The era of Muh:ammad ibn EAbd al-Wahha¯b.
Muh:ammad, provide standards by which the belief and ac-
Muh:ammad ibn EAbd al-Wahha¯b, born in the central Arabi-
tions of Muslims in any age can be judged. A strict interpre-
an town of al-EUyaynah in 1703, traveled and studied widely.
tation of these fundamentals has often provided the basis for
In the process, he developed a belief in the need for purifica-
an active call for reform. The Wahha¯b¯ı call is one of the most
tion of Muslim beliefs and practices, and this belief became
famous of these so-called fundamentalist movements. Specif-
his life’s mission.
ically, it can be seen as a continuation of the strict Sunn¯ı tra-
At first the mission took the form of preaching opposi-
dition associated with the H:anbal¯ı school of law based on
tion to popular religious practices and Sh¯ıE¯ı Islam, in Basra
the teaching of Ah:mad ibn H:anbal (d. 855 CE).
and eastern Arabia. Returning to his homeland to continue
Ah:mad ibn Taym¯ıyah (d. 1328) was a H:anbal¯ı scholar
this call, he initially won some support from the ruler of
whose works have had a major influence on the thinking of
al-EUyaynah, but the vigor of his purification efforts soon
fundamentalist advocates of renewal. He became well known
aroused opposition, and he was forced to leave.
for his opposition to devotional innovations and popular re-
Ibn EAbd al-Wahha¯b then went to al-DarE¯ı yah, where
ligious customs not specified in the QurDa¯n or sunnah. His
the ruler was Muh:ammad ibn SaEu¯d. In 1744 the two men
preaching against even established scholars made his work
formed an alliance that became the basis for both the subse-
controversial, while his polemical skills made him popular.
quent Saudi states and the Wahha¯b¯ı movement. The ruler
The core of his teaching was the “science of the oneness
and the teacher worked together in the creation of the first
of God” ( Eilm al-tawh:¯ıd), which stresses the comprehensive
Saudi-Wahha¯b¯ı state.
nature and unity of the Islamic message. Rationality, mystic
The deaths of Ibn SaEu¯d in 1765 and of Ibn EAbd
intuition, and the legal prescriptions are seen as parts of a sin-
al-Wahha¯b in 1792 did not stop the expansion of the mis-
gle whole. Ibn Taym¯ıyah rejected claims by Islamic mystics
sion or the state. Political leadership remained in the hands
that “the law” and “the [mystical] path” were somehow sepa-
of the SaEu¯d family, while the family of Ibn EAbd al-Wahha¯b,
rate. He also stressed that independent interpretation
subsequently called “the family of the shaykh,” or A¯l al-
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WAHHA¯B¯IYAH
Shaykh, maintained a position of intellectual leadership in
Wahha¯b¯ı movement during the twentieth century. In the
the later history of the state and movement.
spectrum of Islamic reform movements, however, the Saudi
state continued to reflect a fundamentalist orientation.
By the beginning of the nineteenth century, the
Saudi-Wahha¯b¯ı community controlled most of the Arabian
Since the consolidation of the Saudi monarchy, the pre-
Peninsula and the holy cities of Mecca and Medina. This
dominant tone of the Wahha¯b¯ıyah has evolved significantly.
central position and attacks on Ottoman territories in Iraq
Generally, fundamentalism works to change the existing so-
and Syria brought a reaction, however: The Ottoman sultan
cial order. It is not a conservative style. However, the success
ordered the governor of Egypt, Muh:ammad EAli, to use his
of EAbd al-EAz¯ız and his successors in creating a relatively
newly reformed army to defeat the Wahha¯b¯ıyah. In 1812,
prosperous state has favored a more pragmatic and conserva-
the Egyptian army took Medina and in 1818 captured the
tive policy. While still within the tradition of Ibn EAbd
Saudi capital of al-DarE¯ı yah. With this defeat, the first phase
al-Wahha¯b, the twenty-first century version of the Wahha¯b¯ı
of Wahha¯b¯ı history came to an end.
mission works within the framework of a modernizing state.
The second Saudi-Wahha¯b¯ı state. The Egyptian army
A major factor in this development is the impact of
did not remain long in central Arabia, and Saudi leaders soon
Saudi oil revenues. Exploitation of oil resources began during
reestablished their state with a new capital at Riyadh. Key fig-
the lifetime of EAbd al-EAz¯ız, and Saudi Arabia became a
ures in this restoration were a grandson of Muh:ammad ibn
major oil-exporting state under his sons and successors,
SaEu¯d, Turk¯ı (d. 1834), and his son Fays:al (d. 1865). Al-
SaEu¯d (r. 1953–1964) and Fays:al (r. 1964–1975). Saudi poli-
though smaller than the first, the new state restored the polit-
cy in the early twenty-first century is designed to implement
ical and religious mission of the original one. An important
the fundamentalist call in a wealthy and modernizing state.
part of the Wahha¯b¯ı heritage is the work of administering
An example is Fays:al’s ten-point program presented in 1962,
and consolidating a functioning fundamentalist state in the
which, like subsequent policies of Fays:al’s successors, Kha¯lid
nineteenth century.
(r. 1975–1982) and Fahd (r. 1982-), affirms that a modern-
izing state can be based on the QurDa¯n and the sunnah.
In the last quarter of the nineteenth century the Saudi
ruling family divided, and in the conflicts that followed the
BASIC IDEAS AND CONCEPTS. Despite the development of
death of Fays:al, other Arabian chieftains began to take con-
a more pragmatic ideology, the basic concepts of the
trol of Saudi lands. By the 1890s, the leaders of the SaE u¯d
Wahha¯b¯ı program have remained quite constant. The one-
family were forced into exile and the second state came to
ness of God, or tawh:¯ıd, is the fundamental concept in
an end.
Wahha¯b¯ı writings. It is an affirmation of the comprehensive
nature of the statement “There is no god but [the one] God.”
The twentieth-century revival. The third period of
Tawh:¯ıd means that the political and economic realms are as
Wahha¯b¯ı history began in 1902, when a young Saudi prince
much subject to God as are the realm of creeds. Any action
recaptured Riyadh. This man was EAbd al-EAz¯ız ibn EAbd
or belief that seems to recognize ultimate authority or spiri-
al-Rah:man, often called Ibn SaEu¯d (1879–1953). EAbd
tual power in something other than God becomes poly-
al-EAz¯ız reconquered many of the lands of the first Saudi
theism.
state in a series of bold diplomatic and military moves. The
In the eighteenth century the concept of tawh:¯ıd provid-
final steps came in the 1920s when, among other areas,
ed the basis for opposition to saint worship and other popu-
Mecca and Medina again came under Saudi-Wahha¯b¯ı con-
lar religious customs. In the consolidation efforts of the nine-
trol. Although geographic expansion stopped during that de-
teenth century, tawh:¯ıd formed the logical basis for the legal
cade, the new Wahha¯b¯ı state continued to develop.
decisions and religious positions of the scholars in the state
The twenty-first century state is based on the pillars of
ruled by Turk¯ı and Fays:al. In the twenty-first century prag-
Saudi leadership and the Wahha¯b¯ı mission. EAbd al-EAz¯ız
matic fundamentalism of the Saudi state tawh:¯ıd provides an
consciously adhered to Wahha¯b¯ı teachings, and the official
Islamic basis for comprehensive planning and a Muslim ori-
constitution of the state is the QurDa¯n. The “family of the
entation to all aspects of policy.
shaykh” and the learned teachers play important roles as ad-
A second basic concept is ijtiha¯d, or independent in-
visers and legitimizers of the state. At first they were impor-
formed reasoning, which directs a person with the proper
tant in administration but later were active primarily in tradi-
training to base opinions on direct analysis of the QurDa¯n and
tional education and legal interpretation. A key to early
the sunnah. The analyst using ijtiha¯d is not required to accept
Saudi military success was the creation of the Ikhwa¯n, tribal
the conclusions of the great medieval scholars. In fact, blind
soldiers organized in special settlements as warriors for the
adherence to the teachings of such scholars could be regarded
faith. A critical transition in the development of the state
as polytheism.
came in 1929, when the Ihwa¯n unsuccessfully revolted
against the pragmatism of EAbd al-EAz¯ız’s policies. Because
The Wahha¯b¯ıyah have not carried the emphasis on
the Wahha¯b¯ı program is identified with the Saudi state, state
ijtiha¯d to the extreme of rejecting all medieval Islamic schol-
policies represent an important definition of its mission.
arship. Instead, they have stayed within the H:anbal¯ı tradi-
Thus the pragmatic style became characteristic of the
tion but have felt free to go beyond its limits at times. In the
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WAHHA¯B¯IYAH
9655
thinking of Ibn EAbd al-Wahha¯b, this flexibility opened the
that belief, and advocating the reconstruction of society on
way for a more vigorous rejection of Sufism (mysticism) than
the basis of a strict and independent interpretation of the
is found generally among the H:ana¯bilah. It also allowed the
fundamentals of Islam. This message helped to inspire move-
shaykh more freedom in developing the Islamic policy of the
ments ranging from holy wars to modernist rethinking of
first Saudi-Wahha¯b¯ı state and in later years has given the
medieval formulations. Following the Sh¯ıE¯ı fundamentalist
Wahha¯b¯ıyah some freedom in adjusting to the changes of
revolution in Iran in 1979, the Wahha¯b¯ı movement as repre-
the modern era.
sented by the policies of the Saudi state became a more con-
A different set of concepts involves aspects of life that
servative influence in a context of more radical Islamic reviv-
the Wahha¯b¯ıyah reject, including innovation (bid Eah), idol-
alism. However, the Wahha¯b¯ı mode of activist renewal also
atry or polytheism (shirk), and sinful ignorance (ja¯hil¯ıyah).
became identified with many of the militant Islamic move-
These concepts are in counterpoint to the positive positions
ments of the early twenty-first century. As happened in the
involved in tawh:¯ıd and ijtiha¯d. The opposition to innovation
nineteenth century, “Wahha¯b¯ı” came to be the term used to
is not simply a rejection of all change. After all, the Wahha¯b¯ı
describe terrorist and militant groups as well as puritanical
movement began with the call for major changes in society.
advocates of Islamic renewal. Both as the followers of the spe-
The Wahha¯b¯ıyah oppose innovations for which a justifica-
cific movement that developed in the Arabian Peninsula and
tion cannot be found in the QurDa¯n or the sunnah. In this
as the adherents of movements of the “Wahha¯b¯ı-type,” the
way many medieval devotional practices were rejected as “in-
Wahha¯b¯ıyah have had and continue to have a significant role
novations.” At the same time, the exercise of ijtiha¯d can pro-
in the modern history of the Islamic world.
vide justification for changes that fall within Islamic limits.
SEE ALSO Ibn EAbd al-Wahha¯b, Muh:ammad.
Idolatry and sinful ignorance represent a violation of
tawh:¯ıd; they are the identifying features of the real nonbe-
liever. In the early days of the Wahha¯b¯ı mission, opposition
BIBLIOGRAPHY
to idolatry and ignorance focused on concrete issues such as
There are a number of important primary sources for the teach-
saint worship, veneration of trees and stones, and ignoring
ings and history of the Wahha¯b¯ıya. Of particular interest are
explicit QurDanic commands. In the twentieth century these
the numerous works of Muh:ammad ibn EAbd al-Wahha¯b,
concepts have been expanded to include ideologies that are
but few of these have been translated. His works are listed
viewed as atheistic (such as communism). Originally in Is-
in an important biographical study, EAbd Allah al-
S:alih:al-EUthaymin’s Al-Shaykh Muh:ammad ibn EAbd
lamic history the so-called Age of Ignorance or Ja¯hil¯ıyah was
al-Wahha¯b, h:aya¯tuhu wafikruhu (Riyadh, n. d.). A large col-
the period before the time of Muh:ammad. However, in
lection of legal decisions and letters by a number of impor-
modern fundamentalist thought, the concept of Ja¯hil¯ıyah
tant nineteenth-century Wahhabi leaders is contained in
has been broadened to include willfully ignoring the guid-
Majmu¯ Ea¯t al-rasa¯ Dil wa-al-masaDil al-najd¯ıyah (Cairo, 1927).
ance for human life given in the QurDa¯n and the sunnah.
Two important histories are EUthma¯n ibn Bishr’s Kitab
Such defiance makes people nonbelievers to be opposed by
Eunwan al-majd f¯ı taDr¯ıkh Najd (Mecca, 1930) and H:asan
Muslims of the Wahha¯b¯ı tradition.
ibn Ghanna¯m’s Rawd:at al-afka¯r (Bombay, 1919).
GENERAL IMPACT AND SIGNIFICANCE. The establishment of
Major secondary sources include the works of H. St. John Philby,
the Saudi-Wahha¯b¯ı state in the Arabian Peninsula represents
a close associate of EAbd al-EAz¯ız Ibn SaEu¯d; see, for example,
the most concrete heritage and impact of the Wahha¯b¯ı
Arabia (New York, 1930). For the H:anbal¯ı background, the
movement. Since the eighteenth century the Wahha¯b¯ıyah
standard work on Ibn Taym¯ıyah and his impact is Henri
have represented the spirit of fundamentalism in the central
Laoust’s Essai sur les doctrines sociales et politiques de Taki-d-
lands of Islam, establishing the tradition of a community
Din Ahmed ibn Taymiyya (Cairo, 1939). The life of
based on the QurDa¯n and the sunnah. However, the signifi-
Muh:ammad ibn EAbd al-Wahha¯b is covered in the biograph-
cance of the movement goes beyond the state. In the rigor
ical study by al-EUthaymin. The life and thought of Ibn Abd
of their attachment to the renewal mission, the Wahha¯b¯ıyah
al-Wahha¯b and the subsequent movement’s impact is dis-
have provided an example of what was and is possible. The
cussed in Natana J. Delong-Bas, Wahhabi Islam: From Reviv-
implementation of the call for renewal contributed to the
al and Reform to Global Threat (New York, 2004). The sec-
ond SaEu¯di-Wahha¯b¯ı state is described in R. Bayly Winder’s,
general spirit of fundamentalism in the eighteenth century.
Saudi Arabia in the Nineteenth Century (New York, 1965).
Some Muslims were directly inspired by Wahha¯b¯ı teachings
For the twentieth century, there are many studies dealing
while others were affected more by their general effort. The
with specific aspects of the movement, such as John S.
fame of the Wahha¯b¯ıyah spread to such an extent that by
Habib’s Ibn Sa Eu¯d’s Warriors of Islam (Leiden, 1978) and
the nineteenth century almost any movement of rigorous
Christine Moss Helms’s The Cohesion of Saudi Arabia (Balti-
fundamentalist reform came to be called a “Wahha¯b¯ı move-
more, 1981), which contains an excellent summary of
ment.”
Wahha¯b¯ı teachings. A useful general survey of the history of
the movement and of the three Saudi states is Alexei Vassi-
The Wahha¯b¯ıyah are the best-known example of a
liev, The History of Saudi Arabia (New York, 2000).
Muslim movement calling for strict recognition of the one-
ness of God, with all of the social and moral implications of
JOHN O. VOLL (1987 AND 2005)
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9656
WAKANDA
WAKANDA SEE POWER
upon the righteous as their “friends [awliya¯ D] in this life and
the next,” so that they shall have no fear; indeed, according
to 10:62, the “friends of God [awliya¯ D Alla¯h, i. e., the pious]
shall have no fear”—a verse frequently quoted in S:u¯f¯ı
WALA¯YAH, or wila¯yah, an Arabic verbal noun derived
manuals.
from the root wly, carries the basic meanings of “friendship,
God’s unique position as the most powerful friend and
assistance” and “authority, power.” A fundamental notion of
helper (wal¯ı nas:¯ır) is one of the major themes of QurDanic
Islamic social and spiritual life, the term is used with a com-
preaching, and several verses make it clear that those who
plex variety of meanings related to the function, position, au-
“turn away” (e.g., 9:74) and/or “are lead astray by him” (e.g.,
thority, or domain of authority of a wal¯ı (pl., awliya¯ D; “next
18:17) have no wal¯ı (42:8) or mawla¯ (47:11), that is, no one
of kin, ally, friend, helper, guardian, patron, saint”); a mawla¯
to turn to for help or guidance. The same message is also
(pl., mawa¯l¯ı; “cousin, close relation, ally, client, patron, mas-
conveyed by the parable of the rich but impious owner of
ter”); or a wa¯l¯ı (pl., wula¯h; “administrator, governor, ruler”).
the two gardens and his poor but godfearing companion
It appears in Persian as vala¯yat, vila¯yat, and in Turkish as vi-
(18:32ff.), which closes with one of the two QurDanic verses
layet.
in which al-wala¯yah actually occurs: it is the rich man who
A distinction is often made between wala¯yah and
ends up the loser in spite of the prosperity of his gardens and
wila¯yah, with the latter form generally preferred to convey
the power of his clan, for, “Ultimately, the wala¯yah belongs
the meaning of “power,” “authority,” or “domain of authori-
to God, the Truth!” (18:44).
ty” (e.g., a political subdivision of a country). However, the
While this verse gives an idea of the prophet
vocalization is not normally indicated in the texts, and the
Muh:ammad’s attitude during the early stages of his career
classical Arab lexicographers are not unanimous on this
as a religious “warner” at Mecca, the other verse in which
point.
al-wala¯yah occurs (8:72) reflects the situation immediately
QURDANIC USAGE. Although the verbal noun al-wala¯yah,
after his emigration (Hijrah) in 622 CE from Mecca to Medi-
thus vocalized according to the standard text, occurs only
na, where he began to organize his new community. The
twice in the QurDa¯n (surahs 8:72 and 8:44), other derivatives
verse defines the relationship between three groups of believ-
of the root wly are found in more than two hundred in-
ers (Muslims) in terms of wala¯yah: (1) those who emigrated
stances. Most frequently, the verbal forms walla¯ and tawalla¯
and “fought on the path of God,” (2) those who gave them
are used, in the sense of “turning” either one’s back or face—
asylum (in Medina) and helped them, and (3) those who did
properly or metaphorically speaking—toward somebody or
not emigrate. The first two groups, who came to be known
something (e.g., a hostile army, a sacred place, a prophetic
later as the emigrants (muha¯jiru¯n) and the helpers
message; God himself “turns to” or “takes care of” the pious,
(ans:a¯r)—the nucleus of the future Muslim community
as in 7:196 and 45:19).
(ummah)—are, according to this verse, allies or friends of
The nominal forms wal¯ı and mawla¯ are used, without
each other (awliya¯ D); but “as for those who believed but did
apparent distinction, for the two partners of a close social re-
not emigrate, you have no wala¯yah with them [or: you
lationship, such as kinship and alliance, but also for those of
should disregard their wala¯yah] until they emigrate!”
the God-human relationship. A wal¯ı or mawla¯ can claim cer-
Traditional interpretation of this verse refers to a cere-
tain rights of inheritance and has certain duties or responsi-
monial “brothering” (mu Da¯kha¯h) supposed to have taken
bilities to assist an ally against enemies, in such cases as the
place between the emigrants and their Medinese helpers.
retaliation for unjust killing of kinsmen (wila¯yat al-dam; see
This event was to cancel the old ties of wala¯yah linking the
17:33). Inheritance and assistance expected of a wal¯ı may
emigrants to their blood relations back in Mecca; this radical
also be of a spiritual kind, as in the QurDanic version of the
measure was, however, later abrogated or modified through
birth of John the Baptist, which seems to echo a messianic
verses 8:75 and 33:6, which state that blood relations are
idea implicit in the Judeo-Christian background of that
“closer [awla¯] in the Book of God.” Regarding this “brother-
theme: Zacharias, having no (natural) son and fearing there-
ing,” W. Montgomery Watt suggests that “Muh:ammad was
fore the claims of his mawa¯l¯ı (secondary heirs, perhaps priest
prepared to use the kinship principle to increase the cohesion
colleagues), asks God to give him a “noble offspring” (3:38),
of his religious community in Medina” (“The Charismatic
a “wal¯ı from thee, who will be my heir and will inherit [pro-
Community in Islam,” Numen 7, 1960, p. 84). However,
phethood?] from the family of Jacob” (19:5–6).
since it is not clear who “those who believed but did not emi-
grate” were in the first place, the ties of wala¯yah, to be ig-
Similarly in 4:75, but without the notion of kinship and
nored “until they emigrate,” may have been those of friend-
inheritance, the oppressed (Meccan Muslims), left alone
ship or alliance rather than kinship, as is also suggested by
after the prophet Muh:ammad’s emigration, ask God to bring
the parallel passage 4:89.
them out of “the city of the unjust” and to provide for them
“a wal¯ı from thee and a helper [nas:¯ır] from thee” (see also
At any rate, emigrants and helpers were the “true believ-
17:80). According to 41:28–31, the enemies of God will
ers” (8:74), and “those fighting” (muja¯hidu¯n) were definitely
dwell forever in the fire, whereas the angels will descend
placed in a higher rank than “those sitting” (at home), ac-
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WALA¯YAH
9657
cording to 4:95–4:96. Clearly, the new charismatic commu-
known as wila¯yat al-dam or “wila¯yah of blood,” is one among
nity of true believers was an alliance of those following the
other forms in which the requital (qis:a¯s:) may be exercised.
Prophet and was directed against his opponents. Further, it
Sunn¯ı laws of inheritance, which were elaborated in the
should be noted that these opponents were also seen as form-
second Islamic century by the jurist al-Sha¯fiE¯ı (757–820),
ing such an alliance of “awliya¯ D of each other,” whether they
generally follow Arab tradition. The primary heir is the wal¯ı
were “the disbelievers” (8:73), “the hypocrites” (9:67–72),
as the nearest male agnate in descending or ascending order
“the unjust” (45:19; 6:129), or “the Jews and Christians”
( Eas:abah); but shares (fara¯Did:) are also provided for secondary
(5:51). As is well known, the new Muslim community was
heirs in accordance with the QurDanic dispositions in surah
patterned after the model of the nation of Abraham, but with
4:7ff. Under certain conditions, the inheritance of a manu-
Abraham as neither Jew nor Christian (see 3:64–68). The
mitted slave goes to his former owner, who has become his
Jews in particular are frequently challenged in the Medinese
patron (mawla¯) and is counted as such among the agnates
surahs, notably to prove their claim to be “the exclusive
according to Sha¯fiE¯ı law. A similar kind of legal kinship was
friends of God” (awliya¯ D Allah min du¯n al-na¯s, 62:6–8;
presumed in the early Umayyad period between non-Arab
2:94–95).
converts to Islam and their Arab patrons, who “adopted”
Wala¯yah as a socioreligious concept seems indeed exclu-
them as clients (mawa¯l¯ı).
sive: one turns either to the right or to the wrong side, and
Al-Jurja¯n¯ı (1339–1413) defines wala¯yah as legal kinship
the two sides are always engaged in battle: “Those who be-
(qara¯bah h:ukm¯ıyah) resulting from either manumission or
lieve fight on the path of God, while those who disbelieve
“adoption.” Wila¯yah, on the other hand, he defines as the
fight on the path of al-T:a¯ghu¯t; thus, fight against the awliya¯D
legal power “to carry through a decision affecting another
of Satan!” (4:76). (Al-T:a¯ghu¯t, perhaps derived from Ethiopic
person, whether the latter wishes or not.” The notion of
t:a¯‘o¯t, “idols,” is used for Satanic powers and often applied
wila¯yah as legal power is not, as such, QurDanic but was prob-
to tyrants or unlawful rulers, especially in Sh¯ı‘¯ı interpreta-
ably developed from the early second century AH onward in
tions.)
two different, though not unrelated, social spheres: family
God and his antagonist(s) lead their respective allies or
law and political thought.
friends their way: God as the “wal¯ı of the believers” leads
Family law. The QurDanic laws of inheritance are laid
them from darkness to light, whereas the disbelievers, who
down in 4:1ff., together with general rules and indications
have al-T:a¯ghu¯t as awliya¯D, are led by them from light to dark-
concerning marriage and the gift of the bridal dower to the
ness (2:257). The world seems to be divided into two antago-
brides (or wives), as well as the protection of the goods of
nistic groups: the party of God (h:izb Alla¯h, 5:56) and the
orphans and fair treatment of the mentally weak (saf¯ıh), who
party of Satan (58:19), but the party of God, that is, “whoev-
should be represented by their wal¯ı in legal matters (2:282).
er turns to [or follows, yatawalla¯] God and his messenger
A number of specific legal responsibilities of a wal¯ı regarding
[the prophet Muh:ammad] and those who believe,” is win-
brides, orphans, minors, and otherwise legally incompetent
ning (5:56), while “whoever takes Satan rather than God as
persons (saf¯ıh) were eventually defined as a kind of guardian-
wal¯ı is surely going to lose!” (4:119). As though the divine
ship or trusteeship. Among these, the most important social-
wala¯yah were spread among the charismatic community,
ly is undoubtedly the “guardianship of marriage” (wila¯yat
verse 5:55 states that “Your wal¯ı is only God, his Messenger,
al-nika¯h:), the office of the bride’s nearest relative, her wal¯ı,
and those who [truly] believe, who perform the prayer and
who must give her in marriage by contractual agreement
give alms, bending the body.” Thus, unlike the purely God-
with the bridegroom. The wal¯ı may refuse consent or, as
oriented wala¯yah of the “poor companion” of Mecca, the
wal¯ı mujbir, force his ward into marriage under certain cir-
Medinese wala¯yah seems to be the charisma of the party of
cumstances. According to Joseph Schacht, the wila¯yat
God, in which the person of the Prophet himself plays the
al-nika¯h: was not, as a legal institution, “originally as self-
central role. Though never elevated to divine status, this role
evident as it became later,” and “marriage without a legal
of the Prophet is stressed in the later parts of the QurDan gen-
wal¯ı continued the easygoing practice of the pre-Islamic
erally; it culminates in the solemn pledge of allegiance
Arabs” during the early Islamic period (Schacht, p. 182f.).
(muba¯ya Eah) made to him in lieu of God in 628 at
Political thought. Wila¯yah in the sense of political au-
al-H:udayb¯ıyah (surah 48:9–10). The ceremonial contract of
thority and sovereign power refers first of all to the authority
allegiance (bay Eah) made with his successors—caliphs,
of the “successor of the Messenger of God” (khal¯ıfat rasu¯l
imams, and later also S:u¯f¯ı shaykhs—all of whom would
Alla¯h), that is, the caliph, who is to be obeyed (mut:a¯E) as lead-
claim wila¯yah of a certain kind, was to reiterate this charis-
er or guide (ima¯m) of the Muslim community and as “com-
matic basis of Islam symbolically.
mander of the faithful” (am¯ır al-mu Dmin¯ın). Although there
LEGAL USAGE. A trace of the pre-Islamic kinship principle
is fundamental disagreement between Sunn¯ı and Sh¯ıE¯ı Mus-
may be seen in the fact that the QurDanic commandments
lims concerning the nature and scope of this authority, and
preserve the blood feud in restricted form, namely, as a right
the persons invested with it, both refer to the same locus clas-
of the victim’s wal¯ı to kill the murderer personally (17:33).
sicus to justify their claims: “Obey God and the Messenger
In Islamic law, this particular right of the wal¯ı, which is
and ‘those in command’ [u¯l¯ı al-amr] among you!” (surah
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4:59); it is therefore called wila¯yat al-amr. This usage of
The assassination of EAl¯ı, far from helping the Kha¯rij¯ı
wila¯yah should be seen in relation to the development of the
cause of Muslim “integralism,” led to its very opposite. The
charismatic alliance of those who “follow [yatawalla¯] God,
successful Umayyads established the dynastic principle in the
the Messenger, and the [true] believers,” or the party of God
Sunn¯ı caliphate and introduced the practice of the designa-
(5:55–56).
tion of the heir apparent (wal¯ı al-Eahd) by the reigning ca-
liph. Although the authority of an Umayyad caliph was hard-
The question of who “those in command” were and
ly religious in nature, he was considered not only “successor
how the alliance was to be preserved after the death of the
of the Messenger of God,” but also “representative of God”
Prophet was, perhaps not surprisingly, the primary concern
on earth (khal¯ıfat Alla¯h), a QurDanic phrase that refers specif-
of the early opposition parties. Among these, there were no-
ically to David as God’s “viceroy among men” (38:26) and
tably those who sided with Muh:ammad’s paternal cousin
that continued to be applied to the caliph well into the Ab-
(mawla¯) and son-in-law through Fa¯t:imah, EAl¯ı ibn Ab¯ı T:alib
basid period.
(d. 661), known as the party of EAl¯ı (sh¯ı Eat EAl¯ı), later simply
known as the Sh¯ıEah, and those known as the dissidents
The dissatisfaction of the religious community with
(khawa¯rij, Kha¯rij¯ıs). The early Sh¯ıEah seem to have assumed
Umayyad worldliness, as well as the hopes of the Sh¯ıEah,
that EAl¯ı was entitled to inheritance from the Prophet not
helped, among other factors, to bring about the so-called Ab-
only as his kin but also as his “emigrant brother”; his preemi-
basid Revolution in the Eastern caliphate. The descendants
nent position is thus unique.
of Muh:ammad’s paternal uncle al-EAbba¯s were presented as
members of the “providential family”; they showed, once in
But the kinship principle alone was evidently not suffi-
power, a marked zeal for religious affairs. The Eulama¯D (reli-
cient to guarantee EAl¯ı’s exclusive right to what came to be
gious scholars) were now elaborating a Sunn¯ı doctrine of
known as wila¯yat al-amr: it had to be completed by the prin-
wila¯yat al-amr in close collaboration with the caliph. Haru¯n
ciple of designation. This was made possible thanks to an in-
al-Rash¯ıd is addressed by the jurist Abu¯ Yu¯suf (d. 798), a dis-
herent ambiguity of the term mawla¯. According to a famous
ciple of Abu¯ H:an¯ıfah, as “khal¯ıfah of God on his earth,” to
h:ad¯ıth (prophetic tradition), the Prophet had made the fol-
whom God has “delegated the command” (tawliya¯t al-amr)
lowing declaration at a solemn meeting after his last pilgrim-
and “given a light” to guide the subjects through clarification
age to Mecca and shortly before his death: “Am I not closer
of the law and its enforcement. At the same time, Abu¯ Yu¯suf
[awla¯] to the believers than they are to themselves? . . . He
also strikes a S:u¯f¯ı note. He exhorts the caliph to fulfill the
whose mawla¯ I am, EAl¯ı is his mawla¯! God, befriend the one
duties of his high office and expresses the hope that God will
who befriends him [wa¯l¯ı man wa¯la¯hu], and treat as an enemy
not “abandon him to himself” (i. e., to his human weakness);
the one who treats him as an enemy!” (see also surah 33:6).
that he will, rather, take care (yatawalla¯) of him as he takes
The earliest sure evidence for an interpretation of this h:ad¯ıth
care of his friends (awliya¯ D), “given that he is the [ultimate]
as asserting EAl¯ı’s wila¯yah or right to be obeyed is found in
wal¯ı in the matter.”
the Ha¯shim¯ıya¯t of the pro-EAlid poet of Kufa, al-Kumayt ibn
Zayd al-Asad¯ı (680–743). EAl¯ı, however, was elected caliph
During the later Abbasid period, when the real power
only after the assassination of EUthma¯n, the third of the four
was no longer exercised personally by the caliph, he was still
Ra¯shidu¯n (“rightly guided”) caliphs in Sunn¯ı Islam. EAl¯ı’s
considered the representative or guardian of the law (wal¯ı al-
caliphate was overshadowed by civil war, and he was himself
shar E). According to al-Ma¯ward¯ı (975–1080), it is the reli-
assassinated by a Kha¯rij¯ı.
gious law itself that requires entrustment of all matters or del-
egation of general authority (wila¯yah Ea¯mmah) to the elected
In the heresiographical literature the Kha¯rij¯ı movement
or designated imam from the Quraysh, that is, the Abbasid
is associated with the doctrine that anyone, “even an Abys-
caliph. The caliph in his turn delegates authority (tawliyah)
sinian slave,” could serve as imam as long as that person was
to viziers, military commanders, governors, and judges, so
found to be a true believer. As may be seen from the earliest
that all public functions (wila¯ya¯t) emanate in theory from the
available Kha¯rij¯ı (Iba¯d:¯ı) texts (of uncertain date, between AH
authority entrusted to him and are legally validated by it. But
70 and 150), a distinction between the “imams of truth” and
al-Ghaza¯l¯ı (1058–1111), recognizing that the caliph has no
the “imams of error” was essential to their doctrine, with the
longer the military power (shawkah) to defend religion, justi-
understanding that the first were to be obeyed as “awliya¯ D of
fies the transfer of this legal authority to the Seljuk sultan or
the believers” and the second to be fought as unbelievers.
king (pa¯disha¯h). Al-Ghaza¯l¯ı argues, with traditional Persian
The Kha¯rij¯ıs also developed the principle of wala¯yah in the
wisdom, that “religion [d¯ın] and kingship [mulk] are twin
sense of “associating with” or “following” (muwa¯la¯h, tawall¯ı)
brothers in need of each other”; in effect, non-Arab sultans
prophets and “true believers,” and its correlative, “dissociat-
and kings were now to play the role of the “shadow of God
ing” or “freeing oneself” from the opposite powers (bara¯ Dah,
on earth.”
tabarru D). Exactly the same double principle (later known in
Persian as tawalla¯ and tabarra¯) was adopted by the Sh¯ıEah,
SH¯IE¯I CONCEPTS. Contrary to the Sunn¯ı acceptance of
but with the essential difference that the true believers to be
wila¯yah as a state-building idea, the mark of Shiism is
followed were necessarily EAl¯ı and subsequent imams issuing
wala¯yah as devotion to EAl¯ı and “the imams from the house
from his “holy family” (ahl al-bayt, a¯l Muh:ammad).
of the Prophet,” that is, descendants of EAl¯ı who are consid-
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ered imams. Despite several unsuccessful EAlid attempts to
political head of a counter-caliphate, but also the spiritual
seize power, or perhaps because of them—the martyrdom of
center of an esoteric hierarchy, the daEwah (lit., the “call” or
EAl¯ı’s second son H:usayn (d. 680) is an important aspect of
“mission”), initiation into which was expected to provide
Sh¯ıE¯ı Islam—imams of various lines of descent became the
gradual access to gnosis ( Eilm)—a cause that al-Ghaza¯l¯ı
focus of a veneration that went far beyond the charismatic
feared would undermine Islam from inside.
alliance of surah 5:55–56, from which “orthodox” Sh¯ıE¯ı doc-
From the point of view of an Isma¯E¯ıl¯ı missionary (da¯ E¯ı)
trine nevertheless takes its pedigree: in effect, it became the
such as Qa¯d:¯ı al-NuEma¯n, wila¯yah was indeed much more
apotheosis of the imam. In this process, through which Shi-
than the legal foundation of the imamate: standing esoteri-
ism became the major receptacle of messianic hopes and
cally (ba¯t:in) for the true knowledge (h:aq¯ıqat al- Eilm) be-
gnostic ideas in Islam, converts (mawa¯l¯ı), especially those of
stowed primordially on Adam and inherited by prophets and
Iraq, seem to have played an essential role.
imams, it is the very foundation of the sacred history of
The transfer of wila¯yah from Muh:ammad to EAl¯ı was
prophecy itself and its necessary fulfillment in the imamate.
understood as part of a more general Heilsgeschichte, a univer-
According to the grand da¯ E¯ı al-MuDayyad f¯ı al-D¯ın
sal process of revelation to be completed by the imams as in-
al-Sh¯ıra¯z¯ı (d. 1077), prophets and imams, each in their time,
heritors of the hidden (ba¯t:in) substance and knowledge of
are the examples of “absolute human being” (al-insa¯n
previous prophets, Arab and non-Arab, or as a process of
al-mut:laq, the gnostic Anthro¯pos). As the prophet
transmigration (tana¯sukh) that leads up to the final revelation
Muh:ammad is the Seal of the Prophets (surah 33:40), so the
of truth and justice with the coming, or return, of “the one
final (?) imam of resurrection (qiya¯mah) is the Seal of the
who stands up” (al-qa¯ Dim, probably the gnostic hesto¯s). De-
Imams (kha¯tam al-a Dimmah).
spite the repudiation of the more extremist ideas of their en-
The idea of the imam in Twelver Shiism, by contrast,
thusiastic followers (ghula¯t) by the imams themselves, and al-
is marked by the “occultation” (ghaybah) or absence of the
though the imams are not placed above Muh:ammad’s law
twelfth imam, believed to have “disappeared” in AH 260
according to standard Sh¯ıE¯ı doctrine, its major dogma insists
(873/874 CE); at his return (raj Eah) at the end of time he will
that only the transfer of wila¯yah from Muh:ammad to EAl¯ı
“fill the earth with justice as it is now filled with injustice.”
and subsequent imams makes Islam the “perfect religion”
In the absence of the imam, the Eulama¯’ assumed authority
(surah 5:3). In fact, wala¯yah, as adherence to the imams and
in theological and juridical matters much like their Sunn¯ı
as recognition of their mission as the true “holders of the [di-
counterparts before; they insisted, however, on the presence
vine] Command” (u¯l¯ı al-amr) and the exclusive possessors
of the infallible (ma Es:u¯m) Hidden Imam as a “grace necessary
of the true meaning of the QurDan and the “knowledge of
upon God” (lut:f wa¯jib) that would validate their consensus
the hidden” ( Eilm al-ghayb), remains the key to salvation,
(ijma¯ E). Gnostic Shiism, alien to the rationalism of the
without which no pious act of obedience to God (t:a¯ Eah) is
Eulama¯D, reappears within Twelver Shiism by the fourteenth
truly valid. It is for these reasons that wala¯yah, and not the
century in a S:u¯f¯ı form. Sayyid H:aydar A¯mul¯ı (d. after 1385)
profession of monotheism (tawh:¯ıd) as in Sunn¯ı Islam, ap-
interprets Ibn EArab¯ı’s doctrine of the “two seals of wala¯yah”
pears as the principal “pillar of Islam” in the classical collec-
in terms of Twelver Sh¯ıE¯ı imamology, with EAl¯ı as the “seal
tions of Sh¯ıE¯ı traditions, both those of the Ithna¯ EAshar¯ıyah,
of absolute wala¯yah” and the twelfth imam as the “seal of
or Twelvers (e.g., al-Kulayn¯ı, d. 940), and those of the Fati-
particular Muh:ammadan wala¯yah”; wala¯yah itself is both the
mid Isma¯E¯ıl¯ıyah (e.g., Qa¯d:¯ı al-NuEma¯n, d. 974), who follow
“inner dimension of prophethood” (ba¯t:in al-nubu¯wah) and
a common line of imams up to JaEfar al-S:a¯diq (d. 765).
the transcendental vocation of humankind, or the trust of-
fered (al-ama¯nah, su¯rah 33:72).
The concrete meanings and functions of wala¯yah, how-
ever, were quite different in the two cases. Contrary to the
At the same time, S:u¯f¯ı orders such as the S:afaw¯ıyah and
generally quietist or neutral attitude of the Twelvers, the
the Kubraw¯ıyah gradually turned Sh¯ıE¯ı, possibly as an indi-
IsmaE¯ıl¯ıyah were politically active and succeeded in establish-
rect result of the Mongol invasions. The S:afaw¯ıyah, sup-
ing, by the end of the third century AH, a Sh¯ıE¯ı counter-
ported by Türkmen “tribal Shiism” and claiming descent
caliphate in North Africa and later in Egypt that constituted
from the imams, became even “extreme Sh¯ıE¯ı”; once its lead-
a serious challenge to the Abbasid order. For the function of
ers assumed rule of Iran (with Shah IsmaE¯ıl I in 1501), they
wala¯yah in this process, it seems significant that the Fatimid
introduced Twelver Shiism, in a form hardly compatible
campaign in North Africa is seen in Isma¯E¯ıl¯ı sources (Qa¯d:¯ı
with “orthodox” Sh¯ıE¯ı doctrine, as state religion; their prayer
al-NuEma¯n) as a parallel to the prophet Muh:ammad’s emi-
carpet (sajja¯dah), symbol of the dignity of the S:u¯f¯ı shaykh,
gration (Hijrah) from Mecca to Medina: just as the QurDanic
or S:u¯f¯ı wila¯yah, became the symbol of the quasi-divine
emigrant fighters are placed above those sitting at home, the
throne of Persia (qa¯l¯ıˇcah-i salt:anat). Their success also
front fighters of the Fatimid agent Abu¯ EAbd Alla¯h al-Sh¯ıE¯ı
brought about, perhaps paradoxically, the establishment of
(d. 911) are distinguished as awliya¯ D from the ordinary
a real Sh¯ıE¯ı “clergy” and its eventual politicization. For the
(Isma¯E¯ıl¯ı) believers (muDminu¯n). The Fatimid caliph, re-
first time in Twelver Sh¯ıE¯ı history, the rationalist (Us:u¯l¯ı)
ferred to as wal¯ı Alla¯h and imam “of the time,” was evidently
school of the clergy formally acknowledged in 1817/1818 a
seen in the role of the Prophet himself. He was not only the
division of labor between the Eulama¯D and the rulers—a long-
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established Sunn¯ı practice—claiming general viceregency
through it; the Book speaks through them, and they speak
(wila¯yah Ea¯mmah) of the Hidden Imam for themselves,
through the Book.”
against the more traditionalist ideas of the Akhba¯r¯ı school,
and against the S:u¯f¯ıs.
Many of the traditions regarding these “friends of God,”
the first comprehensive collection of which is found in Abu¯
The very complex religious, social, and political situa-
NuEaym al-Is:baha¯n¯ı’s H:ilyat al-awliya¯D, are attributed to pre-
tion in nineteenth-century Iran is also highlighted by the
Islamic prophets, especially Yah:ya¯ ibn Zakar¯ıya¯D (John the
tensions between the majority of the clergy and the Shaykh¯ı
Baptist) and Jesus. This may suggest a gnostic origin; some
school, who developed a mystical concept of the “perfect
are clearly of a mythological nature. According to the tradi-
Sh¯ıEah” on the basis of Akhba¯r¯ı traditionalism and the phi-
tion known throughout the S:u¯f¯ı literature as the h:ad¯ıth of
losophy of Mulla¯ S:adra¯ (d. 1640). In the Shaykh¯ı scheme,
EAbd Alla¯h ibn MasEu¯d, there are 355 or 356 such figures,
the imam presides over the realization of an individual’s vo-
upon whom life and death of all nations depends: 300
cation in the realm between matter and spirit, or the mundus
“whose heart is after the heart” of Adam; 40 who are in the
imaginalis ( Ea¯lam al-mitha¯l), not over the realization of a po-
same relationship to Moses (or Noah); 7 to Abraham; 5 (or
litical project.
4) to the angel Gabriel; 3 to Michael; and one to Seraphiel
(Isra¯f¯ıl, the angel of resurrection). If one of them dies, God
It should be noted that the leader of the Islamic Revolu-
substitutes for him one of the next lower class. The substi-
tion of 1978–1979, Ayatollah Khomeini, made a fundamen-
tutes of the lowest class (the 300) are taken from the com-
tal, albeit theoretical, distinction between two kinds of
mon people (al- Ea¯mmah). The single one is commonly called
wila¯yah: that of the learned jurist (wila¯yat al-faq¯ıh), called
the “pole” (qut:b) or the “rescue” (ghawth), while terms such
relative wila¯yah (wila¯yah i Etiba¯r¯ıyah) and that of the tradi-
as abda¯l (usually for the 40 or the 7) and s:idd¯ıqu¯n (see surah
tional imams of the prophetic house, called real or creative
4:69) refer either to a class, or to saints generally, like awliya¯ D.
wila¯yah (wila¯yah takw¯ın¯ıyah).
Wila¯yah, then, is the special charismatic quality of a
S:U¯F¯I CONCEPT. Wala¯yah/wila¯yah is also a key concept for
S:u¯f¯ı, that which enables him to be the subject of miracles
Sufism; indeed, it is the very principle of Sufism itself accord-
or, more precisely, charismata (kara¯ma¯t). The classical S:u¯f¯ıs,
ing to al-Hujw¯ır¯ı’s eleventh-century systematic exposition of
especially the Khorasani school, were divided over the ques-
its doctrine, the Kashf al-mah:ju¯b (Unveiling of the Veiled).
tion of whether awliya¯ D should themselves be aware of their
Yet once again, two notions appear to be involved. To use
sainthood and whether the charismata should become public
the typological distinction made above between “Meccan”
knowledge. For Ba¯yaz¯ıd al-Bast:a¯m¯ı (or Bist:a¯m¯ı, d. 875 or
and “Medinese” wala¯yah, one might suggest that the spiritual
earlier), the awliya¯ D should be hidden like the “brides of
attitude of early Sufism, with its ideal of poverty (faqr,
God”; he was extremely critical of public shows. By contrast,
darv¯ısh¯ı) and reliance upon God (tawakkul), is more in line
Tirmidh¯ı al-H:ak¯ım (ninth century), the reputed founder of
with the former. The Khorasani saint Ibra¯h¯ım ibn Adham
the S:u¯f¯ı doctrine of wila¯yah, dismissed such restraint as a
(d. 776), quoted by the reputed teacher of most of the Bagh-
subtle form of self-consciousness. According to the definition
dad S:u¯f¯ıs, the theologian al-Muh:a¯sib¯ı (d. 857), puts it suc-
of Timidh¯ı’s contemporary and disciple Abu¯ EAl¯ı al-Juzja¯n¯ı
cinctly this way: “If you wish to be God’s friend [wal¯ı] and
(which became more or less authoritative), a wal¯ı is “in obliv-
care that he loves you, then leave this world and the next and
ion [fana¯ D] of himself but subsisting [baqa¯D] in contempla-
do not heed either; free yourself from both and turn your
tion.” Other well-known definitions distinguish an “active”
face to God, so that he turns his face to you!”
from a “passive” aspect (al-Qushayr¯ı), or a wala¯yah of “lord-
ship” (su¯rah 18:44) from a wila¯yah (?) of “love” (al-Hujw¯ır¯ı).
A number of prophetic traditions, often in the form of
h:ad¯ıth quds¯ı (non-QurDanic “words of God” transmitted by
Typical connotations of S:u¯f¯ı wila¯yah are “insight into
a prophet), suggest that there are indeed such friends of God.
the hidden” (al- Eilm bi-al-ghayb, Tirmidh¯ı) and control of
As with the QurDanic notion of awliya¯D, there is a certain am-
souls (tas:arruf), psychognostic and pedagogic abilities, and
biguity as to whether these friends of God are human or an-
the power to drive Satan away. Medieval S:u¯f¯ı “saints” are fa-
gelic beings. “Approaching [God] and approached by him,”
mous for having the power to help the Muslim armies, and
they have reached such a stage that God says: “I am his ear
to intercede (shafa¯ Eah) on behalf of the sinners. In postclassi-
by which he hears, his eye by which he sees, his tongue by
cal S:u¯f¯ı texts, wala¯yah or wila¯yah generally refers either to
which he speaks, his heart by which he understands”; even
the highest mystical stage that may be attained or to the au-
the prophets will envy them at the Day of Resurrection. No
thority exercised by a S:u¯f¯ı master, or to both at the same
tradition refers to them by name; indeed, according to a fa-
time. Najm al-D¯ın Kubra¯ (d. 1221) identifies its highest
mous tradition, they are hidden “under God’s tents, un-
stage with the experience of divine creative power (takw¯ın).
known to anyone but him.” On the other hand, they are re-
By contrast, his followers in the late thirteenth and early
minders of God for people and stand under his special
fourteenth centuries, receptive to Sh¯ıE¯ı ideas but not yet
protection: whoever turns against them, turns against God.
themselves Sh¯ıEah, notably EAla¯D al-Dawlah al-Simna¯n¯ı
“Marvelous is their story, and they know marvelous stories.
(d. 1336), emphasize the double experience of the prophet
The [heavenly] Book stands through them, and they stand
Muh:ammad—his wala¯yah or mystical experience and his
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nubu¯wah or prophetic authority—as a necessary model for
EArab¯ı (1164–1240), the real master (shaykh akbar) of subse-
their own double experience of mystical attainment and S:u¯f¯ı
quent S:u¯f¯ı thought. Ibn EArab¯ı summarizes his concept of
authority.
the relationship between the two Seals with the following
proposition: “The Seal of the Prophets, considered from the
One of the major theoretical problems discussed in S:u¯f¯ı
point of view of his own wala¯yah, is toward the One who
circles from the beginning was the exact nature of the rela-
seals the wala¯yah in the same position as all other prophets
tionship between the awliya¯ D and the prophet Muh:ammad,
and lawgiving messengers are toward him, for he is wal¯ı, law-
that is, between the S:u¯f¯ı and the prophet Muh:ammad. The
giving messenger, and prophet.” But wala¯yah itself is divided
imam JaEfar al-S:a¯diq is quoted by Abu¯ NuEaym as follows:
into two, and, accordingly, there are two Seals of Wala¯yah
“Whoever lives in the ‘outward’ [z:a¯hir] of the Messenger
in the shaykh’s doctrine: Jesus, Seal of “General Wala¯yah,
[Muh:ammad] is a Sunn¯ı, and whoever lives in the ‘inward’
and Ibn EArab¯ı himself, or his spiritual reality, Seal of “the
[ba¯t:in] of the Messenger is a S:u¯f¯ı.” In the QurDanic commen-
Particular Muh:ammadan Wala¯yah.” This doctrine, provoca-
tary of the S:u¯f¯ı Sahl al-Tustar¯ı (d. 896 in Basra), the heart
tive as it sounds, is, however, balanced by the self-evident ne-
or spiritual reality of Muh:ammad is seen as the divine ele-
cessity for both Seals of Wala¯yah to follow the law of the Seal
ment enshrined in him and the source for the illumination
of Prophecy; and everything is placed under the primordial
of human hearts; his pre-Adamic Light-nature (nu¯r
“reality of Muh:ammad,” also called “reality of realities,” or
Muh:ammad) is the source of the prophetic ancestors of hu-
the logos.
mankind, and of “those desired [by God],” that is, awliya¯ D.
Divine wala¯yah, on the other hand, is conferred directly
SEE ALSO Caliphate; Ghaybah; Imamate; Is:mah; Nubu¯wah;
on the elect, who are also those who have the right under-
Ummah.
standing of God and of the QurDa¯n, according to al-Tustar¯ı.
The fact that the Prophet is “the wal¯ı of the believers” (surah
BIBLIOGRAPHY
5:55) means only that he was notified (in this world) by God
There is no single text in which all the aspects of wala¯yah are dis-
to befriend those whom God had befriended (or elected) in
cussed in detail. For QurDanic usage of the term, the passages
the first place. There does not seem to be an essential distinc-
cited in the text should serve as a guide. Willi Heffening’s
“Wila¯yah” in the first edition of the Encyclopaedia of Islam
tion in al-Tustar¯ı’s view between prophets generally and
(Leiden, 1913–1934) focuses on the legal usage; Joseph
awliya¯’, although s:idd¯ıqu¯n occupy a lower rank; the charis-
Schacht’s The Origins of Muhammadan Jurisprudence (1950;
mata of the awliya¯’ are signs (a¯ya¯t) of God’s power, and
reprint, Oxford, 1979), an invaluable work, contains much
al-Tustar¯ı himself claims to be the “proof of God” (h:ujjat
important information on the legal aspects of wala¯yah.
Alla¯h). The Baghdad S:u¯f¯ı Abu¯ Sa!¯ıd al-Kharra¯z,
Wala¯yah in the sense of political authority is discussed in Domi-
(d. 890/891), on the other hand, polemizes against “certain
nique Sourdel’s “L’autorité califienne dans le monde sun-
S:u¯f¯ıs” who “place the awliya¯D above the prophets.” For
nite,” in La notion d’autorité au Moyen Âge: Islam, Byzance,
al-Kharra¯z, prophecy is a grace additional to wila¯yah, since
Occident, edited by George Makdisi et al. (Paris, 1982),
prophets are awliya¯ D before they become prophets. The
pp. 101–116. An assessment of al-Ghaza¯l¯ı’s ideas on political
awliya¯’ are always placed under a prophet known by name,
authority can be found in Henri Laoust’s La politique de
on whose behalf they call people to God, and their charisma-
Gaza¯l¯ı (Paris, 1970) and W. Montgomery Watt’s “Authority
ta are clearly of a secondary nature in comparison with the
in the Thought of al-Ghaza¯l¯ı,” in La notion d’autorité au
signs that are given exclusively to prophets.
Moyen Âge, already cited, pp. 57–68.
The Sh¯ıE¯ı concept of wala¯yah as a “pillar” of Islam is discussed by
Tirmidh¯ı goes a step further in elevating the status of
Henry Corbin in his En Islam iranien, aspects spirituels et
Muh:ammad the lawgiving prophet, while at the same time
philosophiques, 4 vols. (Paris, 1971–1972), a comprehensive
elevating his own status: on the one hand, awliya¯ D and ordi-
work in which much valuable information on S:u¯f¯ı concepts
nary prophets rank lower than lawgiving prophets, among
can also be found. See also Uri Rubin’s “Prophets and Pro-
whom Muh:ammad is unquestionably the greatest. All parts
genitors in the Early Sh¯ıEa Tradition,” Jerusalem Studies in
of prophecy are united in him; he is perfect in this sense, and
Arabic and Islam 1 (1979): 41–66; Wilferd Madelung’s “Au-
impeccable (ma Es:u¯m). But his being “the Seal of the Proph-
thority in Twelver Shiism in the Absence of the Imam,” also
ets” means just this, not that he was the last in time,
in La notion d’autorité au Moyen Âge, pp. 163–173; Said
Tirmidh¯ı insists. There is also a mysterious “Seal of the
Amir Arjomand’s The Shadow of God and the Hidden Imam
(Chicago, 1984); Mangol Bayat’s Mysticism and Dissent (Syr-
Awliya¯ D,” to be sent by God at the end of time. Tirmidh¯ı
acuse, N. Y., 1982); and, for recent developments, Murtaza
often uses Sh¯ıE¯ı (although not necessarily Isma¯E¯ıl¯ı) language,
¨
Mut:ahhar¯ı’s Wila¯yah, translated by Yah:ya¯ Cooper as The
but clearly not with a Sh¯ıE¯ı intention: he explicitly denies
Station of the Master (Tehran, 1982).
that the “family of the Prophet” is the “kinship family.” But
Wala¯yah in Sufism is discussed in detail in al-Hujw¯ır¯ı’s eleventh-
the danger of a confusion with the Isma¯E¯ıl¯ıyah was evidently
century Kashf al-mah:ju¯b, translated by Reynold A. Nichol-
felt by al-Hujw¯ır¯ı, who, writing in the mood of the “Sunn¯ı
son as Kashf al-Mahju¯b: The Oldest Persian Treatise on Su-
Revival,” omits the doctrine of the Seal from his summary
fism, 2d ed. (1936; reprint, Lahore, 1976). See also Tor An-
of Tirmidh¯ı’s teaching. Yet it was brought to light again, and
drae’s Die person Muhammeds in lehre und glauben seiner
enriched with elements of a breathtaking complexity, by Ibn
gemeinde (Stockholm, 1918); Ignácz Goldziher’s “Saint
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9662
WALDENSIANS
Worship in Islam,” in his Muslim Studies, vol. 2, translated
turn to evangelical principles, ended outside the church. The
by C. G. Barber and S. M. Stern (Chicago, 1973); Gerhard
Waldensians differed in that they, alone among these groups
Böwering’s The Mystical Vision of Existence in Classical Islam:
and individuals, were neither absorbed into a religious order
The Qur Da¯nic Hermeneutics of the S:u¯f¯ı Sahl at-Tustar¯ı (Berlin
nor eventually disappeared as a sect, but survived the Middle
and New York, 1980), pp. 149ff.; Bernd Radtke’s Al-H:ak¯ım
Ages to become one of the new reformed churches—albeit
at-Tirmid¯ı: Ein islamischer Theosoph des 3./9. Jahrhunderts
¯
a small one—of the sixteenth century. They did so, in part
(Freiburg, 1980), pp. 85–86; and my Nûruddîn Isfarâyinî: Le
révelateur des mystères (Paris, 1986).
at least, because, of all the heretical sects, they remained clos-
est to the teachings of the gospel which they sought simply
HERMANN LANDOLT (1987)
to preach and practice without theological or metaphysical
overtones. Theirs was above all a moral and spiritual Chris-
tianity. In that there were strong similarities between Valdès
WALDENSIANS. The Waldensians, also called the
and Francis of Assisi. But where Francis and his band were
Poor Men of Lyons, originated with Pierre Valdès, or Peter
accepted both by the local church hierarchy and by the pope,
Waldo, a wealthy merchant of Lyons, France. The dates of
Innocent III, Valdès was not, and he rebelled. Even so, there
his birth and death are not known, nor is his exact name. The
is no evidence that he ever departed from the church’s teach-
name Peter was given to him later by his followers, probably
ings, and every indication that during his lifetime he devoted
to stress his affinity with Peter, first of Christ’s disciples.
himself to combating heresy, especially that of the Cathari.
About 1170 Valdès was converted from his worldly life after
The closeness of the Waldensians to orthodox belief is sug-
hearing the story of Saint Alexis, who on his wedding day
gested by the reconversion of two groups under Durand of
abandoned his bride and all his worldly possessions to be-
Huesca and Bernard Prim in 1207 and 1210, and their for-
come a pilgrim. The account led Valdès to seek the advice
mation into separate religious orders by Innocent III to op-
of a priest on how he, too, could obey God and become per-
pose the Cathari.
fect. The reply he received was the same text from Matthew
That was probably the period when Valdès died. By
(19:21) that Francis of Assisi was to come upon forty years
then the Waldensians had spread from Lyons into Langue-
later: “If you wish to be perfect, go, sell your possessions, and
doc and northern Italy as well as into Germany, in due
give to the poor, and then you will have treasure in heaven;
course extending into central Europe. They became the near-
and, come, follow me.” Valdès acted on the injunction, and
est thing to a popular counterchurch, with their own congre-
took to a life of wandering poverty and preaching, living on
gations and priests and their own religious forms. But they
alms, in emulation of Christ’s life on earth.
did not operate as a single church. That was due partly to
He was soon joined by others, among them priests who
circumstances and partly to their popular, almost exclusively
translated into French passages from the Bible for the group’s
lay, character. In 1205 there was a schism between the Lom-
use in preaching. Vernacular translations from the Bible were
bard Waldensians and those from north of the Alps, the fol-
one of the Waldensians’ hallmarks. Before long their unau-
lowers of Valdès. The Lombards had instituted their own
thorized preaching alarmed the local clergy, and the archbi-
sacraments and ceased to lead the life of wandering preachers
ship of Lyons ordered them to cease. Valdès refused, with the
but lived in towns and by manual labor. The followers of
reply that was to be the central Waldensian tenet, that God
Valdès maintained their original pattern of mendicant
was to be obeyed before humans (a reference to Acts 5:19).
preaching and poverty. The Lombards elected their own
The Waldensians decided to take their case to the pope,
head, whereas for Valdès only Christ could be the head. De-
Alexander III, and a party of them traveled to Rome for that
spite a further attempt to heal the split in 1218 and some
purpose. They arrived during the Third Lateran Council in
degree of contact, the two different wings went their own
1179, were heard, and their beliefs were examined. Alexan-
ways.
der confirmed their vow of poverty, but he also, in effect,
The Waldensians were the one genuinely popular heresy
confirmed the archbishop of Lyons’s ban on their preaching
(before the Hussites) who drew their support from artisans
by declaring that they could preach only if they first gained
and peasants. Although they had their base in the cities, espe-
the permission of the local clergy. That, however, was not
cially in Lombardy, they were also of the countryside, espe-
enough for Valdès; he continued to preach, and although he
cially north of the Alps and in the Alpine valleys of Pied-
made a profession of faith before a synod at Lyons in 1180,
mont, where geography protected them. Cohesion was
he and his followers were excommunicated in 1182 or 1183.
maintained by the Waldensian priests, often called the “per-
At the Council of Verona in 1184, where the first concerted
fect,” an analogy with the Catharist perfect but having a very
attack on heresy was begun, the Waldensians were included
different character. The Waldensian perfect, especially north
among the heretical sects condemned, a condemnation to be
of the Alps—and by the fourteenth century the Waldensians
repeated many times during the next three centuries.
had in effect become a northern phenomenon, with their
The Waldensians are the classic case of popular piety be-
main strength in Germany and central Europe—were
come heresy. What had begun as one more attempt, not un-
preachers acting as Christ’s apostles as Valdès had done. But
common in the twelfth century, by a few individuals to re-
now they acted clandestinely. They visited individual Wal-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WALDMAN, MARILYN ROBINSON
9663
densian believers and administered their simplified version
Thouzellier, Christine. Catharisme et Valdéisme en Languedoc.
of the sacraments. In return they were supported by the be-
Paris, 1966. A very full analysis of the sources.
lievers materially, sometimes by a voluntary tax or payment.
Wakefield, Walter L., and Austin P. Evans. Heresies of the High
Otherwise, the ordinary Waldensian led an ordinary life,
Middle Ages. New York, 1969. The largest collection of
earning his living and observing outward obedience to the
translated sources, particularly valuable for their fullness.
Roman church. That may well have involved less of a conflict
New Sources
than among the ordinary Cathar believer. The difference be-
Cameron, Euan. Waldenses: Rejections of Holy Church in Medieval
tween being a Waldensian and an orthodox Christian was
Europe. Oxford and Malden, Mass., 2000.
less one of belief than of adherence to the Waldensian per-
fects, regarded by the Waldensian believers as Christ’s true
Shahar, Shulamith. Women in a Medieval Heretical Sect: Agnes and
Huguette the Waldensians. Woodbridge, U.K., and Roches-
representatives. The opposition between them and the
ter, N.Y., 2001.
Roman church was the main source of Waldensian belief as
it developed after the death of Valdès.
Stephens, Prescott. The Waldensian Story: A Study in Faith, Intol-
erance and Survival. Lewes, U.K., 1998.
The Waldensians claimed that they were the one true
Tourn, Giorgio. The Waldensians: The First 800 Years. Translated
church to whom the apostolic succession had passed after the
by Cpillo B. Merlino. Edited by Charles W. Arbuthnot. New
so-called Donation of Constantine, which gave to the pope
York, 1980.
headship of the western Roman Empire. Although a forgery,
the Donation was believed to be true until the fifteenth cen-
GORDON LEFF (1987 AND 2005)
tury, and the Waldensians were not alone in treating it as the
Revised Bibliography
cause of the Roman church’s decline. From it they argued
that the Roman priests were not true priests and, following
Valdès, further held that any man, and, indeed, woman, pure
WALDMAN, MARILYN ROBINSON (1943–
in spirit and in the quality of his or her life, was a priest and
1996), was an American-born historian of religion with un-
ordained by God. Like the Cathari, the Waldensians accept-
usually strong commitments, knowledge, and convictions re-
ed women as perfect, although there seems to have been a
garding Islam and Muslims. Born in Dallas, Texas, Marilyn
decline in the number of female perfect in the fourteenth
Robinson Waldman was of Eastern European Jewish de-
century. Once adopted, those Waldensian beliefs became ir-
scent. Following undergraduate studies in African history at
reconcilable with those of the Roman church. The Walden-
Radcliffe, she studied Islamic and African history at the Uni-
sians also came to reject the Roman church’s sacramental
versity of London (1964–1965) and earned a PhD in Islamic
forms and most of its prayers and ceremony, including
history at the University of Chicago, where Marshall G. S.
prayers for the dead, a belief in purgatory, or the very need
Hodgson was her most influential teacher. In her work, she
for churches. In their place they had their own modified spir-
combined clarity and toughness of mind with humanity and
itual forms of baptism (and only for adults, not children),
humor. She loved to find laughter where she could.
confession, and marriage. At the same time, true to the literal
interpretation of Christ’s own gospel teaching, they rejected
Though her life was cut short by cancer at age fifty-
all nonspiritual activities, including the swearing of oaths,
three, Waldman established a remarkably prolific record as
the exercise of legal authority, the waging of war, or the tak-
a speaker, traveler, teacher, consultant, organizer, and uni-
ing of life.
versity administrator. She was famously active in the Ameri-
can Academy of Religion, the American Society for the Study
In all those ways they sought to obey God rather than
of Religion, the American Institute of Iranian Studies, and
human authority by turning away from the laws of the
the World History Association. Additionally she served on
Roman church to direct communion with Christ through
the editorial boards of numerous journals and consulted on
God’s word in the Bible. Their influence is to be seen upon
curriculum and program reform for a number of schools. At
the Hussites.
The Ohio State University (OSU), where she spent her en-
S
tire professional career, she served on literally dozens of com-
EE ALSO Cathari; Hus, Jan.
mittees and held appointments in the Department of Histo-
ry, the Middle East Studies Program, and the Center (later
BIBLIOGRAPHY
Division) of Comparative Studies in the Humanities, an ex-
Lambert, Malcolm. Medieval Heresy: Popular Movements from Bo-
perimental interdisciplinary unit that she directed for several
gomil to Hus. New York, 1977. The fullest and most up-to-
years and, in large measure, reinvented.
date account of medieval popular heresies.
Moore, R. I., ed. The Birth of Popular Heresy. London, 1975. A
Professor Waldman’s radical reconfiguration of the
representative selection of translated sources, mainly from
Center of Comparative Studies is telling of her broader intel-
the twelfth century, with a useful introduction.
lectual concerns. Though staunchly committed to a strong
Russell, Jeffrey B. Dissent and Reform in the Early Middle Ages.
presence for religious studies in the public university, she
Berkeley, 1965. A useful, wide-ranging survey of early medi-
took the bold step of rejecting familiar arguments about the
eval heresies to the end of the twelfth century.
autonomy and “irreducibility” of religion, and thus argued
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9664
WALDMAN, MARILYN ROBINSON
against the need for an autonomous department of religion.
and down the line, not just a focus on ultimate concern
She worked to establish an alternative institutional structure
which has been the basis of many efforts to define reli-
that would fully integrate the comparative study of religion
gion. All sorts of other paradoxes flow from this one.
with the comparative studies of literature and science, and
Given this set of interests, among Dr. Waldman’s primary
indeed all versions of human inquiry. Committed to this
and enduring concerns was to bring Islam out of its marginal
truly interdisciplinary vision, she invested the same passion,
position in the academic study of religions. In a 1989 address
vigor, and skill and the same quality of attention, care, and
to the North American Society for the Study of Religion
time in nurturing the Center as she did in raising her family
(NASSR) entitled “Islam and the Comparative Study of Re-
or growing her garden. Overcoming much resistance, she
ligion” she noted that Islam has seldom played a prominent
shaped Comparative Studies according to her vision of a
role in the theorizing of the broader history of religions. In
“meandering mainstream,” a phrase that served as the title
her view this was a missed opportunity for both Islamicists
of her inaugural address to OSU’s College of Humanities in
and comparativists, especially those like herself with special
1988. She urged that comparison be embraced, not avoided;
interests in religious leadership and prophethood; but once
in fact, she regarded comparison as not just an academic ex-
again she argued that the situation might be rectified by “re-
ercise, but a ubiquitous human activity, a strategically de-
considering how we do comparison.” Providing an early for-
ployed, socially consequential undertaking in which people
mulation of what she would term comparison via “catch-
are constantly involved. Though her vision has proven diffi-
ments” in her final book project, Power and Prophecy, she
cult to sustain, she regarded such a non-conventional aca-
argued for the creation of heuristic contexts of comparison
demic unit as Comparative Studies to be not just an option
wherein scholars, including scholars of Islam, could carry on
but a necessity, and fought for its integrity and continuation
a kind of hypothetical conversation or, as she wrote, operate
when it was threatened by the wave of restructuring at Ohio
with “an extra-language that will allow speakers of other lan-
State in the early 1990s.
guages to converse with each other in new ways.” Ever mind-
Deeply concerned to find ways of framing the study of
ful of the ways in which uncareful comparative strategies
religion that avoided the problems of essentialism and reifi-
could reify and distort the specifics of Islamic history, she in-
cation, Professor Waldman was impressed by the claim that
sisted that “Above all, I want my system to be fluid and tenta-
the category of religion is created for the scholar’s analytic
tive, to be able to account for the historical changes and mo-
purposes through imaginative acts of comparison and gener-
mentary variation of internal systems of thought.”
alization. In a plenary address at the Midwest American
With the Iranian revolution, Marilyn Waldman’s en-
Academy of Religion (1990) she reminded her audience that
during historical and theoretical concerns about Islam were
“religion” is a word that the people whom scholars study do
intensified and widened into more practical concerns. Her
not use, or at least do not use in the way scholars do; in short,
efforts to put her knowledge of Islam into more general cir-
religious studies does not have a fixed or fixable object of its
culation led her to cultivate a second career as a public speak-
attention. Accordingly, she advocated what she termed
er on issues of broad general concern; in all, she gave more
“stipulative definitions” of religion, which would allow for
than five hundred community presentations. The titles of
adjustment or change over time. In her view, religion is nei-
some of her public lectures give a sense of how she projected
ther a thing, nor even a phenomenon, but rather a construct
her academic interests into the wider community: “Human
that, imagined by scholars, provides, among others things,
Rights and Islamic Law” (1980), “Women Leaders: Why Are
“an angle of vision” or a “take” on human beings’ ways of
There More outside the U.S.?” (1989), “Behind and beyond
living in the world.
the Gulf War” (1992), and “Islam in International Affairs”
Of special concern for Marilyn Waldman were the con-
(1993).
nections between religion, power, and authority, most nota-
This sense of obligation and her relentless efforts “to
bly in relation to prophethood and religious leadership. In
carry our knowledge into the wider world” earned her the
fact, informed especially by years of studying Islam, she ex-
1992 Richard Bjornson Distinguished Service Award from
plained in the same plenary address (1990) that,
the Ohio Humanities Council. As she stated in her accep-
tance speech, she believed in “disseminating the public sig-
Given my own research, I would say that the imagina-
tion and study of religion focuses us on strategies for
nificance of academic scholarship as widely as possible.” Her
dealing with power and authority that rely on the abili-
public scholarship, she said, improved her academic scholar-
ty to perceive and/or generate paradoxes, disjunctions,
ship, “not just the other way around.” In 1987 she addressed
contradictions, conflicts, competition, and discontinu-
Ohio State’s summer commencement and in 1989 she
ities, and to make sense of them, and in making sense
served as guest lecturer on OSU’s Alumni Association tour
of them, to make connections not otherwise possi-
of Egypt. The Islamic Council of Ohio recognized her in
ble. . . . Perhaps the most fundamental paradox of all
1989 for her efforts to advance public understanding of Is-
is the insistence on establishing human priorities on the
lamic history.
basis of an extra-human source and standard . . . , that
is, an insistence on distinguishing special from ordi-
If scholarship is judged by the questions it stimulates
nary, and degrees of specialness and ordinariness, up
rather than the answers it provides, then Marilyn Waldman
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WAL¯I ALLA¯H, SHA¯H
9665
was a true scholar, for in her effort to fight stereotypes, she
a Hopeful Future, edited by Waldman alone (Columbus,
thrived on raising questions and complicating them through
Ohio, 1992), offer a clear, nontechnical, and accessible pub-
comparison. Underneath all of her pursuits was her desire to
lic scholarship; and Understanding Women: The Challenge of
get to the heart of what it means to be human. “For me,”
Cross Cultural Perspectives, edited by Waldman, Artemis
she said, “it’s not just a question of whether we survive, but
Leontis, and Mügé Galin (Columbus, Ohio, 1992), investi-
how we survive, and what human possibilities we open up
gates the study of women, advocacy for women, and women
themselves around the globe, touching on issues of colonial-
for ourselves in the process” (“The Meandering Mainstream:
ism, Orientalism, racism, modernization, and feminism.
Reimagining World History,” OSU Inaugural Address,
1988). She believed, as she wrote in the preface to her final
At the time of her death, Dr. Waldman was working on yet anoth-
er re-visioning of her thoughts on religion, authority, and
book, “the commitment to cross-cultural interpretation is a
comparison, under the working title of Inviting Prophets and
moral act, a practical necessity, and an intellectual challenge;
Entertaining Comparisons. In this study of religious leader-
the circumstances of our time make it possible for us to ad-
ship, prophecy, and prophethood, comparison figures large
dress all three, and unwise to neglect any of them” (2005).
as both subject and method. She uses the theme of “privileg-
A quote from Spinoza, which she had pinned to the bulletin
ing communicator” to help her meditate on the benefits and
board outside her office, sums up her investments, both per-
perils of cross-cultural comparison, category formation, and
sonal and professional: “I have made a ceaseless effort not to
the role of perspective in constructing knowledge in Power
ridicule, not to bewail, nor to scorn human actions, but to
and Prophecy: A Comparative Study of Islamic Evidence (Cam-
understand them.”
bridge, Mass., 2005).
MÜGÉ GALIN (2005)
BIBLIOGRAPHY
The Exemplary Faculty Award that Marilyn Waldman received
from OSU’s College of Humanities (1996) attests to the del-
icate balance she negotiated in the ways that she imparted her
WAL¯I ALLA¯H, SHA¯H. Sha¯h Wal¯ı Alla¯h (AH 1114–
knowledge and understanding. Her enduring influence
1176/1703–1762 CE), Qut:b al-D¯ın Ah:mad, was born in a
probably owes more to the people she affected in confer-
village called Phulit in the district of Muzaffarnagar and was
ences, meetings, and classes than to her published writings.
raised in Delhi under the close supervision of his father,
Nonetheless, the following titles are worth consulting, as
Shaykh EAbd al-Rah:¯ım, an erudite scholar-educator, S:u¯f¯ı,
they reflect the scope and depth of her thinking.
and accomplished jurist, and one of the compilers of
The Islamic World, which she coedited with William H. McNeill
Fata¯wa¯-i EA¯lamg¯ır¯ı, a major work on H:anaf¯ı fiqh, commis-
(Oxford, 1973; reprint, Chicago and London, 1983), con-
sioned by the Mughal emperor Awrangzeb (r. 1658–1707).
tains translations of representative works by Muslim writers
from all periods of Islamic history. Toward a Theory of His-
Wal¯ı Alla¯h memorized the entire text of the QurDa¯n by
torical Narrative: A Case Study in Perso-Islamicate Historiogra-
the age of seven; studied the texts of the QurDa¯n and h:ad¯ıth
phy (Columbus, Ohio, 1980) challenges prevailing practice
(prophet’s sayings); and was initiated into three S:u¯f¯ı orders,
in Islamic historiography by undertaking a multifaceted anal-
the Chisht¯ıyah, Qa¯dir¯ıyah, and Naqshband¯ıyah, by his fa-
ysis of a single text, Ta¯r¯ıkh-i Bayhaq¯ı, written by a tenth-
ther. In 1719, after his father’s death, Wal¯ı Alla¯h assumed
century premodern Muslim historian. It urges historians to
the responsibilities of full-time teaching and the running of
abandon traditional attempts to deduce supposed historical
Madrasah-i Rah:¯ım¯ıyah, founded by his father. He traveled
realities from historical narratives, and argues that such nar-
to Mecca and Medina for pilgrimage in 1730, stayed there
ratives should be seen rather as part of a history of images and
for fourteen months, studied h:ad¯ıth and Islamic law with
representations of the past.
prominent Muslim scholars belonging to the Ma¯lik¯ı and
Together with her colleague Richard Bjornson, Marilyn Waldman
Sha¯fiE¯ı schools of law, and was initiated to the Shat:t:a¯r¯ıyah
conceived and edited the series Papers in Comparative Studies,
and Sha¯dhil¯ıyah S:u¯f¯ı orders. These experiences proved to be
which explored issues of fundamental human concern from
a catalyst in expanding Wal¯ı Alla¯h’s intellectual horizons.
a variety of disciplinary and cultural perspectives. For exam-
The most productive period of his intellectual output started
ple, Religion in the Modern World, edited by Waldman and
after his return to India, resulting in forty-one major and
Hao Chang (Columbus, Ohio, 1984), explores the relation-
ship of religion to modernity; Rethinking Patterns of Knowl-
minor works on wide-ranging topics, including biography,
edge, edited by Waldman and Bjornson (Columbus, Ohio,
ethics, law, metaphysics, mysticism, and sociopolitical issues
1989), straddles fields such as medical research, mathemat-
that confronted the Muslims of his period.
ics, environmental engineering, zoology, psychology, history,
Wal¯ı Alla¯h was an heir to the intellectual and theologi-
literature, religious studies, and the performing arts; The
cal heritage of such Indian Muslim thinkers as Maulana EAbd
University of the Future: Problems and Prospects, edited by
al-H:ak¯ım Sialkot¯ı (d. 1657), Shaykh EAbd al-H:aqq
Waldman and Bjornson (Columbus, Ohio, 1990), com-
ments on the relationship of higher education with govern-
Muh:addith Dihlaw¯ı (d. 1648), Naqshband¯ı master
ment and corporate America; Judaism and Islam: Fostering
Khawa¯jah Baq¯ı-billa¯h (d. 1603), and his teachers in the
Understanding, edited by Waldman and Helena Schlam
H:ija¯z. His scholarship reflects the influence of many of the
(Jewish Education News, 13[1], Columbus, Ohio, 1992) and
ideas of his predecessors; however, he differed from them in
Muslims and Christians, Muslims and Jews: A Common Past,
his integrative and analytical approach to various branches
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9666
WAL¯I ALLA¯H, SHA¯H
of the Islamic sciences, and he devised methods to reconcile
Madrasah-i Rah:¯ım¯ıyah served as an institution of learn-
conflicting opinions. In his writings he demonstrated that
ing and research for the sha¯h and his descendants for over
h:ad¯ıth, fiqh, QurDa¯n, sunnah, tas:awwuf, and Islamic history
a century and half. Wal¯ı Alla¯h’s career as a full-time educator
were all indispensable for the proper understanding and
lasted twelve years, until 1730, when he left for Mecca for
practice of Islam. He asserted that legislative interpretations
h:a¯jj. During his absence and after his return, he assigned
ought to be compatible with the needs of a given period, and
teaching responsibilities to a few of his pupils who were
that jurists ought to express their independent opinion freely.
trained as teachers, while he himself concentrated on writing
works of lasting value. After Wal¯ı Alla¯h’s death, his son EAbd
Wal¯ı Alla¯h lived during a period of rapid decline of
al-EAz¯ız and his younger three brothers not only managed the
Muslim political power. He was convinced of his divinely or-
madrasah but also brought about changes in the methods and
dained role in Indo-Islamic society and embarked upon a
content of instruction. They maintained high standards of
comprehensive plan for religious renewal of the Muslim
scholarship, took interest in social and political issues much
community. A serious thinker of the eighteenth century,
like their father, and saw the number of students increase
Wal¯ı Alla¯h took upon himself the role of mujaddid (renewer
from thirty-five during Wal¯ı Alla¯h’s period to many thou-
and purifier of faith) of the twelfth century AH, a master of
sands drawn from across India. This institution reached new
time (qa¯ Dim al-zama¯n), and the pivot and head of the mysti-
heights in prominence under the leadership of Muh:ammad
cal hierarchy (qut:b). As a mujaddid he was concerned about
Ish:a¯q (d. 1845), who succeeded his maternal grandfather,
practical ways of directing and enriching the tradition of
EAbd al-EAz¯ız, after his death in 1824.
scholarship and developing leadership for the community.
SHA¯H WAL¯I ALLA¯H’S LEGACY. Although today Wal¯ı Alla¯h
He was especially interested in training the Eulama¯D (singular
E
is ranked as the most influential thinker of the modern peri-
a¯lim, a traditionally educated Islamic scholar) by devising
od, he was not well-known in his lifetime, even in his home
proper curricula and by spelling out a method of writing
country of India. His works did not become the core of the
QurDanic exegesis in al-Fawz al-Kab¯ır f¯ı Us:u¯l al-Tafs¯ır (writ-
curriculum even in his own madrasah, and they were not dis-
ten in Persian), rather than writing glosses over the exegeses.
cussed, critiqued, or annotated by his progeny, as was the
With the rise of Sh¯ıE¯ı political power in Northern India,
practice in traditional schools. His ideas, however, became
Wal¯ı Alla¯h stressed the importance of proper understanding
attractive to modernists, reformers, and traditionalists of di-
of classical Islamic history in Iza¯lat al-Khafa¯ D Ean Khila¯fat
verse schools of thought about three generations later. The
al-Khulafa¯ D (written in Persian) and Qurrat al-EAynayn f¯ı
prominent reformers and thinkers of the nineteenth and
Tafd:¯ıl al-Shaykhayn (written in Persian). These two books
twentieth century, such as Ah:mad Kha¯n (d. 1898), Iqba¯l
were written not to reject Shiism, but to curb the spread of
(d. 1938), and Mawdu¯d¯ı (d. 1979), among many others, ac-
“innovation [bid Eah] of Shiism,” which had created doubts
knowledged their indebtedness to Wal¯ı Alla¯h. At the begin-
on the legitimacy of the caliphate of the first four caliphs
ning of the twenty-first century, with Islam becoming a
(632–661) in the minds of the Sunn¯ıs. Based on reasoned
world religion, reference to Wal¯ı Alla¯h’s works is a symbol
discussion, Wal¯ı Alla¯h dealt with controversial issues in
of legitimacy for thinkers and organizations in Indo-Pakistan
Iza¯lat al-Khafa¯ D(vol. 1, pp. 8–9). He argued that these caliphs
and abroad.
played a crucial role in: (1) the compiling of QurDanic text
and practicing the QurDanic ordinances; (2) establishing
BIBLIOGRAPHY
h:ad¯ıth as a systematic source of Islamic law; and (3) develop-
Alvi, Sajida. “The Mujaddid and Tajd¯ıd Traditions in the Indian
ing the judicial process and juridical ordinances. To deny the
Subcontinent: An Historical Overview.” Journal of Turkish
key role of the caliphs in the history of Islam, in his view,
Studies (Schimmel Festschrift) 18 (1994): 1–15. For a discus-
amounted to destroying the very foundation of Islamic reli-
sion on Wal¯ı Alla¯h’s claims of mujaddid and Qa¯ Dim
gious sciences.
al-Zama¯n, see pages 7–8.
Above all, in his monumental work H:ujjat Alla¯h
Baljon, J. M. S. Religion and Thought of Sha¯h Wal¯ı Alla¯h Dihlaw¯ı,
1703–1762. Leiden, 1986. For details of Wal¯ı Alla¯h’s teach-
al-Ba¯lighah (written in Arabic), Wal¯ı Alla¯h integrated the
ers in the H:ija¯z, see page 6; for an annotated chronological
spiritual and material domains of human life; the dynamic
listing of Wal¯ı Alla¯h’s works, see pages 7–14.
and evolutionary relationship of human beings, life, and the
universe; and the relationship of metaphysics, politics, and
Baraka¯t¯ı, H:ak¯ım Mah:mu¯d Ah:mad. Sha¯h Wal¯ı Alla¯h aur unka¯
Kha¯nda¯n. Lahore, Pakistan, 1973. For the history of Madra-
economics. His emphasis on the need to exercise indepen-
sah-i Rah:¯ım¯ıyah, its leadership, and changes in its curricu-
dent reasoning on religious issues (ijtiha¯d), his stress on the
lum and fortunes until it was closed down in 1894, see pages
benefits of making the QurDanic text available to the commu-
80–95.
nity through translation (a controversial move at that time),
Baraka¯t¯ı, H:ak¯ım Sayyid Mah:mu¯d Ah:mad. H:ayat-i Sha¯h
and his belief in the power of the prophet Muh:ammad’s say-
Muh:ammad Ish:a¯q Muh:addis Dihlaw¯ı. Delhi, 1992. This
ings and his practical model (sunnah) to reform communal
short work is a valuable source for information on the de-
behavior and morals made Wal¯ı Alla¯h the forerunner of the
scendants of Wal¯ı Alla¯h, especially Muh:ammad Ish:a¯q, and
modernists and reformers of the nineteenth and twentieth
Madrasah-i Rah:¯ım¯ıyah and its evolution. Noteworthy are
centuries.
the following points: (1) Sha¯h Ish:a¯q received instruction in
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WALKER, JAMES R.
9667
Torah, Inj¯ıl (New Testament), and Zabu¯r (Psalms of
When Walker arrived at Pine Ridge, he found that
David); familiarity with these scriptures was a prerequisite
health conditions were abysmally low. Tuberculosis afflicted
for the study of QurDanic exegesis at the madrasah (p. 22);
almost half the Lakota population, particularly children. The
(2) Sayyid Ah:mad Kha¯n, the towering modernist of the nine-
Oglalas had no confidence in white doctors, preferring to
teenth century, attended lectures of Muh:ammad Ish:a¯q,
rely on their medicine men (traditional religious healers).
along with a large number of men and women in Delhi
While Walker at first felt antagonistic toward the medicine
(p. 30); instruction of girls at his house in the morning was
men, he soon realized that if he could win them over he
part of Sha¯h Ish:a¯q’s daily routine (p. 78).
would have powerful allies in combating the disease. He
Geaves, Ron. “A Comparison of Maulana Mawdudi (1903–1980)
learned that they attributed the symptoms of tuberculosis to
and Shah Wali-Allah (1703–1762): A Pure Islam or Cultural
Heritage.” Islamic Quarterly 41, no. 3 (1997): 167–186.
a worm eating away the patient’s lungs. By mounting spu-
tum samples from infected individuals on slides and inviting
Hermansen, Marcia K., trans. The Conclusive Argument from God:
the medicine men to examine them under a microscope,
Sha¯h Wal¯ı Alla¯h of Delhi’s H:ujjat Alla¯h al-Ba¯lighah. Leiden,
1996. For a concise overview of Wal¯ı Alla¯h’s life, see Her-
Walker was able to demonstrate to the medicine men that
mansen’s introduction; for Wal¯ı Alla¯h’s legacy and the claim
their theory was correct, although the “worms” were many
of various movements and educational institutions in subse-
times smaller than they had believed.
quent centuries for connection with him, see pages xxxiii–
On this common ground Walker was able to gain the
xxxvi; for a list of Wal¯ı Alla¯h’s works and references to those
cooperation of the medicine men in imposing sanitary pre-
available in English translation and pertinent secondary
cautions to control the spread of tuberculosis. His interest
sources, see pages 479–481.
in the Lakotas’ medical and religious systems grew. He decid-
Iqba¯l, Muh:ammad EAllama. The Reconstruction of Religious
ed that to be effective as a physician on the reservation, he
Thought in Islam. Edited by M. Saeed Sheikh. Lahore, Paki-
stan, 1986; 2d ed., 1989. Iqba¯l, the great philosopher-poet
himself must become a medicine man. In the fall of 1896,
of twentieth century was deeply influenced by Wal¯ı Alla¯h’s
some of the leading medicine men at Pine Ridge told him,
thought. He frequently referred to Wal¯ı Alla¯h in this work,
“We have decided to tell you of the ceremonies of the
as well as in 1,200 of his letters, more than to any other
Oglalas. . . . We will do this so you may know how to be
major Muslim thinker. See pages 196–197, note 47.
the medicine man for the people” (Walker 1980, p. 68).
Rizvi, Saiyid Athar Abbas. Sha¯h Wal¯ı-Alla¯h and His Times: A
Walker’s scholarly investigations intensified after 1902,
Study of Eighteenth Century Isla¯m, Politics, and Society in
when he met Clark Wissler, an anthropologist from the
India. Canberra, 1980. A comprehensive study of Wal¯ı
American Museum of Natural History in New York. Wissler
Alla¯h’s life and times with the author’s slight subjective slant;
for an annotated chronological listing of Wal¯ı Alla¯h’s works,
was collecting objects for the museum and recording ethno-
see pages 220–228; for a discussion of teaching methods and
graphic notes. He recognized in Walker a kindred spirit and
curricula in the eighteenth century, see pages 358–378.
invited him to collaborate by recording vital statistics for
physical anthropology studies and undertaking studies of tra-
SAJIDA S. ALVI (2005)
ditional children’s games, mythology, and religious ceremo-
nies. These activities occupied Walker for the remainder of
his life.
WALKER, JAMES R. (1849–1926) was a physician
Walker’s method of data collection was to transcribe in-
with the Indian Service of the United States government who
terviews, commission drawings and written texts in Lakota,
became an important scholar of Native American religion.
and make sound recordings of songs on a graphaphone,
He was born near Richfield, Illinois, on March 4, 1849. He
which was a device invented in 1886 that could record sound
joined the Union Army in 1864 at the age of fourteen and
waves directly on a wax-coated cylinder. He relied on a few
was eventually assigned to the U.S. Sanitary Commission to
close consultants—Short Bull, who had been a leader of the
care for the sick and wounded during the Civil War. Walker
Ghost Dance; George Sword, who wrote down many texts
resumed his schooling after he returned to Illinois at the end
in Lakota and served as Walker’s mentor; Thomas Tyon,
of the war and earned the degree of Doctor of Medicine from
who wrote texts and functioned as an interpreter—but also
Northwestern University Medical School in 1873. He joined
recorded material from more than thirty other individuals.
the government’s Indian Service in 1877 and first served as
a physician at Leech Lake Indian Reservation in Minnesota.
The study of the Sun Dance, the central Lakota reli-
In 1893 he was transferred to the Colville Reservation in Or-
gious ceremony held each summer as a ritual for renewal, was
egon, in 1896 to the Indian Industrial School at Carlisle,
a particular challenge for Walker since the dance had been
Pennsylvania, and later in 1896 to the Pine Ridge Reserva-
banned by the Office of Indian Affairs and was no longer
tion in South Dakota. It was at Pine Ridge that Walker de-
performed. Of necessity Walker had to reconstruct the ritual
veloped a lifelong interest in the Lakota (Oglala Sioux) Indi-
and its meanings on the basis of interviews with the medicine
ans and ultimately became one of the foremost scholars of
men and others who had participated in the ceremony. This
Lakota religion, preserving a multifaceted documentary re-
aspect of Walker’s work complemented a series of studies of
cord as important to the Lakota people themselves as to aca-
the Sun Dance among Plains tribes sponsored by the Ameri-
demic researchers.
can Museum. The unparalleled richness and comprehensive-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9668
WANDJINA
ness of Walker’s account of the Oglala Sun Dance, in com-
BIBLIOGRAPHY
parison to other monographs in the series (Wissler 1915–
Dooling, D. M., ed. The Sons of the Wind: The Sacred Stories of
1921), reveals his unique degree of insight into American
the Lakota. Norman, Okla., 2000. A popular edition of
Indian religion.
Walker’s Oglala mythology for nonspecialist readers.
Walker, James R. “The Sun Dance and Other Ceremonies of the
Published in 1917, Walker’s “Sun Dance and Other
Oglala Division of the Teton Dakota.” In Anthropological
Ceremonies of the Oglala Division of the Teton Dakota” sit-
Papers of the American Museum of Natural History, vol. 16,
uated the ritual in its fullest social, philosophical, and reli-
no. 2 pp. 51–221. New York, 1917. Walker’s synthesis of
Lakota religion, together with important religious and
gious contexts. He laid out the common people’s under-
mythological texts.
standing of the ritual and of the religious system it
Walker, James R. Lakota Belief and Ritual. Edited by Raymond
represented, then outlined the esoteric knowledge of the
J. DeMallie. Lincoln, Nebr., 1980. Includes most of Walk-
medicine men. The meaning of each ritual detail was expli-
er’s interview material on religion, together with a variety of
cated with references to sacred myths. To structure the de-
lectures and short writings. The introduction includes a bio-
scription, Walker synthesized all of his data to produce a sys-
graphical sketch of Walker and an assessment of his signifi-
tematized account that might be considered an instructional
cance.
manual for performing the Sun Dance. In the process of
Walker, James R. Lakota Society. Edited by Raymond J. DeMallie
compiling his systematic account, he eliminated the inconsis-
and Elaine A. Jahner. Lincoln, Nebr., 1982. Includes a com-
tencies that were so apparent in his interview notes. He ap-
mon man’s account of participation in the Sun Dance, a vari-
pended accounts of the Hunka (adoption) and Buffalo (girl’s
ety of ritual practices, and material on sacred time that in-
cludes pictorial calendars (winter counts).
puberty) ceremonies, together with some brief philosophical
and religious texts, an important interview with a medicine
Walker, James R. Lakota Myth. Edited by Elaine A. Jahner. Lin-
man named Finger, and a series of longer myths and tales.
coln, Nebr., 1983. Presents the fullest surviving drafts of
Walker’s Oglala mythology, together with mythological texts
from a number of religious leaders.
Walker retired from the Indian Service in 1914 at the
age of sixty-five and moved to a ranch in Colorado. By then,
Wissler, Clark, ed. “Sun Dance of the Plains Indians.” Anthropo-
most of the medicine men with whom he had worked had
logical Papers of the American Museum of Natural History, vol.
16 (1915–1921). Description of the Sun Dance among the
died. In 1916 he completed writing his Sun Dance mono-
Plains tribes with historical and comparative discussion.
graph; two years later ill health forced him to retire to
Wheatridge, a suburb of Denver. Much of his time in
RAYMOND J. DEMALLIE (2005)
Wheatridge was devoted to writing an Oglala mythology
about the creation of the world and the origin of human be-
ings. Walker used the same method as before, systematizing
WANDJINA. Australian Aborigines traditionally be-
conflicting versions. The many overlapping drafts that sur-
lieved that a person’s spirit existed before entering the human
vive attest to his struggle to synthesize all he had learned
life-cycle and that it survived after bodily death. Life-spirits
about Lakota religion. He died on December 11, 1926, leav-
were identified as originating in a number of mythological
ing the mythology unfinished.
beings, of which those called wandjina were important in
central and northern Kimberley, with the mythical snake
Walker’s work is valued in the early twenty-first century
Ungud and other animal spirits playing less significant parts.
not only for his own writings, but even more for the mass
of interview material and other manuscripts that he left be-
Identification of a person’s life-spirit, or conception
hind. Three volumes of documents have been published
totem, was revealed to his or her father or to another senior
male of the group during a dream. Dream communication
(Walker 1980, 1982, 1983) that have become primary
with the mythological beings played a significant role in Ab-
sources for the study of Lakota religion. The often conflict-
original religion, for although the events of the creation peri-
ing and very personal voices recorded in these documents
od, or lalai, were generally known, the present state of the
add nuance and richness to Walker’s syntheses. They are part
beings was of ongoing significance, and that could be re-
of his legacy, a historical record of an American Indian reli-
vealed only through the dreaming process. The father-to-be
gion remarkable for its detail and depth of insight. The re-
was entitled to identify the origin of a life-spirit, but in other
cord of his studies fulfils the commitment he made to the
circumstances, a specialist, or banman (“dreamer”), could
medicine men that their knowledge would be preserved in
communicate with the mythological beings. Life-spirits of
writing, “that future generations of the Oglalas should be in-
wandjina origin came from the clouds, (that is, the sky) to
formed as to all that their ancestors believed and practiced”
live in water. They entered the mother-to-be either directly
(Walker 1980, p. 47).
or through food gotten from water: for example, fish. In his
dream, the father would see the spirit and identify its place
SEE ALSO Lakota Religious Traditions; North American In-
of origin, from which he could deduce the mythological
dian Religions, article on History of Study.
being who then became the conception totem. One Aborigi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WANDJINA
9669
nal man summarized the sequence of events as follows: “Our
pretation is the owl, the bird sacred to the wandjina. Atten-
fathers found us in the form of fish or turtles, but the Wand-
tion is then drawn to the round white faces, the large eyes,
jina is our real father. He put us in the water from the
and the presence of beaks but the absence of separate
sky. . . . We came from heaven through the water by
mouths. In this interpretation, the body decoration repre-
dreams.” The life-spirit is regarded as a reincarnated wand-
sents the dappled markings of an owl’s breast feathers.
jina, and a person whose spirit is so derived will speak in a
The wandjina are often referred to as “the rainmakers.”
way that indicates continuity of the (mythological) past and
Toward the end of the dry season, when the heat has intensi-
the present.
fied, Aboriginal men who have wandjina as their conception
The wandjina are depicted in paintings on the walls of
totems may sing songs and perform rituals which are intend-
caves. On approaching these shrines, Aborigines call out to
ed to entice the wandjina to send rain and alleviate their con-
the wandjina to announce the arrival of visitors. If this is not
dition. Kimberley receives monsoonal rains starting in late
done by a person with the correct status, the spirits become
December. Their arrival is a dramatic event. In the weeks
upset and take revenge on the Aborigines. Sometimes Ab-
preceding the arrival of the “wet,” there are local showers and
origines perform a ritual in which smoke from green branch-
spectacular displays of lightning. With the rain come the
es is held beneath the paintings. Similar gestures are made
banks of cumulonimbus clouds, which change shape rapidly
as placatory gestures at the end of mourning ceremonies.
and appear to have a life of their own. In them, the Aborigi-
nes see the wandjina. The call to the spirits, made in the
Many of the paintings are spectacular. The wandjina are
songs and rituals, has been answered.
anthropomorphic in form and are usually larger than life
size. Individual figures may be as large as six meters long.
The rain that the wandjina bring is recognized by the
Against a whitened background, the figures are painted in
Aborigines as a major factor in the fertility of the land. By
red ochre and black charcoal. The faces and heads are em-
the end of the dry season, when the Aborigines have burned
phasized, with large eyes (usually black, sometimes also en-
off all the grass, the earth is parched and hot. Nothing grows,
graved) and haloes around the heads. On these haloes, and
and animals hide from the heat. When the rains come, the
projecting from them, may be radiating lines. A curious fea-
earth, which is itself alive, drinks. Plants flourish. Animals
ture of each face is the absence of a mouth, although the nose
emerge from their hiding places. To shelter from the rain the
is invariably present. The wandjina may be represented by
Aborigines build huts of bark or thatch or move into caves.
a face only, but often the whole body is shown. The shoul-
Where the caves are painted, the figures on the walls appear
ders are always white, and there is a small shieldlike motif
brighter: In many cases, the painters have used huntite, a hy-
high on the chest. The body is filled-in with a dot or short-
droscopic mineral, as the pigment for the white background,
dash pattern, and body ornamentation is indicated by waist
and so there is a noticeable change in the hue of the paintings
and arm bands.
when the humidity intensifies. As the wet season progresses,
there may be flooding. The banman then must try to reduce
In Aboriginal mythology, the wandjina are said to have
the rain through further songs and rituals. These songs nar-
lived during the creation period. They came from the sky or
rate episodes in the mythology of the wandjina.
the sea, traveled a short distance (usually), and then trans-
Physical evidence implies that the wandjina have been
formed themselves into the paintings. For the most part, the
repainted many times. Aborigines say that the original fig-
wandjina set examples of disruptive behavior, seducing oth-
ures came into existence when the spirits transformed them-
ers’ wives and quarreling among themselves. All myths about
selves into the paintings, and that the role of the Aborigines
the wandjina share one central action, in which the wandjina
in the past has been restricted to maintenance. Some of the
round up the Aborigines and slaughter them with lightning
pigments are quite unstable in the presence of the high hu-
and flood because two Aborigine boys have offended them
midity that prevails during the wet season, and for this reason
by torturing an owl, their sacred bird. Other episodes are
regular maintenance would always have been necessary. The
purely local in significance. The paintings, are the transfor-
custodian of a painting might invite a noted artist to carry
mation of the living spirits into a new form. Their general
out the restoration, in which case a payment of goods to the
human appearance is unmistakable, and Aborigines identify
artist would have been required.
many of the features in the paintings as human characteris-
tics. In these intepretations, the haloes are hair, the lines radi-
The wandjina are seen by the Aborigines as fertility
ating from the heads are feathers, the dots on the bodies are
gods. By sending rain, they ensure the survival of life on
body paint, and the bands around the waists and limbs are
earth. More directly, by sending the life-spirits for humans,
body ornaments. However, the human model is not the only
they ensure the continuity of human life. The enormous
one the Aborigines use in interpreting the paintings. Wand-
powers of the wandjina can be seen in the displays of thunder
jina may take the form of clouds, and so the paintings may
and lightning that precede the monsoon and in the rains
be interpreted as depicting the spirits in cloud form. In this
themselves. If provoked, the wandjina could use their powers
case, the eyes are seen as dark patches of cloud, the haloes
to destroy life as they did in the mythological past. Through
as the edges of clouds, the radiating lines as lightning, and
the rituals performed at the caves, through the songs, and,
the dot patterns as falling rain. Yet another model for inter-
especially, through the mechanism of dream-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9670
WANG BI
communication, Aborigines have traditionally sought to in-
language to deal with the necessarily unspecific root of all
fluence the wandjina and thus to gain for themselves some
specificity. This root was thus linguistically “dark” (xuan),
measure of control over the natural world.
and the entire philosophical enterprise around Wang Bi was
therefore later called Xuanxue, the “scholarly exploration of
BIBLIOGRAPHY
that which is dark,” rather than being associated with any of
Crawford, I. M. The Art of the Wandjina: Aboriginal Cave Paint-
the traditional philosophical “schools.” In this philosophical,
ings in Kimberley, Western Australia. Melbourne, 1968. An
rather than school-dominated, enterprise, the appropriation
overall coverage of wandjina and other cave art of the Kim-
of different texts by the different schools was rejected, and
berleys, together with a discussion of their mythology and
so was their habit of ranking their own founder highest. In
meaning. Illustrated.
Xuanxue, Confucius ranked philosophically higher than
Elkin, A. P. “Grey’s Northern Kimberley Cave Paintings Re-
Laozi because—by not writing a book but only editing what
found.” Oceania 19 (1948): 1–15. Discusses the rediscovery
became the “classics” and allowing his verba et gesta to be re-
of the wandjina paintings, first reported to the outside world
by the European explorer George Grey in his Journals of Two
corded by his students (Analects)—he proved himself superi-
Expeditions of Discovery in Northwest and Western Australia
or in understanding the philosophical problem of language.
(London, 1841).
Xuanxue scholars reread the classics as writings that
Lommel, Andreas. Die Kunst des Fünften Erdteils. Munich, 1959.
made conscious and sophisticated use of a flawed instru-
Contains, among other material, both illustrations and dis-
ment—written language—because it was the only way to
cussion of wandjina paintings.
preserve the sage teachings of old. These works thus had to
Petri, Helmut. Sterbende Welt in Nordwest-Australien. Braun-
be viewed as pointing beyond themselves, and they received
schweig, 1954. A detailed study of northwestern Australian
their unity not from the textual surface, but from their elu-
Aboriginal society and culture, in which wandjina paintings
sive common object. Wang Bi outshone his contemporaries
and their significance are placed in context.
in the philological brilliance and consistency of this type of
Schulz, Agnes S. “North-west Australian Rock Paintings.” In
“commentary of meaning,” and his commentaries on the
Memoir of the National Museum of Victoria, pp. 7–57. Mel-
Laozi and the Book of Changes, together with an essay each
bourne, 1957. Further discussion on the mythological rele-
on their structure, have time and again found copyists and
vance of the wandjina and their expression through art.
sponsors, so that they alone of the plethora of commentaries
I. M. CRAWFORD (1987)
written by his peers survive to this day, together with frag-
ments of his commentary on the Analects.
Wang Bi extracted from these classical texts a political
WANG BI (226–249 CE) was the scion of an important
philosophy that was rooted in ontological analysis. The
Shandong clan with great intellectual ambitions and “over
teachings of the “schools” about political strategies aimed at
eighty members” who reached the highest echelon of power
bringing about and maintaining social order lack a dialectical
in the preceding Han dynasty (206 BCE–220 CE). The col-
understanding of the dynamics of the relationship of the
lapse of this dynasty resulted in the division of the country
ruler to the people. Wang Bi argued that rulers following
into three competing states, as well as the collapse of the
these teachings end up bringing about the very chaos they
state-sponsored and privately sponsored educational system,
are trying to overcome. Only by going back to the funda-
together with the authority of official teaching. It was chance
mental dynamics prevailing between the “one” and the
that put arguably the richest and most intellectually diverse
“many” can the laws be found that govern the dynamics be-
manuscript library to survive the conflagration and civil war
tween the one ruler and the multitude of the people. Wang
of the collapsing Han dynasty into Wang’s possession. His
Bi thus explores the ontological question of the necessary fea-
talents thus flourished during a rare and short moment in
tures of that by which the entities (“the ten thousand kinds
history, a time when philosophical originality and icono-
of things”) are, and by which they are in a regulated and or-
clasm were much appreciated and youthful genius was re-
derly fashion. This exploration of the “one” provides the
vered. Wang Bi was spurred on by a rich and open competi-
basis to determine the features and acts necessary for a ruler
tion, and a government reform project that was guided from
to secure social and political order. The “one” of the ten
240 to 249 CE by He Yan (d. 249), a man considered by
thousand kinds of entities can only be the “one” by being
his contemporaries to be the ultimate arbiter elegantiarum,
their—and their regulated order’s—condition of possibility,
as well as a brilliant philosophical debater. The closure of the
and by not specifically interfering with the regulated order
project came with a coup and the execution of its leaders in
of the remaining entities. Otherwise, the “one” would only
249, the same year in which Wang Bi, just twenty-three years
be another entity among the multitude. The emulation of
of age, died in an epidemic.
this non-interference (wuwei) by the ruler in his relations
In a reaction to the bookwormishness of the Han schol-
with society thus becomes a philosophical imperative. Given
ars, Wang Bi rediscovered the warnings of such philosophical
the ruler’s theoretically absolute powers and the common-
writings as the Laozi (Dao de jing), the Analects (Lunyu), and
sense assumption that their active use will be instrumental
the Book of Changes (Zhouyi) about the inability of definitory
in establishing order, Wang Bi’s proposal is philosophical by
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WANG CHONG
9671
being counterintuitive, while its necessity is shown by the ev-
WANG CHE SEE WANG ZHE
ident presence of chaos.
The thirty-year civil war ending Han rule (at great loss)
was a timely reminder. In any given historical situation, how-
WANG CHONG
ever, the vicious circle between a ruler’s efforts to establish
(27–100? CE), critic and skeptic who
order and the counterproductive dynamics these efforts set
proposed naturalist explanations for the relation between
in motion is already in operation. The ruler’s generous en-
Heaven and man. Born into a poor family in Guiji (in mod-
couragement of some virtuous persons provokes the resent-
ern Zhejiang), Wang studied in the Imperial Academy but
ment of those not so favored; his use of surveillance machine-
then held office for a brief period only. Most of his life he
ry to ward off evildoers calls forth a rise in the arts of
lived in seclusion, devoting himself to writing. He wrote
dissimulation. Accordingly, an actual historical ruler must
three works, Zhengwu (The conduct of government), Lun-
not just “maintain” order, he must “bring back” society (“the
heng (Critical Essays), and Yangsheng (On the cultivation of
hundred families” from the historically real chaos to find rest
life). Of these only Lunheng has been preserved.
and order in his wuwei. Wuwei thus is a proactive policy of
According to Wang himself, the spirit of his Lunheng
projecting the non-use of the absolute powers of the ruler
may be summed up in one sentence: he detests what is ficti-
through a public performance of this non-use; projections of
tious and false. The fiction that Wang detested most was the
“simplicity,” “uncouthness,” “dumbness,” “femaleness,” and
theory of “mutual response between Heaven and man,”
the pointed abolition of state surveillance (an eyesore for
which had dominated the mind of Han China since Dong
many intellectuals in a state of Wie during Wang Bi’s time)
Zhongshu had first propounded it 150 years earlier. Accord-
are some of the particular proactive forms of “non-
ing to this theory, aberrant natural phenomena (such as
interference” that Wang Bi extracts from the texts he ana-
floods or the appearance of strange creatures) were omens,
lyzed. In this manner, the ruler will erase his own function
Heaven’s comments on man’s behavior. Wang wholly reject-
as the point of orientation of all social competition, with the
ed this teleological cosmology, arguing instead that the Way
consequence that the hundred families will fall back to their
of Heaven is one of spontaneity (ziran) and nonactivity
“natural” station. Then the self-regulating mechanisms come
(wuwei). “Heaven,” he wrote, “does not desire to produce
into play in the same manner as they do in nature, where,
things, but things are produced of their own accord; Heaven
as Wang Bi writes, “heaven and earth do not make grass for
does not desire to create things, but things are created of
cattle, but cattle still eat the grass.” The implied addressee
themselves.” Because he defines Heaven in terms of sponta-
of Wang Bi’s philosophy is the ruler, and the quest is for the
neity and nonactivity, Wang’s philosophy usually has been
philosophical bases of social order. Philosophical questions
characterized in modern times as naturalistic, even though
are only pursued to the point where relevancy for the politi-
he was traditionally classified as an eclectic (zajia).
cal application ceases.
Wang’s definition of Heaven led him to a thorough de-
Wang Bi’s Commentary to the Zhouyi entered the canon
nunciation of all theories that claimed conscious interactions
in the seventh century, and it influenced all later commen-
between Heaven and man. He compared man’s place in the
taries on this text. His Commentary to the Laozi had a similar
universe to a louse in the folds of a garment: if a louse cannot,
impact. His commentarial method is characterized by an in-
by its actions, affect the movements of the man who wears
sistence on internal coherence, a refusal to randomly impose
the garment, then how can a man who lives on the earth’s
terms or methods to solve problems of consistency, and full
surface affect, much less cause, by his actions, the movements
attention given to clues within the texts that help determine
and changes of Heaven? For this reason, it is simply false to
the appropriate manner of reading these texts.
suppose that a causal relationship exists between auspicious
SEE ALSO Guo Xiang; Laozi.
or calamitous natural events on the one hand and good or
bad government on the other. All the seeming coincidences
BIBLIOGRAPHY
between natural phenomena and human actions must be un-
Lynn, Richard J., trans. The Classic of Changes: A New Translation
derstood as pure chance.
of the I Ching as Interpreted by Wang Bi. New York, 1994.
Another area of Wang’s philosophy that has been influ-
Wagner, Rudolf. The Craft of a Chinese Commentator: Wang Bi
ential is his conception of life and death. Several of his essays
on the Laozi. Albany, N.Y., 2000.
are devoted to a vigorous refutation of the popular belief of
Wagner, Rudolf. A Chinese Reading of the Daode jing: Wang Bi’s
his time that the soul can survive the body. He maintained
Commentary on the Laozi, with Critical Text and Translation.
that a man’s soul exists within his body and that at death,
Albany, N.Y., 2003.
when the body decomposes into dust and earth, his soul also
Wagner, Rudolf. Language, Ontology, and Political Philosophy:
disintegrates. He used a famous metaphor to illustrate this
Wang Bi’s Scholarly Exploration of the Dark (Xuanxue). Alba-
body-soul relationship: human death is like the extinction of
ny, N.Y., 2003.
a fire; when a fire is extinguished, its light ceases to shine,
Wang Baoxuan. Zhengshi xuanxue. Jinan, China, 1987.
and when a man dies, his consciousness also ceases to exist.
RUDOLF G. WAGNER (1987 AND 2005)
To assert that the soul survives the body is like saying that
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9672
WANG CH’UNG
the light survives the fire. Wang also argues against the exis-
WANG CH’UNG SEE WANG CHONG
tence of ghosts, another form in which the human spirit was
believed to survive the body. According to Wang, since all
accounts of ghosts report that like living persons they wear
clothes, and since clothes certainly have no souls that can sur-
WANG FU-CHIH SEE WANG FUZHI
vive decomposition, how then can ghosts be seen with
clothes on? In taking this atheistic position, however, Wang
follows the Confucian rather than the Daoist tradition. In
WANG FUZHI (zi, Erhnung; hao, Chuanshan; 1619–
the Daoist thought of Han times, the soul leaves the body
1692), a Neo-Confucian philosopher. Now recognized along
at death and returns to its “true home,” where it continues
with Huang Zongxi and Gu Yanwu as one of the major
a mystical existence.
thinkers to emerge in seventeenth-century China, Wang was
Writing against the predominant beliefs of the day,
almost unknown in his own lifetime outside of a small circle
Wang was indeed a bold thinker in his attempts to demolish
of followers in his native Hunan. He devoted his life to the
a great variety of unfounded superstitious beliefs. But in
task of revitalizing and restoring the cultural heritage and po-
other respects he was very much a product of his time. He
litical autonomy of a Confucian China whose decline and
accepted without question some of the fundamental assump-
fall, culminating in the overthrow of the Ming dynasty and
tions of the yin-yang dualism and the theory of the Five Ele-
the Manchu conquest, left him a virtual refugee in his own
ments. He shared the contemporary view that life, whether
country. He was only thirty-one when in 1650 his patriotic
cosmic or individual, arises out of the interaction and combi-
foray into the political arena of the court of the Ming pre-
nation of the basic vital forces (qi) of yang and yin, and all
tender Yungli ended in temporary imprisonment as a result
things are made up of the five elements of wood, fire, soil,
of factional strife. Thereafter he had to content himself with
metal, and water. What essentially distinguishes Wang’s cos-
propounding his ideas in a prodigious number of works,
mology is the absence of a cosmic purpose.
none of which was published during his lifetime owing large-
ly to the fiercely anti-Manchu sentiments and politically sub-
In Wang’s naturalism is also grounded his theory of pre-
versive theories expressed in them. Nevertheless, as he him-
determined fate. Success or failure in the life of an individual
self declared, “With my country ruined and my home
or even of the whole state is, according to Wang, determined
destroyed, I set forth my opinions for posterity . . . In the
by what he called “fate” (ming). Fate, to Wang, controlled
future there will arise those who will carry on the task.” In
even precise areas of life. He held, for example, that a man’s
the late nineteenth and early twentieth century, however,
longevity, intelligence, social position, and wealth is fixed at
such historical and political writings as his Du Tongjian lun
birth by the kind of qi with which he is endowed. Order or
(On reading the Comprehensive Mirror), Song lun (On the
disorder in the state is also predetermined. Thus Wang did
history of the Song dynasty), Huangshu (Yellow book), and
assume a connection between celestial phenomena and
E-meng (Strange dream)—all published for the first time in
human fate. However, he interpreted auspicious or calami-
1865—fired the imagination of patriotic reformers and revo-
tous natural events merely as signs of a predetermined
lutionaries who regarded Wang as a prophet of modern Chi-
fate, not purposive expressions of Heaven’s pleasure or dis-
nese nationalism. Tan Sitong, Zhang Binglin, and Mao Ze-
pleasure.
dong all acknowledged him as a source of inspiration.
Wang was relatively obscure during his life, but his Lun-
The same patriotic fervor that has attracted modern
heng was rediscovered in the early third century and paved
Chinese originally impelled Wang to undertake a radical re-
the way for the growth of neo-Daoist naturalism during the
appraisal of the whole history of Chinese civilization. What
Wei-Jin period (220–420).
had gone wrong? What were the remedies?—these were the
two questions that inspired and informed all Wang’s studies,
SEE ALSO Afterlife, article on Chinese Concepts; Soul, arti-
which spanned the whole range of traditional Chinese schol-
cle on Chinese Concepts; Yinyang Wuxing.
arship. In typical Confucian fashion, however, his central
concern was ideological: what had gone wrong with the
BIBLIOGRAPHY
transmission of the Confucian tradition, and what constitut-
Fung Yu-lan. A History of Chinese Philosophy, vol. 2. 2d ed. Trans-
ed the true development of orthodox Confucianism? This
lated by Derk Bodde. Princeton, 1953. See pages 150–167
for a concise treatment of Wang’s thought and its historical
concern was shared by many scholars at the close of the Ming
context.
dynasty, particularly by those associated with the Donglin
Academy who, reacting against Buddhist influences and con-
Needham, Joseph. Science and Civilisation in China, vol. 2, History
temporary tendencies in the school of Wang Yangming, tried
of Scientific Thought. Cambridge, 1956. See pages 368–386.
to give Confucianism a new direction. Wang Fuzhi admired
Wang Ch’ung. Lun-heng. 2 vols. 2d ed. Translated by Alfred
their efforts to encourage scholar-officials to abandon the
Forke. New York, 1962. A complete English translation with
selfish pursuit of personal fulfillment and absolute truth and
a useful introduction.
commit themselves to a social and political program in which
YÜ YING-SHIH (1987)
moral philosophy was applied to contemporary realities. In-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WANG YANGMING
9673
deed, as a young man he was certainly influenced by them.
native tradition of philosophical materialism and as a histori-
But whereas these scholars tended to arrive at various com-
an critical of the old society.
promises between the Cheng-Zhu tradition and the more
moderate forms of the Wang Yangming tradition, Wang
BIBLIOGRAPHY
Fuzhi went further. He came to the conclusion that the
The most comprehensive edition of Wang’s works is the Chuan-
moral decline of China could be traced to Sung times, when
shan i-shu, published by the Tai pingyang bookstore (Shang-
the Cheng-Zhu school had first turned away from the “true
hai, 1933); a facsimile edition was published in Taipei in
doctrines” of Zhang Zai (1020–1077).
1965. A full bibliography of secondary sources in Chinese,
Japanese, and Western languages can be found in my “Wang
Although there had been some revival of interest in
Fuzhi and his Political Thought” (Ph.D. diss., Oxford,
Chang’s thought among Wang’s contemporaries, Wang
1968). Liu Zhijisheng’s appendix to Wang Chuanshan yanjiu
went so far as to declare himself a latter-day disciple of the
can kao liao (Changsha, 1982) includes a comprehensive list
of recent studies on Wang both in and outside China. For
Song philosopher, according him precedence over Zhuxi
additional studies, see Tang Junyi’s Zhongguo zhexue yuan-
(1130–1200), whose systematization of the Confucian tradi-
lun: yuan jian pain (Hong Kong, 1975) and my essay “Wang
tion in a grand synthesis (incorporating certain of Chang’s
Fuzhi and the Neo-Confucian Tradition,” in The Unfolding
ideas in the process) had created the Cheng-Zhu school of
of Neo-Confucianism, edited by Wm. Theodore de Bary
Neo-Confucianism, the dominant orthodoxy until the twen-
(New York, 1975).
tieth century. Wang, however, proceeded to elaborate his
IAN MCMORRAN (1987)
own extremely coherent philosophical system on the basis of
his Sung mentor’s cosmology. He adopted Chang’s concept
(itself a refinement of such early Daoist naturalist views as
found in the first-century-CE Lunheng of Wang Chong) of
WANG YANGMING (1472–1529), literary name,
a universe that consisted of one vast mass of ether (qi) in a
Wang Shouren; the most influenctial Confucian thinker in
perpetual state of flux, agglomerating to form objects and
Ming-dynasty China and one of the most important scholar-
dispersing to return to the “void” of apparent nonbeing as
officials in Chinese history. Wang’s intellectual impact on
its yin and yang aspects interacted. Wang explicitly rejected
East Asian culture and his transformation of the spiritual ori-
the Cheng-Zhu school’s doctrine on principle (li) and ether,
entation of the Confucian tradition in China made him one
which entailed a dualistic approach both in its basic meta-
of the greatest philosophers of the relation between knowl-
physics and in its treatment of human nature. For Wang
edge and action in any age or culture.
there was no duality: principle lay within the ether, and all
Born to a prominent gentry family in the Yangtze River
ether was principle. His monistic conception of the universe
delta, Wang was subject as a youth to great social pressure
led him to attack both Zhuxi’s attribution of evil to the phys-
to excel in Confucian learning. Hagiographical accounts re-
ical nature and his consequent rejection of human desires.
late that in his early teens Wang startled his teacher when,
Wang held that nothing was inherently evil: evil arose
in response to the teacher’s admonition that the most impor-
simply as excessive or incongruous activity in natural en-
tant thing in life was to study hard in order to pass the exami-
counters within the movement of the organic whole. Man’s
nations with distinction, Wang said: “To learn to become a
vital role as an integral part of this dynamic universe was to
sage is of the utmost importance.” Wang’s competitiveness
ensure its harmonious functioning through cultivating him-
with his father, who had himself won highest honors in the
self and ordering human society. To fulfill this role required
triennial metropolitan (jinshi) examinations, and his rebel-
an understanding of the universal processes; these could be
liousness against the conventions of the time led him to the
observed at work in the course of history and in codified
pursuit of a spiritual path characterized by Daoist and Chan
form in the ancient divinatory classic the Yi jing (Book of
practices. His failure to pass the metropolitan examinations
Changes). Zhang Zai too had set great store by this text, but
three times before he succeeded and his dissatisfaction with
his treatment of the archetypal patterns and symbols of the
the vulgarity of other officials after he eventually obtained
Changes had been mystical, the expression of his ideas poeti-
an official post further enhanced his determination to search
cal—as in his influential Ximing (Western Inscription)—and
for an alternative form of life.
he had paid little attention to history. Wang’s approach was
Wang is noted for his lifelong quest to understand the
altogether more analytical, rational, and pragmatic—even
mind and nature. His biography records that on his wedding
utilitarian. Wang’s emphasis on variable factors of time and
day he became so absorbed in conversing with a Daoist priest
place and prevailing conditions in determining what was ap-
about prolonging life through nourishing the vital force in
propriate, and hence, in a morally ordered universe, right,
one’s body that he did not return home until the next day.
led him to make a critical evaluation of political institutions
At an early age he began a traditional education grounded
throughout Chinese history and to formulate his own pro-
in the Confucian classics, but he also studied military affairs,
posals for reform based on radical changes in the system of
literary style, Buddhist philosophy, and Daoist technique of
land-tenure and taxation. In contemporary China Wang has
longevity. In 1492, intent on putting Zhu Xi’s (1130–1200)
been admired, patriotism apart, as a major contributor to the
doctrine of the investigation of things (gewu) into practice,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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WANG YANGMING
he devoted himself to the study of the principle (li) inherent
cultivation begins with a critical understanding of one’s self-
in things by meditating in front of a bamboo grove for seven
hood, but he remained fully within the Confucian tradition
days. His abortive attempt to understand Zhu Xi’s assertion
in placing the self at the center of relationships. Thus, for
that personal knowledge can be acquired through an under-
Wang the quest for self-knowledge necessarily involves active
standing of external phenomena compelled him to probe the
participation in the human community.
internal resources of his own mind-and-heart (xin).
The Confucian idea of the human is not anthropocen-
Wang started his official career at the age of twenty-
tric. Rather, humanity in its full realization here signifies an
eight. His primary goal in life, however, was to become an
anthropocosmic reality often symbolized by the notion of the
exemplary teacher so that he could share his intellectual in-
unity of people and Heaven. This realization requires that
sight and spiritual quest with friends and students. In fact,
we as humans respond to the ultimate source of creativity,
it took him some time to come to terms with his role as a
namely, the way of Heaven (tiandao). Thus, Wang’s second
scholar-official. While cultivating the Daoist arts of overlast-
important doctrine is “the preservation of the heavenly prin-
ing life in a cave near his home, he contemplated forsaking
ciple and the elimination of human desires.” Human desires
the world altogether. It was only after he had fully convinced
are egoistic demands and private, selfish ideas. The true self,
himself that his longings for his father and the grandmother
which is not only the deepest source of moral creativity but
who had raised him were irreducible human feelings, neces-
also the heavenly principle (tianli) inherent in our nature, is
sary for the survival and well-being of the human communi-
an open system. It extends horizontally to the human com-
ty, that he decided to return to society permanently in order
munity as a whole and, simultaneously, it reaches upward to
to transform it from within.
Heaven. Therefore, the unity of people and Heaven is not
merely an idea but an experienced ethico-religious reality.
One of the most important events in this initial stage
of his official career was his friendship with Zhan Ruoshui,
Wang’s attempt to integrate heavenly principle (onto-
the disciple of the eminent Confucian master Chen Bosha
logical reality) and human relationships (social reality) in the
(Chen Xianzhang, 1428–1500). Wang sealed a covenant
moral creativity of the self (subjectivity) is well articulated in
with Zhan to promote true Confucian learning, the kind of
his third and most mature doctrine, often translated as “the
learning that stresses an experiential understanding of the
extension of the innate knowledge of the good” (zhi liangzhi;
body and mind. Such learning they clearly differentiated
Chan, 1969, p. 656). Actually, the doctrine can well be stat-
from the study of the classics for the sake of passing the ex-
ed as the full realization of our primordial awareness, an
aminations.
awareness that we are capable of self-perfection. This doc-
trine may be regarded as a creative interpretation of the clas-
Wang advocated his first doctrine, “the unity of know-
sical Mencian thesis of the goodness of human nature. Fol-
ing and acting,” shortly after his decision to return to society.
lowing Mengzi’s notion that the moral feelings of the mind-
According to his famous dicta, “knowledge is the beginning
and-heart are humanity at its best, Wang insisted that the
of action; action is the completion of knowledge” and
uniqueness of being human lies in our ability to perfect our-
“knowledge in its genuine reality and earnest practicality is
selves through self-effort. The reason that some of us have
action; action in its brilliant self-awareness and refined dis-
become sages (the most genuinely realized humans) is be-
crimination is knowledge,” have become defining character-
cause inherent in our heavenly endowed nature is our great
istics of Wang’s philosophy of mind, what Wing-tsit Chan
body (dati), which never ceases to guide us toward the high-
refers to as his dynamic idealism.
est excellence of humanity. Wang underscores this dimen-
However, far from being a speculative thinker who
sion of Mengzi’s teaching by adding the verb zhi (to extend,
made no attempt to put his ideas into practice, Wang de-
to fully realize) to the original Mencian term liangzhi (innate
scribed his doctrine as the result of a hundred deaths and a
goodness or primordial awareness), thus transforming it into
thousand hardships. Indeed, he once almost lost his life when
an active, dynamic, and creative principle of self-cultivation.
he protested against a powerful eunuch. For this, the emper-
Wang formulated his interpretation of the Confucian
or had him flogged forty times at court and banished to a
way by wrestling with Zhu Xi’s balanced approach to Confu-
small postal station in a remote mountainous area in present-
cian learning. Briefly stated, Zhu Xi held that moral develop-
day Guizhou. However, it was there that he experienced en-
ment could only be attained through the simultaneous activi-
lightenment and developed a unique approach to Confucian
ties of dwelling in the spirit of reverence (jing) and
learning that emphasized the learning of the body and mind.
investigating the principle inherent in all things. Wang, how-
ever, maintained that establishing the will to be good must
A salient feature of Wang’s thought is his inquiry into
be the focus of moral self-cultivation: neither the pursuit of
the internal landscape of the mind as the center of moral cre-
empirical knowledge in and of itself nor the psychology of
ativity. This emphasis is predicated on a vision that encom-
being serious and respectful will automatically bring about
passes both the ontological reality of Heaven and the social
a good moral life.
reality of human relationships. In his philosophy, which is
religious as well as ethical, self-cultivation is a holistic process
In maintaining that the primary purpose of moral edu-
of learning to be fully human. Wang argued that self-
cation is to establish in ourselves that which makes all hu-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WANG YANGMING
9675
mans great Wang aligned himself with Zhu Xi’s intellectual
cultivation. Wang’s insistence that only through polishing
rival, Lu Xiangshan (Lu Jiuyuan, 1139–1193). This concept
and disciplining in actual affairs of life can one learn the art
that the quest for moral creativity begins with self-awareness
of being human suggests a strong existential quality in his
was criticized by fellow Confucians as being Buddhistic, but
teaching. Wang himself, as a witness to his own teaching, ac-
Wang himself never doubted the authenticity of his Confu-
quired much practical knowledge: he concerned himself with
cian message. He conscientiously defended the content and
local administration, legal cases, and military tactics. In fact,
method of his teaching by reference to the very books chosen
he was the only civilian official to be awarded a military lord-
by Zhu Xi to represent the core of the Confucian tradition.
ship because of his unusual meritorious achievements in sup-
Since the thirteenth century, the Four Books—the Lunyu
pressing a rebellion that could have fundamentally changed
(Analects), the Mengzi (Mencius), the Zhongyong (Doctrine
the history of the Ming dynasty.
of the Mean), and the Daxue (Great Learning)—had served
The Yangming school, known as the Yomeigaku in
as virtual scripture for the educated elite in East Asia. Wang’s
Japan, has profoundly influenced modern East Asia. The
challenge to Zhu Xi’s interpretive authority was only partial-
spirit of the samurai, which emphasises firm purpose, self-
ly successful, but the mark that he left on the overall design
mastery, and loyalty, and the dynamic leadership of the Meiji
of Confucian education in indelible. His celebrated Daxue
Restoration in 1868 were partly Wang Yangming’s gifts to
wen (Inquiry on the Great Learning), which recapitulates the
Japan. In China, reformers such as Liang Qichao (1873–
major themes in his philosophy, has become one of the most
1929) and Tan Sitong (1865–1898), revolutionaries such as
frequently cited treatises on Confucian humanism.
Sun Yat-sen (1866–1925), and philosophers such as Xiong
Inquiry on the Great Learning was written in 1527,
Shili (1885–1968) and Liang Souming (b. 1893) have all
roughly a year before Wang’s death. It addresses the Confu-
been inspired by Wang’s legacy, the Chuanxi lu (Instructions
cian’s ultimate concern, forming one body with Heaven and
for Practical Living), which consists of his dialogues with stu-
earth and the myriad things, with great sensitivity:
dents, scholarly letters to friends, and several short essays.
That the great man can regard Heaven, Earth, and the
SEE ALSO Confucianism; Li; Lu Xiangshan; Mengzi; Zhu
myriad things as one body is not because he deliberately
Xi.
wants to be so, but because it is natural to the humane
nature of his mind that he do so. Forming one body
BIBLIOGRAPHY
with Heaven, Earth, and the myriad things is not only
Wang Yangming’s collected works can be found in his Yangming
true of the great man. Even the mind of the small man
quanshu, Sibu Beiyao edition. Useful interpretive studies in-
is no different. Only he himself makes it small. (Chan,
clude the following:
1969, p. 659)
Araki Kengo, et al., comps. Yomeigaku taikei. 12 vols. Tokyo,
Wang uses a descending scale of human sensitivity to depict
1971–1973.
the ordinary human responses to a variety of situations that
Chan, Wing-tsit, trans. Instructions for Practicial Living and Other
easily evoke sympathetic feelings in us: encountering a child
Neo-Confucian Writings by Wang Yang-ming. New York,
about to fall into a well, hearing pitiful cries and encounter-
1963.
ing frightened birds and animals, seeing plants broken and
Chan, Wing-tsit. A Source Book in Chinese Philosophy. Princeton,
destroyed, seeing tiles and stones shattered and crushed. The
1969. See pages 654–691.
feelings of alarm, commiseration, pity, and regret aroused in
Ching, Julia. To Acquire Wisdom: The Way of Wang Yang-ming.
us vary in their emotional intensity, but indicate that fellow
New York, 1976.
human beings, animals, plants, and stones all form one body
Okada Takehiko. Oyomei to minmatsu no jugaku. Tokyo, 1970.
in our primordial awareness.
Shimada Kenji. Shushigaku to Yomeigaku. Tokyo, 1967.
This seemingly romantic assertion of the unity of all
Tu Wei-ming, Neo-Confucian Thought in Action: Wang Yang-
things is actually predicated on an ontological vision rooted
ming’s Youth. Berkeley, 1976.
in classical Confucian humanism. What Wang advocated
New Sources
was a representation of the Mencian thesis that if we fully
Cua, A.S. “Between Commitment and Realization: Wang Yang-
realize the sprouts (duan) of humanity in our minds and
ming’s Vision of the Universe as a Moral Community.” Phi-
hearts, we can experientially understand our human nature;
losophy East and West 43:4 (1993): 611–647.
if we understand our nature, then we know Heaven. Know-
Geaney, Jane. “Chinese Cosmology and Recent Studies in Confu-
ing Heaven, in the perspective of Wang’s Inquiry on the
cian Ethics: A Review Essay.” Journal of Religious Ethics 28:3
Great Learning, is to regard Heaven, earth, and the myriad
(2000): 451–470.
things as one body, the world as one family, and the country
Hauf, Kandice. “‘Goodness Unbound’: Wang Yangming and the
as one person.
Redrawing of the Boundary of Confucianism.” In Imagining
Boundaries: Changing Confucian Doctrines, Texts, and Herme-
Yet this explicit emphasis on commonality and commu-
neutics, edited by Kai-wing Chow, On-cho Ng, and John B.
nality was not abstract universalism. On the contrary, a
Henderson, pp. 121–146. Albany, 1999.
major contribution of Wang’s philosophy is its subtle appre-
Ivanhoe, Philip J. Ethics in the Confucian Tradition: The Thought
ciation of concrete personal experience in moral self-
of Mencius and Wang Yangming. Atlanta, 1990.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9676
WANG ZHE
Kim, Youngmin. “Redefining the Self’s Relation to the World: A
especially the Zhongyang quanzhen ji and the Zhongyang jiao-
Study of mid-Ming neo-Confucian Discourse (China).”
hua ji, are highly regarded.
Ph.D. diss., Harvard University, 2002.
Liu, Shu-Hsien. “On the Final Views of Wang Yangming.” Jour-
SEE ALSO Daoism, article on the Daoist Religious Com-
nal of Chinese Philosophy 25:3 (1998): 345–360.
munity.
TU WEI-MING (1987)
BIBLIOGRAPHY
Revised Bibliography
Chen Yuan. Nan Song chu Hebei xin daojiao kao. Beijing, 1958.
Kubo Noritada. Chugoku no shukyo kaikaku. Tokyo, 1967.
Kubo Noritada. Dokyoshi. Tokyo, 1977.
WANG ZHE (1112–1170), also known by his clerical
New Sources
name, Zhongyangzi; Daoist master of the Jin period (1115–
Sharma, A., and H. G. Cox. Our Religions. San Francisco, Calif.,
1234) and founder of the Quanzhen sect. The third son of
1993.
a great landowner in Xianyang, Shaanxi province, Wang re-
KUBO NORITADA (1987)
ceived a Confucian education and entered the district school
Translated from Japanese by James C. Dobbins
in Xianyang at the age of twenty. Following a disagreement
Revised Bibliography
with his teacher, however, Wang was denied permission to
sit for the civil service examination and had to settle for suc-
cess in the less prestigious military examination. Although at
WAQF. The Arabic term waqf (pl. awqa¯f) denotes in Is-
first enthusiastic about a career in the military, Wang grew
lamic law the act of founding an endowment, the endow-
discouraged by his failure to advance in rank and resolved
ment itself, and also the endowment institution. A synonym,
to abandon the military for a life of seclusion on Mount
mainly used by Ma¯lik¯ı jurists, and hence in North Africa,
Zhongnan. He practiced Buddhism for a time, but in the
is h:abs, h:ubs, h:ubu¯s, h:ab¯ıs (pl. ah:ba¯s). The literal meaning
sixth month of 1159 he received secret oral teachings from
of both roots is “stop,” “block,” or “suspend.” In the context
Lü Chunyang and Zhong Liquan. Thereafter, he converted
of the endowment institution, these terms refer to the legal
to Daoism and was ordained a priest (daoshi).
situation of the property (al- Eayn), which by the act of en-
dowing is blocked from taking part in any commercial trans-
Accounts of Wang’s career as a Daoist emphasize the as-
action, while its yields (al-manfa Eah) are devoted to charita-
cetic character of his practice. On one occasion he is said to
ble purposes.
have slept on ice; at another time he dug a hole two meters
deep in which to meditate, naming this austere cell “the
The waqf is conceived of as a continuous, voluntary
grave of a living corpse.” In 1163 he filled in this hole and
charity for the sake of Alla¯h and his religion. The founding
built a small hermitage in the village of Liujiang, where he
of endowments is highly recommended to believers, and they
began to proselytize his newly attained religious faith. These
are promised rewards for their meritorious acts in the here-
efforts won him few converts at first, however, for he was re-
after.
garded as little more than a madman. In 1167 he burned the
For a long time, studies of the Islamic endowment insti-
hermitage and journeyed alone to Shandong province, where
tution centered on its legal aspects. In the last few decades
Ma Danyang of Ninghai became his disciple. Thereafter, in
of the twentieth century, a large number of scholars turned
contrast to his experience in the Shaanxi region, many poten-
their attention to economic, social, political, and cultural as-
tial disciples came forward. Of these, Wang chose six to re-
pects of the waqf. Discrete studies revealed the true dimen-
ceive his transmission. With Ma Danyang they were called
sions of the institution, its actual working, ways in which the
the Seven Perfected Ones of Quanzhen Daoism. Wang was
letter of waqf laws was made to coexist with the requirements
successful in organizing five Daoist societies in the northern
of real life, the broad spectrum of purposes financed by en-
coastal area of Shandong. These include the Sanjiao Jinlian
dowments, and their impact on the public sphere and on the
Hui (Golden Lotus Society of the Three Teachings) and the
discourse between rulers and society. A great deal of tradi-
Sanzhai Pingdeng Hui (Equality Society of the Three Teach-
tional wisdom concerning the waqf was questioned, and dif-
ings). Following his success in Shandong, he decided to re-
ferentiation was introduced into general statements tradi-
turn to his home in Shaanxi. He set out with Ma Danying
tionally accepted and repeated over and over again.
and four other disciples but died en route at Kaifeng in
Moreover, new insights were gained on a variety of other
Henan province.
subjects, such as gender relations, urban studies, and many
The Quanzhen school drew upon Confucianism, Dao-
economic, social, and cultural aspects of the regions studied.
ism, and Buddhism, the so-called Three Teachings, for its
A true picture thus emerged of the central importance of the
doctrine and practice. With a strong affinity for Chan prac-
endowment institution as a means for financing Islam as a
tices, it emphasized meditation, clerical itinerancy, and non-
society and as an integrative institution of the community
reliance on the scriptures. The teachings of this school are
of believers (the ummah) in the premodern era.
summarized in Wang’s Lijiao shiwu lun. Wang Zhe was also
The origins of the endowment institution are traced tra-
an accomplished poet. Even today his anthologized poetry,
ditionally to early h:ad¯ıths (traditions deriving from the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WAQF
9677
Prophet and his companions). The rules governing endow-
vices, municipal services, colonization, urbanization, and
ments were elaborated in the course of the eighth and ninth
economic infrastructure. The scope of voluntary charity in
centuries. Modern research points to either the Byzantine
Islam, the purposes it served, and its importance in the pub-
piae causae, ancient Arabic customs, or pre-Islamic Iranian
lic sphere thus reached proportions beyond what was com-
law as the main inspirations or influences on the legal form
mon in other civilizations.
of the waqf.
Non-Muslims living under Muslim rule (ahl al-
Waqf law is an integral part of the shar¯ı Eah (the sacred
dhimmah) could and actually did found waqfs. Their benefi-
law). Application of the law, and difficulties and conflicts
ciaries had, however, to qualify as qurbah according to both
arising from it, have thus been handled by the Eulama¯D (the
Islam and the founder’s religion. An endowment by a non-
shar¯ı Eah specialists), who alone were qualified to interpret
Muslim in favor of his offspring, of the poor of his religious
the laws. The law covers every aspect of the waqf and differs
community, the poor of his church, synagogue, or neighbor-
in detail according to the schools of law and even within one
hood, or the poor in general, was valid under these rules. En-
school. Major elements of the law concern the beneficiaries
dowments by a non-Muslim to benefit a mosque or in favor
of endowments, their administration, and the type of proper-
of a synagogue, a church, priests, or monks were invalid.
ty that may be constituted as waqf and its legal status.
Ways were found, however, to circumvent these limitations
An endowment enters into effect immediately upon its
so that non-Muslim religious establishments could benefit
foundation (unless it is a testamentary waqf). It is considered
from endowments.
irrevocable by most jurists and must be perpetual. A valid
Charity, piety, and the hope for recompense in the
purpose for the benefit of which the proceeds of an asset can
world beyond were the ideological motivations for founding
be endowed is defined as qurbah; that is, anything likely to
endowments. Several, more practical reasons are mentioned
bring the founder nearer to God. This very broad definition
in the literature to explain the proliferation of endowments
includes contributions toward the general welfare of the
in the Muslim world. Political reasons, such as enhancing
community of believers, as well as care for the family or other
their prestige and securing local support, followers, or clients,
individuals. The founder of an endowment is thus allowed
were found to have been at the root of endowments by rulers,
almost complete freedom to determine its beneficiaries. The
governors, high officials, and local notables. Circumvention
founder can designate a general charity of his or her choice
of the inheritance laws was a major motive for establishing
as immediate beneficiary of the endowment. The waqf would
waqfs, particularly, though not exclusively, among the com-
then be referred to as waqf khayr¯ı (charitable endowment).
mon people. Islamic inheritance law divides the estate among
Alternatively, the founder can designate a succession of bene-
a very large number of heirs. Disposition by testament is lim-
ficiaries, the primary and intermediary of whom are either
ited to one-third of the estate and may not be made in favor
specific members of the founder’s family or other individu-
of a legal heir. Testamentary endowments had to follow these
als, male or female. The endowment would then be de-
rules. Regular waqfs, that is, endowments that enter into ef-
scribed as waqf ahl¯ı or dhurr¯ı (family waqf). However, fami-
fect immediately on their pronouncement, put no restric-
lies are not conceived of as permanent. Since no endowment
tions on the founder as far as the beneficiaries or their shares
is valid unless it is perpetual by nature, the founder has to
are concerned. The natural inclination to determine who will
name, as ultimate beneficiary, at the end of the chain of fami-
inherit one’s property could, thus, be satisfied. Moreover, ac-
ly members, the poor or a general charity (khayr¯ı) of an
cording to Abu¯ Yu¯suf—one of the founders of the H:anaf¯ı
equally permanent character. A third kind of endowments—
school of law, whose rulings have been widely followed—
waqf mushtarak—consists of a combination of ahl¯ı and
founders can name themselves as first beneficiaries of their
khayr¯ı elements.
endowments, and thus enjoy the income from the property
Endowments soon became by far the most popular form
as long as they live. This regulation prompted people belong-
of voluntary charity in Islam. They were made by all strata
ing to the Mal¯ık¯ı school of law, particularly in Algeria and
of the population—rulers, high officials, men and women,
Tunisia under Ottoman rule, to establish their endowments
rich people as well as people of modest means. Endowed as-
with a H:anaf¯ı qa¯d:¯ı and according to Abu¯ Yu¯suf’s ruling.
sets covered considerable proportions of all kinds of proper-
Moreover, contrary to inheritance, the endowment kept the
ties in every Muslim town, as well as vast agricultural areas.
property intact, dividing among the beneficiaries the income
They included large as well as modest properties. Endow-
thereof only. It could thus secure a regular income to the
ments benefited individuals and groups, such as family mem-
founder’s descendants in generations to come. Modern re-
bers, freed slaves, and other individual Muslims, members
search put differentiation into some of the traditional,
of professional guilds, inhabitants of specific neighborhoods,
sweeping arguments, which listed the protection of property
groups of common origin, the poor in general, or the poor
from confiscation or exemption of endowments from taxes
belonging to a specific social groups, even groups of animals.
as motivations for founding waqfs. Endowments were shown
They were also the principal vehicle for financing public ser-
not to have been immune from confiscations. They were, in
vices, political and economic interests, including the reli-
fact, subject to taxation, unless special exemption was grant-
gious cult, education and learning, welfare and health ser-
ed by the authorities.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9678
WAQF
Founders of endowments are free to appoint a succes-
years for rural ones. In time, two main ways were, however,
sion of administrators (na¯z:ir, mutawall¯ı, qayyim) to their
devised by jurists in order to overcome economic problems
waqfs. The first administrators are frequently the founders
arising from the rule of inalienability: long-term or perpetual
themselves (according to the Mal¯ık¯ıs this invalidates the en-
leases (differing in some details and known by different
dowment). When no administrator is provided by the
names in various parts of the Islamic world; for example,
founder, the qa¯d:¯ı appoints one. The necessary qualifications
h:ikr, Eana¯D, ija¯ratayn, khulu¯ or murs:a¯d, inza¯l, jalsah) and ex-
of administrators, the limits of their freedom of action, and
changes (istibda¯l, mu Ea¯wad:ah) of endowed assets. (The
the circumstances in which they can be dismissed are all laid
Sha¯fiE¯ı and the Sh¯ıE¯ı schools do not allow istibda¯l; in the
down in the law. Administrators are entitled to about 10 per-
other schools, conditions governing exchanges vary slightly.)
cent of the income from the endowment under their control.
These transactions were allowed only in very exceptional cir-
They are responsible for the maintenance of the property,
cumstances, when the property was dilapidated and there
renting it out, and distributing the proceeds among the bene-
was no other way for the waqf to secure income from the
ficiaries according to the provisions laid down by the founder
asset. Each such case had to come before the qa¯d:¯ı, who, be-
in the endowment deed (waqf¯ıyyah). Major institutions fi-
fore approving the proposed transaction, examined all ele-
nanced by endowments, such as those benefiting large
ments of the contract and made sure it was in the best inter-
mosques, soup kitchens, or the poor of the holy places of
est of the waqf.
Islam, were, however, handled differently. All endowments
whose beneficiary was one of these institutions were lumped
For a long time, criticism of the endowment institution,
together to form the patrimony of that particular institution.
by both Muslim and Western writers, focused on the admin-
The political authorities usually had either direct or indirect
istration of public waqfs, its inefficiency, neglect of the en-
say in the appointment of their administrators and hence also
dowed properties, and particularly on abusive practices on
in some matters concerning their management and the distri-
the part of administrators, rulers, and governors, who fre-
bution of their income. Administrators of family and public
quently enlisted in their manipulations the assistance of cor-
waqfs acted under the qa¯d:¯ı’s supervision, who alone was en-
rupt qa¯d:¯ıs. Allowing for the proliferation of long-term or
titled to approve extraordinary transactions. Qa¯d:¯ıs in the Ot-
perpetual leases and exchanges of good and undamaged
toman Empire were assigned specific duties concerning pub-
properties came under particularly heavy fire. Indeed, mod-
lic foundations: they audited the administrators’ financial
ern studies have documented the dismemberment of waqfs
statements, assisted in preparatory works preceding major re-
as a result of such corruptive practices. However, other dis-
pair and maintenance works on waqf properties, and kept a
crete studies have shown that inefficiency, neglect, and em-
watchful eye on the administrators appointed by the Otto-
bezzlement were neither inherent to the system, nor necessar-
man center.
ily the rule. Instances were documented attesting to careful
and dynamic management of public endowments, rational
Basically, only immovable property of a permanent,
use of their funds, and the introduction of policies that, by
eternal nature that yields a usufruct (manfa Eah) can be en-
means of a flexible interpretation of waqf laws, catered to the
dowed. There are, however, some exceptions, such as horses
economic and social needs of the population and at the same
and weapons for holy war; movables that follow endowed
time secured the interests of the waqf.
property (trees, slaves, animals, agricultural tools), books,
various utensils, and m¯ır¯ı land in the Ottoman Empire,
In the course of the nineteenth century, institutional re-
whose ownership (raqabah) belonged to the state (these en-
forms were introduced in both the Ottoman Empire and
dowments were called waqf ghayr s:ah:¯ıh:). The most notable
Egypt with a view to concentrating endowments under gov-
exception are cash waqfs (waqf al-nuqu¯d), which were wide-
ernmental supervision. An important by-product of these re-
spread, particularly in the core lands of the Ottoman Empire.
forms was the publication of semi official codifications of
waqf laws. Attempts were made under protectorate and man-
Among classical jurists, opinions differ as to the owner-
datory rule to further improve the management of waqf
ship of the endowed property. Many jurists hold that upon
properties. Much more radical steps were taken by colonial
endowing the asset, ownership is transferred to God. Others
regimes, for instance the French in colonial Algeria. With the
claim that it is transferred to the beneficiaries or remains with
establishment of modern states in the Middle East, and par-
the founder; neither, however, has actual rights of disposal.
ticularly after the overthrow of monarchical regimes in some
All jurists agree that once the property is endowed it becomes
of these states, public criticism of the waqf increased. It now
inalienable and is thus withdrawn from any commercial
centered around the most basic characteristics of the institu-
transaction. It cannot be sold, mortgaged, or the like. More-
tion and their incompatibility with economic development,
over, no long-term or permanent leases are allowed in princi-
budgetary policy of a modern state, and the social and politi-
ple, for fear that they would eventually lead to the loss of the
cal objectives of the new regimes. Consequently, reforms in
asset to the waqf. Administrators of endowed property were
waqf law were undertaken, particularly in the course of the
thus left with one option only for engendering profit from
second half of the twentieth century. Administration of en-
assets under their control—letting them for a short period,
dowed property was concentrated under special governmen-
usually limited to one year for urban properties and three
tal ministries. In some countries (e.g., Turkey, Egypt, Syria,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WAR AND WARRIORS: AN OVERVIEW
9679
and Iraq) reforms amounted to the nationalization of public
of violence—it involves destructive action, even on a massive
waqf properties, the total or partial abolition of family en-
scale. Being a complex phenomenon, war has multiple di-
dowments, and, in some cases, prohibition of their establish-
mensions that are deeply interrelated, chief among them
ment in the future. Former waqf lands were distributed as
being economic, ideological, and social factors.
part of agrarian reforms. Various, less radical reforms in the
Of these, perhaps the most obvious and important (at
law pertaining to endowments were introduced in other
least according to the majority of modern analysts) are the
countries (e.g., Kuwait, the United Arab Emirates, and
economic factors that precipitate war, war being the most ex-
Yemen).
treme form of competition for chronically scarce resources,
S
such as women, territory, movable wealth (including live-
EE ALSO Islamic Law, article on Personal Law.
stock), and/or the labor power of subjugated populations.
B
One must note, however, that scarce and valued resources
IBLIOGRAPHY
Semi official codifications of the H:anaf¯ı waqf law are:
are not exclusively of a material nature, prestige being a cru-
Muh:ammad Qadr¯ı Pa¯sha¯, Kita¯b Qa¯nu¯n al- EAdl wa-al-Ins:a¯f
cially important example of a nonmaterial resource that is
lil-Qad:a¯ D Eala¯ Mushkila¯t al-Awqa¯f, 3d ed. (Bulaq, Egypt,
highly desired and that figures prominently in warfare. It is
1902); and Ömer Hilmi, A Gift to Posterity on the Laws of
possible, in fact, to speak of a prestige economy that exists
Evqaf, translated by C. R. Tyser and D. G. Demetriades, 2d
not only side by side but intimately interwoven with the ma-
ed. (Nicosia, Cyprus, 1922). A good introduction to broader
terial economy of any given people, and warfare provides a
knowledge on the subject, including an extensive bibliogra-
convenient means of reaping rewards in both. Thus, for in-
phy, can be found in R. Peters et al., “Wak:f,” in The Encyclo-
stance, success in raiding was requisite for a Crow warrior to
paedia of Islam, new edition, vol. 11, pp. 59–99 (Leiden,
advance his position, for this provided him first with
2000). A detailed bibliography on the subject can also be
found in Miriam Hoexter, “Waqf Studies in the Twentieth
goods—above all, horses—that not only enriched him but
Century: The State of the Art,” Journal of the Economic and
also could be used to place others in his debt through a pro-
Social History of the Orient 41, no. 4 (1998): 474–495. Spe-
cess of redistribution. Further, raiding furnished the success-
cial issues of the following journals are dedicated to the waqf
ful warrior with a set of heroic deeds of which he could boast
and include a number of important studies on the subject:
on regular, formalized occasions, thereby further elevating
Journal of the Economic and Social History of the Orient 38,
his standing in the group. Success in battle also opened up
no. 3 (1995); and Islamic Law and Society 4, no. 3 (1997).
religious prerogatives for him, insofar as many important and
Edited volumes comprising essays on the waqf are: Le waqf
prestigious ritual roles were reserved for those who had ac-
dans l’espace islamique: Outil de pouvoir socio-politique, edited
complished specific, highly regarded feats of war, such as
by Randi Deguilhem (Damascus, 1995); and, with emphasis
touching coup, winning horses, killing an enemy, or leading
on the modern period, Le waqf dans le monde musulman con-
a successful raiding expedition.
temporain (XIXe–XXe siècles): Fonctions sociales, économiques,
et politiques, edited by Faruk Bilici (Istanbul, 1994). For the
Indeed, accomplishments in battle provide a common
role of waqf in the public sphere, see The Public Sphere in
means, in many cultures and periods in history, whereby in-
Muslim Societies, edited by Miriam Hoexter, Shmuel N.
dividuals can seek to elevate not only their own individual
Eisenstadt, and Nehemia Levtzion (Albany, N.Y., 2000),
prestige above that of their peers but also that of their group
particularly the following articles: Haim Gerber, “The Public
above others (conquered rivals, as well as those who remain
Sphere and Civil Society in the Ottoman Empire,”
pp. 65–82, and Miriam Hoexter, “The Waqf and the Public
outside the fray). Thus, for instance, among the Jalé-
Sphere,” pp. 119–138. On the contribution of the waqf to-
speaking peoples of highland New Guinea, the performance
ward alleviating poverty, see several articles in Poverty and
of stereotyped, formulaic songs is a prominent part of every
Charity in Middle Eastern Contexts, edited by Michael Bon-
public celebration. These songs, which preserve the memory
ner, Mine Ener, and Amy Singer (Albany, N.Y., 2003).
of past warfare, are a crucial element in the local prestige
economy as well as a stimulus to further conflicts, for they
MIRIAM HOEXTER (2005)
celebrate the glory of the group that sings them, while also
heaping derision upon their foes:
WAR AND WARRIORS
The man Wempa will never eat again,
This entry consists of the following articles:
nor will Alavóm ever eat again.
AN OVERVIEW
But we live to see the sweet potatoes roast,
INDO-EUROPEAN BELIEFS AND PRACTICES
The sweet potatoes from Wongele and Tukui (Koch,
1974, p. 85)
WAR AND WARRIORS: AN OVERVIEW
One may observe similar processes in the well-wrought poet-
For the purposes of this article, war may be defined as orga-
ry of praise for successful warriors and blame for those who
nized and coherent violence conducted between established
are less than successful (e.g., Hector’s rebukes of Paris),
and internally cohesive rival groups. In contrast to numerous
which figures prominently in the Homeric epic. Moreover,
other modes of violence, it is neither individual, spontane-
the heroes depicted there are presented as acutely self-
ous, random, nor irrational, however much—like all varieties
conscious with regard to issues of prestige, as is evident, for
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9680
WAR AND WARRIORS: AN OVERVIEW
example, in Sarpedon’s speech just prior to the Trojan assault
majority of warriors over the course of history) wherein they
on the Greek camp, an assault that leads to his death. Here
stand to reap quite little in the way of personal gain—
is related a description of a warrior, himself the son of Zeus,
material or immaterial—from even the greatest of military
weighing the relative value of the material and nonmaterial
successes.
rewards of combat and setting greatest stock on the winning
It is in this fashion that religion has played a most im-
of a prominent and enduring reputation. In the last analysis,
portant role in war throughout history, and the examples of
the pursuit of such a reputation—elsewhere called “undying
religious justifications that have been used to legitimate even
fame” (kleos aphthitos)—becomes nothing less than a quest
the most tawdry of struggles are legion. Among these must
for immortality, although, ironically, it is a quest that regu-
be noted calls to convert the heathen (as in the Christian
larly costs the quester his life. Among the most interesting
Crusades and more recent European wars of colonial expan-
aspects of this passage, however, is the absence of any tension
sion); promises of a favorable afterlife for warriors who die
or contradiction between the warrior’s pursuit of material
in battle (as within Islam, Shinto¯, or among the ancient
gain (booty, also land and privileged banquet portions) and
Aztec, Germans, and others); and ethical dualisms whereby
his pursuit of glory. On the contrary, one sees an effective
warfare is cast as an unremitting struggle between good and
coalescence of the material and the prestige economy, en-
evil (as in ancient Iran or the modern United States).
compassed within an ideology and a poetics that decidedly
emphasize the latter:
Among the most contemporary students of war, ideo-
logical factors are generally viewed as subordinate or epiphe-
Glaukos, why is it you and I are honoured before others
nomenal to material ones, religious and other forms of legiti-
with pride of place, the choice meats and the filled wine
mation being understood as the convenient or even necessary
cups
means that serve to mask or mystify the acquisitive competi-
in Lykia, and all men look on us as if we were immortals,
tion that is the primary motivation for armed conflict. Oth-
and we are appointed a great piece of land by the banks
of Xanthos,
ers, however, have challenged this view, particularly with re-
good land, orchard and vineyard, and ploughland for the
gard to warfare in the ancient and preindustrial world, where
planting of wheat?
(in their view) religious motivations played a much more
Therefore it is our duty in the forefront of the Lykians to
powerful and directly causal role. A favorite example cited
take our stand, and bear our part of the blazing of
by adherents of this position is the case of Aztec warfare,
battle,
which they claim was pursued above all else to obtain the vic-
so that a man of the close-armoured Lykians may say of
tims necessary for the performance of human sacrifice, the
us:
central ritual act of the Aztec empire. Such a line of analysis,
Indeed, these are no ignoble men who are lords of Lykia,
however, has been rendered untenable by the most recent
these kings of ours, who feed upon the fat sheep
studies of Aztec sacrifice, which reveal it to have been not an
appointed
act of transcendent religiosity performed for its own sake and
and drink the exquisite sweet wine, since indeed there is
at any cost but, as John Ingham has cogently argued, an ex-
strength of
pression and an instrument of the same drives for wealth,
valour in them, since they fight in the forefront of the
power, and prestige that prompted Aztec warfare and imperi-
Lykians.
al expansion in general. In Ingham’s words:
Man, supposing you and I, escaping this battle
would be able to live on forever, ageless, immortal,
Whatever else it may have been, human sacrifice was a
so neither would I myself go on fighting in the foremost
symbolic expression of political domination and eco-
nor would I urge you into the fighting where men win
nomic appropriation and, at the same time, a means to
glory.
their social production. . . . The sacrificing of slaves
But now, seeing that the spirits of death stand close about
and war captives and the offering of their hearts and
us
blood to the sun thus encoded the essential character of
in their thousands, no man can turn aside nor escape
social hierarchy and imperial order and provided a suit-
them,
able instrument for intimidating and punishing insub-
ordination. (Ingham, 1984, p. 379)
let us go on and win glory for ourselves, or yield it to
others. (Homer, Iliad, trans. Lattimore)
In this case, then, and others like it, one must conclude that,
far from having been the ultimate cause of war, religion was
The assignation of prestige to deeds of valor (the etymologi-
intimately bound up with other causal factors more familiar
cal connections between valor, valiance, and value are signifi-
to the world of Realpolitik.
cant, as are those between virtue and virility) is but one
means whereby ideological factors influence warfare, albeit
Beyond the material and ideological factors, there are
a tremendously important one. No less important is the way
also powerful social factors that must be taken into account.
in which other ideological constructs supply the means nec-
Briefly, two social conditions are necessary for the occurrence
essary to persuade individuals to join in combat, providing
of war, given the definition proposed above (“organized and
them with motivation sufficiently great that they are willing
coherent violence conducted between established and inter-
to risk their lives, even in situations (as is true for the vast
nally cohesive rival groups”). First, a given group of individu-
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WAR AND WARRIORS: AN OVERVIEW
9681
als must understand themselves as a group; that is, they must
meaning of their name) and all others “lesser subhuman be-
be bound together in some abiding fashion by sentiments,
ings” (nabä) but carry the process still further: Members of
traditions, kinship ties, institutions, residence patterns, lan-
one Yanoama village habitually accentuate the minor differ-
guage, and the like. Second, they must understand members
ences of dialect (or the like) that separate them from residents
of some other group (“the enemy”) as radically alien to them,
of other villages, then they deride the others for being less
outsiders to whom they are not connected and with reference
than fully Yanoama, which is to say, somewhat subhuman.
to whom they need not refrain from violence. As the Jalé put
Relations between Yanoama villages are always tense, partly
it in a striking proverb: “People whose face is known should
as a result of this pattern of marking social borders and partly
not be eaten.” Moreover, prior to the outbreak of hostilities
as a result of pronounced competition over women, for it is
or at the very least shortly thereafter, this same set of condi-
the goal of all Yanoama males to retain the women of their
tions—internal solidarity coupled with external alienation
village while obtaining those of other villages through mar-
and hostility—will prevail on the other side as well.
riage or war. The central value of Yanoama life is waiteri
(“fierceness”). To survive in this fiercely competitive atmo-
In short, warriors must be persuaded not only to risk
sphere, a village must ally itself with others to resist the ag-
their own lives but also to take the lives of others, and not
gression of still others. As a means of overcoming the suspi-
merely random others but those whose otherness is most rad-
cions that normally prevail between villages, allies seek to
ically marked. Involving organized and relatively large-scale
bind themselves to one another through trade, marital ex-
lethal violence as it does, warfare always poses serious ethical
changes, and reciprocal feasting, but the process is never a
problems within the already thorny set of issues surrounding
simple one. To form an alliance is to signal weakness, and
homicide. As a starting point, it must be noted that humans
allies, sensing this weakness, press ever-increasing demands
kill one another for many reasons and under many sets of
for women as a condition for the alliance’s continuation. Al-
circumstances, and all groups possess certain norms regulat-
liances thus often end in enmity, in warfare, or in an act that
ing how such killings are to be regarded and judged. Some-
the Yanoama view as the ultimate form of fierceness and vio-
times they are defined as murder (i. e., illicit homicide); in
lence, being a parody and an inversion of the fragile festivals
other instances they are not, for there are conditions under
of intervillage solidarity: that is, a treacherous feast in which
which the taking of a life is legally, morally, culturally, and/
the male guests are all slaughtered and their women taken.
or religiously sanctioned or even (this is particularly relevant
to the case of war) celebrated.
Again, with regard to the radical nature of social bound-
aries in situations of conflict and war, one may note the case
A fundamental concern in such adjudications, and one
of the Anggor in western New Guinea. As Peter Birkett
infinitely more complex and malleable than is ordinarily ac-
Huber reports, each Anggor village “can be considered a cos-
knowledged, is the question of whether the victim(s) or
mos in itself, an autonomous and essentially harmonious
would-be victim(s) of a given homicide are truly human. In
moral system confronted by a uniformly hostile, dangerous,
any number of instances (e.g., infants, slaves, prisoners, out-
and chaotic outside world. Violence between these villages
laws, heretics and other social deviants, the aged and infirm,
is consequently not a form of policy or a distinct kind of po-
etc.), an individual may conveniently be defined by the killer
litical situation, but an inescapable feature of man’s existen-
(and the community that passes judgment upon the killing)
tial condition” (in Nettleship, Givens, and Nettleship, 1975,
as something less than human: a “monster,” a “beast,” a “veg-
p. 620). Most violence perpetrated by residents of one Ang-
etable,” and so forth. Patterns of verbal abuse, in fact, where-
gor village on those of another takes the form of sorcery, but
by such persons are referred to as animals, rotting matter
revenge expeditions are ultimately organized and battles
(“garbage,” “trash”), and the like, regularly accompany and
ensue in which Anggor warriors venture out from their
assist the lethal redefinitions whereby it is established that ef-
homes to confront chaos itself and, by means of this confron-
fecting the death of such an individual is a permissable or
tation, reassert the solidarity of their group and the order of
even a worthy act.
their cosmos by inflicting retaliatory deaths on their enemies
Nor is it only individuals who may be defined as some-
outside.
how less than human and thus freely killable. On the con-
Although these are somewhat extreme cases, they are by
trary, social borders are regularly constructed and maintained
no means unique, and all warfare involves sociopolitical sus-
such that entire groups of others (“aliens” in the fullest sense
pensions of the ethical, whereby the otherness of the enemy
of the word) are regarded thus by their neighbors and ene-
is radically accentuated, a situation that permits and legiti-
mies. Such a state of affairs is evidenced, for example, in the
mates their victimization. War is, in truth, that situation in
frequent occurrence of self-referential ethnonyms by which
which the killing of other people on a grand (or even total)
a given people denote themselves as “humans,” implicitly
scale is rendered not only licit but requisite, even glorious,
(and in many instances, explicitly) relegating all others to the
by virtue of the fact that they belong to a rival group to
category of nonhumans—nonhumans who may, moreover,
whom ethical norms do not extend, the enemy having been
be freely killed as the occasion arises.
effectively defined as subhuman or even nonhuman.
An instructive case is that of the Yanoama of the Ama-
Yet another example of these principles is found in the
zon Basin, who not only call themselves “humanity” (the
shields that form a crucial part of a warrior’s equipment
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WAR AND WARRIORS: AN OVERVIEW
among the several Dayak peoples of Borneo. In general,
Deaths Suffered Deaths Inflicted
shields function not only as an important implement of de-
:
fense in warfare prior to the introduction of gunpowder but
must be avenged constitute revenge
also as a movable social border that separates one’s self, one’s
Killings illicit: Killings licit or even requisite
group, and that territory in which one feels some measure
of security from the enemy. In an advance, shields mark the
In light of such observations as this, this writer is inclined
incorporation of conquered territory, booty, and prisoners
to propose certain revisions to a classic text of Simone Weil,
into one’s own group; in retreat, they mark the group’s con-
her justly celebrated meditations on “The Iliad, or The Poem
traction, as land, stragglers, and the fallen are left outside. In
of Force,” written in 1940, shortly after the fall of France to
the classic warfare of the Zulu, for instance, and in other
Nazi arms and also after her own combat experience during
powerful kingdoms of southern Africa, rival armies assumed
the Spanish Civil War. In this essay, reflecting on death in
formation in lines opposite to one another, each warrior
battle, particularly as described in this epic, Weil came to de-
holding a five-foot rawhide shield in front of him with his
fine force as “that x that turns anybody who is subjected to
left arm. Standing behind this row of shields, the opponents
it into a thing,” going on to observe, “excercised to the limit,
exchanged insults with one another, verbal combat (in the
it turns man into a thing in the most literal sense: it makes
forms I have discussed) preceding physical. Thereafter, the
a corpse out of him. Somebody was here, and the next min-
regiments closed, and each one tried to break through
ute there is nobody at all; this is a spectacle the Iliad never
the enemy’s walls of shields. Finally, when an army felt itself
wearies of showing us” (Weil, 1983). To be sure, there is a
defeated, its members dropped their shields in token of sur-
power and a grandeur in so stark a formulation, yet, given
render, whereupon the battle would cease. What was signi-
what has been outlined above, particularly regarding the na-
fied in this action was that the vanquished group renounced
ture of social borders in warfare and those patterns of dehu-
the social borders that they had previously maintained, there-
manization whereby an enemy is defined as subhuman, non-
by relinquishing their independence and accepting incorpo-
human, and/or monstrous, one must reject the idea that it
ration as a subjugated part of the victors’ polity.
is force itself, acting as some sort of quasi-personified agent,
that “turns a man into a thing.” Rather, the process is quite
Dayak shields are used in similar fashion and bear simi-
the reverse, and one can say with more justice and precision,
lar significance but are remarkable for the iconographic con-
pace Weil, that it is only when human actors come to regard
tent of the designs painted and carved upon them. Most
others as “things” that they become capable of employing
noteworthy is the bifurcation of design, for on the inside of
force, particularly lethal force, against them. Force here only
most Dayak shields—that is, the side facing toward the bear-
completes that process of “turning into a thing” that begins
er—is the image of two protective ancestral figures; on the
in the sentiments and social patterns of human subjects.
outside is a snarling monster. The import of the ancestors
is not hard to judge; being the founders of the bearer’s social
To return to the Dayak shields, however, there is more
group, they define that group and represent it. Insofar as
that can be said. Thus far, this article has suggested that the
there are others who descend from these same ancestors, the
image of the monster may be taken to represent the enemy,
warrior has comrades who will take up arms together with
as seen through the dehumanizing gaze of the warrior. Such
him to defend their group against outsiders (i. e., those de-
an interpretation, moreover, is consistent with a view of the
scended from other ancestral lines). The group’s sense of
shields as a marker of social borders, for in this instance one
identity and solidarity are thus nothing more than the senti-
may clearly perceive the tenuous nature of such borders,
ments called forth by the image of these ancestors, and it is
something that becomes particularly obvious within the situ-
such sentiments—much more than the wooden shields—
ation of the battle, for it is then quite literally only the thick-
that provide protection and security in battle and beyond.
ness of the shield itself that separates the ancestral (represen-
The monsters on the outer face of Dayak shields are
tation of) community from the monstrous (figure of the)
more difficult to interpret, however, for they are susceptible
outside, safety from danger, self from other. In addition,
to multiple readings. On the one hand, these ferocious fig-
there is significant material evidence to support such a view,
ures, marked most prominently by bulging eyes and exagger-
for in the construction of many Dayak shields the monster
ated fangs, would seem to represent the enemy, particularly
images are rendered more grotesque still by the use of human
when considered in juxtaposition to the ancestral figures. Ac-
hair as ornament: hair taken from the trophy skulls of slain
cordingly, one may posit a series of correlated binary opposi-
enemies. Such enemies, having been viewed as monsters,
tions, the effect of which is to dehumanize the enemy (in
were treated as monsters, and their corpses were used to de-
fashions similar to those discussed above) and thereby render
pict the monsters that they were.
his killing licit:
This datum, however, suggests another line of interpre-
Inside: Outside::
tation that may be advanced regarding the complex and po-
Ancestors: Monsters::
lyphonous image of the monster. For it is obvious that the
Own Group: Enemy::
outer side of any shield is directed toward the enemy, espe-
Protection: Menace::
cially toward one’s immediate adversary in hand-to-hand
Solidarity: Hostility::
battle. Further, it is equally obvious that the intended (and
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WAR AND WARRIORS: INDO-EUROPEAN BELIEFS AND PRACTICES
9683
also, one assumes, quite real) effect of such an image is to
Conflict in Highland New Guinea (Cambridge, Mass., 1974);
intimidate or even terrify opponents, for in its very material
Andrew P. Vayda’s War in Ecological Perspective (New York,
substance (the actual hair of fallen victims), this shield an-
1976); and M. J. Meggitt’s Blood Is Their Argument: Warfare
nounces the force, the valor, and also the cruelty of its bearer.
among the Mae Enga Tribesmen of the New Guinea Highlands
It supplies graphic and tangible witness to the fact that he
(Palo Alto, Calif., 1977). Other valuable case studies include
has taken enemy lives in the past and stands ready and able
Peter Birkett Huber’s discussion of the Anggor in War: Its
Causes and Correlates (cited above), pp. 619–661; Napoleon
to do so once more. The shield thus displays the bearer’s face
A. Chagnon’s essay on the Yanoama in War: The Anthropolo-
as seen through the eyes of his opponent or (to put it differ-
gy of Armed Conflict and Aggression (cited above),
ently) the face that he wishes to present to all enemies: for
pp. 109–159; and Fred W. Voget’s “Warfare and the Inte-
he becomes a monster against those whom he regards as
gration of Crow Indian Culture,” in Explorations in Cultural
monstrous, even as they do conversely to him.
Anthropology, edited by Ward H. Goodenough (New York,
Here is reached the final paradox of war and the warrior:
1964), pp. 483–509.
a corollary to the pattern that has been observed whereby one
John Ingham’s study of Aztec sacrifice is found in his “Human
must dehumanize one’s enemies in order to employ force
Sacrifice at Tenochtitlan,” Comparative Studies in Society and
against them. In practice, it appears that a warrior must also
History 26 (1984): 379–400. A brief discussion of the Dayak
dehumanize himself before he can become an instrument of
shields is W. Münsterberger’s “Die Ornamente an Dayak–
Tanzschilden und ihre Beziehung zu Religion und Mytholo-
slaughter, effectively eradicating such human tendencies as
gie,” Cultureel Indië (Leiden) 1 (1939): 337–343. Simone
guilt, fear, and compassion. A well-articulated example of
Weil’s essay “The Iliad, or The Poem of Force,” translated
this is found in the samurai ideal of “no-mind,” this being
by Mary McCarthy, can be found in Revisions: Changing Per-
that psychomental state—cultivated by years of meditation
spectives in Moral Philosophy, edited by Stanley Hauerwas and
and training in martial arts—in which the samurai’s body
Alasdair MacIntyre (Notre Dame, Ind., 1983).
and arms act as if automatically, with no hesitation born of
thought, weakness, or doubt. Elsewhere, warriors frequently
New Sources
Lincoln, Bruce. Death, War, and Sacrifice: Studies in Ideology and
speak of themselves as animals: “lions” or “leopards” (East
Practice. Chicago, 1991.
Africa); “two-footed wolves” (India and Iran); berserkers, of
“those who wear the bear’s shirt” (Scandinavia); or “crazy-
Partner, Peter. God of Battles: Holy Wars of Christianity and Islam.
dogs-wishing-to-die” (Crow), to cite but a few examples. To
Princeton, N.J., 1998.
these data one might add the fact that Yanoama warriors
BRUCE LINCOLN (1987)
march off to battle imitating the noises of a host of carnivo-
Revised Bibliography
rous beasts, from insects on up. The war song of the Yanoa-
ma is also noteworthy as a supreme statement of the warrior’s
auto-dehumanization, being entitled “I am a meat-hungry
WAR AND WARRIORS: INDO-EUROPEAN
buzzard.”
BELIEFS AND PRACTICES
SEE ALSO Human Sacrifice; Martial Arts; Violence.
As Georges Dumézil, the leading contemporary expert on
comparative Indo-European mythology, long ago demon-
BIBLIOGRAPHY
strated, war gods and the ideology that is associated with
Not surprisingly, some of the best attempts at academic analysis
them played an extremely important role in the pantheons
of the nature and ideology of warfare were made at the time
of most, if not all of the early Indo-European-speaking socie-
of the Vietnam War. Among the valuable collections that ap-
ties. To cite several well-attested examples: the ancient Indic
peared during this period, one should note Law and Warfare,
war god Indra, by far the most prominent of the Vedic divin-
edited by Paul Bohannan (Garden City, N. Y., 1967); War:
ities, the ubiquitous Roman god Mars, the Greek war god
The Anthropology of Armed Conflict and Aggression, edited by
Ares, and the Norse god
Morton Fried, Marvin Harris, and Robert Murphy (Garden
City, N. Y., 1968); Problèmes de la guerre en Grèce ancienne,
Þórr (Thor), thunderbolt-wielder par excellence and the
edited by Jean-Pierre Vernant (The Hague, 1968); and War:
most popular of the ancient Scandinavian divinities. More-
Its Causes and Correlates, edited by Martin A. Nettleship, R.
over, heroes and demigods, like Arjuna, Herakles, Siegfried,
Dale Givens, and Anderson Nettleship (The Hague, 1975).
Cú Chulainn, Arthur, and Achilles, all occupied important
A slightly later work, and in a different vein, is The Warrior
positions in their respective traditions. Indeed, like most pas-
Tradition in Modern Africa, edited by Ali A. Mazrui (Leiden,
toral nomads, modern as well as ancient, the ancestors of the
1977). Special attention should also be given to Pier Giorgio
Greeks, Hittites, Aryans, Celts, Germans, and so forth, seem
Solinas’s “Guerra e matrimonio,” in Potere senza stato, edited
by Carla Pasquinelli (Rome, 1986), pp. 21–47.
to have regarded warfare as a fundamental fact of life and to
have held both the war band and its collective representa-
Among the most important case studies are those drawn from
tions in high esteem.
Melanesia, which, given the relatively late date of “pacifica-
tion” there by colonial authorities, provided an extremely in-
THE INDO-EUROPEAN MÄNNERBUND. As Stig Wikander
formative field for gathering data. Here, one ought to note
pointed out (1938), the Männerbund, or war band, was
Klaus Koch’s War and Peace in Jalémo: The Management of
clearly among the most important of ancient Indo-European
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9684
WAR AND WARRIORS: INDO-EUROPEAN BELIEFS AND PRACTICES
social institutions. Examples of this phenomenon are legion,
includes the social and supernatural manifestations of ulti-
from the ks:atriya caste (or class, at least in the earliest period)
mate sovereignty and is typically manifested in a pair of di-
of traditional India to the ancient Germanic comitatus.
vinities, such as the Vedic divinities Mithra and Varun:a, the
Moreover, the presence of such a social stratum—that is, a
Norse gods Tyr and Óðinn (Odin), and so forth, as well as
class of military specialists whose prime purpose was to exer-
in the priestly social strata mentioned above. The final func-
cise physical prowess, either in defense of the society or in
tion, or third function, reflects the sum total of activities and
order to conquer new territory—was a uniquely Indo-
beliefs relating to the mass of society, the maintenance and
European phenomenon. Armed with the shaft-hole battle-
promotion of fertility, physical well-being, and so on. How-
ax, among other weapons, and propelled by the light, horse-
ever, it is the intermediate function, or second function,
drawn battle chariot, this warlike elite greatly facilitated the
which includes the social, religious, and mythological mani-
spread, beginning around 3500 BCE, of the several Indo-
festations of the exercise of physical prowess, that is of con-
European communities from the Proto-Indo-European
cern here, for it contains the ideology underlying the Indo-
homeland in what is now southern Russia to the territory as-
European conception of warfare and warriors.
sociated with this widespread language family in historic
times.
As has been noted, that ideology is inherently ambiva-
lent, for the canonical representations of the warrior figure
AMBIVALENT ATTITUDES TOWARD THE WARRIOR. Never-
are two in number. One is the apotheosis of the chivalrous
theless, despite his importance in the scheme of things, there
warrior, the warrior who for the most part confines his vio-
seems to have been a deep-seated ambivalence in the Indo-
lent behavior to the battlefield and does not habitually attack
European attitude toward the warrior, if not toward warfare,
“civilians.” This figure is perhaps best reflected by the afore-
and this, too, is reflected in the belief system. On the one
mentioned divinities Indra, Mars, and Þórr, as well as in the
hand, the war leader, or *regˆ, from which Latin rex, Sanskrit
Indian epic hero Arjuna, and, at least to an extent, in the
ra¯j, Old Irish rig, and so forth, derive, together with his war
Greek figures Herakles and Achilles. The other representa-
band, was generally regarded as the immediate secular au-
tion of the warrior is diabolical in nature; the emphasis here
thority, and his commands were typically obeyed without
is on unpredictability and sheer nastiness. Examples are to
question. On the other hand, the rex, ra¯j, and so forth, was
be found in the Vedic figure Va¯yu, who is equated with the
everywhere subordinate to—or at least no more prestigious
wind, especially the ill wind that blows up suddenly out of
than—the priests or holy men (e.g., the Indic brahmans, the
nowhere and does indiscriminate damage; the Norse anti-
Celtic druids, the Roman flamines maiores). And it is clear
hero Starkaðr; and the aforementioned Greek divinity Ares,
that ultimate sovereignty was vested in this most sacred of
whose companions were Deimos (“fear”) and Phobos
the ancient Indo-European social strata. Moreover, one finds
(“fright”). Thus, the warrior has both a “light” and a “dark”
everywhere a tension between the two classes in question, a
side to his nature.
sense that although the warrior was vital to the survival of
the community, he was nevertheless a thoroughly ambivalent
In several recent works, chief among them the second
figure and prone to commit random acts of violence or
volume of the Mythe et épopée series (1971), Dumézil has
treachery against nonwarrior members of his own society
suggested that this “dark/light” dichotomy can be detected
when not engaged in fighting external enemies. Indeed,
throughout Indo-European ideology. That is, certain divini-
throughout the ancient Indo-European-speaking domain
ties are more remote from man, more unpredictable, and
one repeatedly encounters such concepts as furor (Latin) and
therefore “dark” in character (e.g., Varun:a as well as Va¯yu
ferg (Old Irish), as well as the Norse image of the berserkir,
in the Indic tradition), while others, like Mitra and Þórr, are
all of which are expressions of what was believed to be the
closer to humans and therefore “light” in character. Thus,
warrior’s inherent (and, on occasion, uncontrollable)
the distinction between the two types of warrior figures,
ferocity.
which almost certainly is rooted in a perception of social real-
ity, may be but one example of a much more deep-seated
Thus, the role of the warrior, and especially the warrior-
Indo-European ideological theme.
leader, was steeped in paradoxes. He was at once at the apex
T
of the social order and a potential threat to that order. In-
HE THREE SINS OF THE WARRIOR. However, even the
most chivalrous of Indo-European warrior figures, divine as
deed, the contradiction here, which is reflected throughout
well as heroic, sometimes manifest “dark” traits. Typically,
Indo-European religious beliefs, is inherent in the profession
this involves the commission of three “sins,” one against each
of arms: it involves a social institution dedicated to the de-
of the three ideological functions. The best example, per-
struction of society. What follows is, in the main, a survey
haps, can be seen in the ancient Indic traditions about the
of these warrior-related beliefs, as interpreted by Dumézil.
recalcitrant behavior of the otherwise “light” divinity Indra.
THE IDEOLOGY OF THE SECOND FUNCTION. According to
In Maha¯bha¯rata 5.9.1–40, Indra slays Vi´svarupa, the mon-
Dumézil, the ancient Indo-Europeans conceived of the
strous, three-headed son of Tvas:t:r:, who has been threatening
world and their relationship to it in terms of three funda-
the divine community. However, as Tvas:t:r: is chaplain to the
mental, hierarchically ranked ideological principles, or
gods, his son is by definition a divine brahman, and Indra
“functions.” In descending order, the so-called first function
has therefore committed an act of brahmanicide, an unpar-
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WAR AND WARRIORS: INDO-EUROPEAN BELIEFS AND PRACTICES
9685
donable sin (and act of rebellion) against the first function
slaying. But the theme in question is distinct from that of
and its representatives. Later, Indra is confronted by the war-
the “three sins” and needs to be considered separately. In-
rior demon Namuc¯ı with whom he had earlier sworn a pact
deed, Indra is by no means the only Indic figure who slays
of eternal friendship. As that pact contained the promise not
a tricephalus. In R:gveda 10.8.8 Vi´svarupa’s slayer is called
to kill Namuc¯ı with anything either wet or dry, Indra forges
Trita-A¯ptya, or the “third” of three A¯ptya brothers, and al-
a weapon made of foam—which, in the eyes of the ancient
though the figure is sometimes held to be a hypostasis of
Indians at least, was neither wet nor dry—and, when the un-
Indra, there is no clear implication that Trita-A¯ptya’s action
suspecting demon’s attention is diverted, he decapitates him.
is considered a “sin.” The same can be said for the behavior
This, of course, is a sin against his own function, as the slay-
of the onomastically related Iranian figure Thraetaona, who
ing was done by trickery, rather than in a fair fight. Finally,
kills a three-headed monster called Azˇi Dahaka (“foreign
the god assumes the form of a man called Gautama and, so
snake”).
disguised, has intercourse with the man’s wife. This is an
abuse of the ideology of the third function, that is, Indra per-
Other reflexes of this theme can be found in the Greek
forms an illicit act of procreation.
story of Herakles versus the three-headed figure Geryon, the
Norse myth of how Thor bested the giant Hrungnir, who
As a result of these transgressions, Indra progressively
is described as having a “three-horned” heart, the Irish ac-
lost his first function, majesty, or tejas; his second function,
count of the hero Cú Chulainn versus the three sons of
physical prowess, or ba¯lam; and his third function, beauty,
Nechta Scéne, and the well-known Roman pseudo-historical
or ru¯pam; all of which, as Wikander and Dumézil have dem-
account of the conflict between Horatius and the three
onstrated, were eventually reincarnated in the offspring of
Curiatii. The last two accounts are, or course, euhemerized,
the epic hero Pan:d:u (Yudhist:h:ira, Arjuna, Bh¯ıma, Nakula,
in that the three-headed monster has been transformed into
and Sahadeva). The important thing here is that, from the
a threefold set of human adversaries (in the Roman version
standpoint of the Indo-European ideological system, Indra
they are a set of Alban triplets). Nevertheless, in the other
had by these acts clearly demonstrated his inherent recalci-
accounts, the slayer performs the same service to his commu-
trance and therefore his ultimate inferiority to Mitra,
nity: he eliminates a threat to the three fundamental ele-
Varun:a, and other representatives of the first function in the
ments of the tradition (i.e., the three functions)—hence pre-
divine scheme of things. The lesson, of course, is that war-
sumably the three heads or triple character of the adversary.
riors, even the best of them, are capable of disrupting the so-
cial and natural order and therefore not to be fully trusted.
But the recalcitrance and, indeed, antisocial proclivities
of the Indo-European warrior are also very much in evidence
Another canonical example of the “three sins” can be
here. In the Roman version, for example, when the victorious
found in the Greek traditions about Herakles, who (1) re-
Horatius (also the last survivor of a set of triplets) learned
fuses to obey his sovereign, Eurystheus, (2) slays a fellow war-
that his sister mourned the death of one of the Curiatii—she
rior, Iphitos, in violation of what amounts to a truce, and
had been betrothed to him—he slew her in a fit of rage. As
(3) although legally married to Deianira, abducts and then
a result the Roman hero was forced to walk under a beam
violates Astydamia after killing her father and sacking his
to divest himself of his furor before returning to polite soci-
city. The third prime example involves the Norse warrior
ety. Similar rituals of purification seem to have been charac-
Starkaðr, who sacrilegiously sacrifices his sovereign to the
teristic of other early Indo-European societies; indeed the
god Óðinn, abandons his cohorts in battle, and, for money,
later Roman custom wherein a victorious army had to pass
slays the Danish king Olo while he is relaxing in a bath. Still
under a “triumphal” arch before it disbanded seems, in light
other examples have been noted in the careers of Ares, Aga-
of this evidence, to have been rooted as much in a need to
memnon, Siegfried, Sir Gawain, and Achilles.
divest the army of its collective furor as in a desire to humili-
As Dumézil puts it, what is the case here is a “drama in
ate the war captives that marched in chains behind the gener-
three acts,” as it were, and in a very real sense it is a tragedy,
al’s chariot.
as with each “sin” the warrior in question—god as well as
THE WAR OF FOUNDATION. Another widespread Indo-
hero—loses his powers or his life force. Thus, after violating
European theme in which warrior figures necessarily play an
Astydamia, Herakles is rendered powerless by his outraged
important part is what Dumézil variously calls “the war of
wife and eventually causes himself to be burned on a funeral
foundation” and the “war between the functions,” that is, a
pyre, while Starkaðr commits suicide after killing Olo. The
conflict between representatives of the first two functions
net effect is what amounts to a “cautionary tale”: warriors,
and those of the third. The best examples come from the
even the best of them, are ultimately unreliable, and if their
Germanic and Roman traditions. In the former, the Æsir, in-
furor, and so forth, is allowed to go unchecked, the social
cluding Óðinn, Tyr, and, of course, Þórr, fight a war with
order as a whole may very well collapse.
the so-called Vanir divinities, the most prominent of whom
THE KILLING OF THE THREE-HEADED MONSTER. Among
are Njorðr, his son Freyr, and his daughter Freyja. As de-
D
the more important themes involving Indo-European war-
scribed in the Ynglingasaga, the Æsir fight their Vanir oppo-
rior figures is the killing of a three-headed monster. As has
nents to a standstill, and then, in reconciliation, incorporate
already been seen, Indra’s first “sin” stemmed from such a
them into the pantheon, rendering it complete.
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WAR AND WARRIORS: INDO-EUROPEAN BELIEFS AND PRACTICES
Although scholars such as the late Karl Helm have inter-
scribed as the cult of the named, magical sword. Found
preted this myth as a reflection of the conflict that must have
among the Celts, Germans, and particularly the North Irani-
occurred between the earliest Germans and the indigenous
an-speaking steppe peoples (Scythians, Alans, Sarmatians,
inhabitants of northern Europe, Dumézil has found a paral-
etc.), the cult seems to have spread westward in the early cen-
lel in the Roman pseudo-historical account of the Sabine
turies CE. Perhaps the best-known example here is contained
War, as preserved by Livy and others, and is therefore con-
in the medieval tradition surrounding King Arthur’s magical
vinced that the theme is in fact Indo-European. In the latter
sword, Excalibur. Another example is Roland’s famous
case, shortly after founding the city of Rome, Romulus and
sword, Durandel. But as early as the fifth century BCE Herod-
his companions trick their wealthy neighbors, the Sabines,
otus described the Scythian practice of worshiping swords as
steal their wives and daughters, and then, as part of the truce
manifestations of “Ares,” and in the fourth century CE Am-
following an inconclusive war, incorporate the whole Sabine
mianus Marcellinus described the Alanic custom of thrusting
community into the Roman body politic. In both examples,
swords into the earth and worshiping them as “Mars.” The
the defeated groups clearly represent the third function—
modern Ossets, a Caucasian people who have the distinction
neither the Vanir nor the Sabines were famed for their mili-
of being the last descendants of the ancient Alans, still pre-
tary prowess, and each was closely associated with fertility
serve an epic tradition in which magical swords play an im-
and the mass of society—while the victors represent the first
portant role (see, for example, Dumézil, Légendes sur les
two. Indeed, the Sabines eventually came to form one of the
Nartes, Paris, 1930, pp. 61–63).
three founding tribes of Rome, the Titienses (named for the
Although this theme cannot be documented through-
Sabine king Titus Tatius), completing a triad that also in-
out the ancient Indo-European domain and may well be
cluded the Ramnes (founded by Romulus and charged with
rooted in the steppe traditions, its subsequent distribution
priestly duties), and the warlike Luceres (reputedly named
from Britain to the Caucasus renders it a potentially impor-
for the Etruscan hero Lucomon).
tant element in the Indo-European warfare mystique.
Thus, while the Roman version of the theme masquer-
THE WARRIOR-DIVINITY AS A FERTILITY FIGURE. To con-
ades as history, it is as mythological in its roots as the Norse
clude this brief survey of Indo-European warrior figures and
account of the conflict between the Æsir and the Vanir and
the beliefs and practices associated with them, it is necessary
ultimately stems from the same Indo-European
to point out that several of the best known of these figures
mythologem. This conclusion is buttressed by several other
also had strong associations with plant, animal, and human
examples of what appear to be “wars of foundation”—or at
fertility. Mars, for example, in certain of his aspects (e.g., the
least traditions about an internecine struggle that broadly
so-called Agrarian Mars) was regularly worshiped as a fertility
conforms to the pattern just discussed. One is the Vedic ref-
figure. The Norse god Þórr was also invoked as an agricultur-
erence to a conflict between “two forces,” or ubhe v¯ırye, that
al deity, and his sexual prowess is in some respects as remark-
are expressed in the principles later incarnated, respectively,
able as his fighting ability. The same can be said for several
in the vaisya (third function) and in the brahman:a and
other Indo-European figures who are otherwise clear-cut rep-
ks:atriya (first and second functions). Another can be found
resentatives of the “second function,” including, as has been
in the Homeric accounts of the Trojan War (e.g., the Iliad
seen, the demigod Herakles.
and the Odyssey), as well as in accounts of its aftermath (e.g.,
Euripides’ The Trojan Women). The Greeks, led by Aga-
The warrior also has important connections with the
memnon and, after he returns to the fray, championed by
principle of sovereignty, that is, the first function. As
the famed warrior Achilles, represent the first two functions,
Dumézil points out, the Indo-European king is everywhere
while the Trojans, consistently described as possessing vast
drawn from the warrior elite and must undergo a ritual
wealth, are, like the Vanir and the Sabines, almost certainly
wherein he acquires symbols of the other two functions as
representatives of the third function. Moreover, the fate of
well as those relevant to his own. He thus necessarily be-
the Trojan women closely parallels that of their Sabine sis-
comes a transfunctional (or better, perhaps, a parafunctional)
ters: they are abducted by the victorious Greek kings and
figure. Indeed, all Indo-European royal consecration cere-
heroes.
monies, from ancient India to modern Britain, emphasize
this element.
Yet another possible example of a “war of foundation”
Thus, Dumézil’s conception of this most important
can be seen in the Irish accounts of the conflict between the
component of the Indo-European ideology is much more
Tuatha Dé Danann and the Fomhoire, which culminated in
complex than it might seem at first glance. There was, for
the Second Battle of Magh Tuiredh. After this battle, the de-
example, a Mars qui praeest paci and there were arma Quirini
feated Fomhoiran figure Bres, who together with his kind
(that is, armed representatives of the “third function”).
seems generally to reflect the third function, is incorporated
Moreover, most of the female warrior figures—such as the
into the body politic created by the victorious Tuatha (first
Greek goddess Athena, who leaped into existence fully armed
and second functions), rendering it complete.
from the forehead of Zeus and who was typically portrayed
SWORD CULTS. An important feature that appears in several
in the costume of a warrior maiden—were also trifunctional
ancient Indo-European traditions is what can best be de-
figures in that they incarnated divine wisdom and the domes-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WARAO RELIGION
9687
tic arts as well as military prowess (cf. the three Irish Macha
of Passage in the Arthurian Tradition.” In Homage to Georges
figures and the triple-figured Hindu goddess Durga). For the
Dumézil, edited by Edgar C. Polmé, pp. 53–68. Washing-
most part, however, these fertility attributes seem to have
ton, D.C., 1982. Discusses North Iranian sword cults and
been secondary, and the prime function of figures such as
the extent to which the pulling of a sword from the earth may
Mars and Þórr, if not Athena, was to ensure military success.
have been part of an Alano-Sarmatian (or possibly Indo-
European) warrior initiation ritual.
In sum, despite their periodic bouts of antisocial behav-
ior and occasional double-duty as agricultural divinities, to
Miller, Dean A. The Epic Hero. Baltimore, 2000. A recent over-
view of the Indo-Eurtopean warrior ethos, with emphasis on
say nothing of their periodic elevation to the transfunctional
epic heroes.
role of king, the great Indo-European war gods, as well as
their heroic counterparts (Arjuna, Achilles, Siegfried, Cú
Strutynski, Udo. “Ares: A Reflex on the Indo-European War
Chulainn, et al.), everywhere occupied a fundamental niche
God?” Arethusa 13, (Fall 1980): 217–231. A discussion of
in the belief systems in question. And this niche was paral-
the Greek divinity Ares and the extent to which he commits
the three canonical “sins.” Methodologically important.
leled by that occupied by the warrior stratum in the real
world of the ancient Indo-Europeans. Although never at the
Strutynski, Udo. “Honi Soit Qui Mal y Pense: The Warrior Sins
apex of the social or divine pyramid (unless elevated to the
of Sir Gawain.” In Homage to Georges Dumézil, edited by
kingship), the warrior, mortal as well as divine or legendary,
Edgar C. Polomé, pp. 35–52. Washington, D.C., 1982. Dis-
cusses the extent to which Gawain commits the three charac-
was a figure to be reckoned with, and the ideology associated
teristic sins of the Indo-European warrior. An important
with his was (and still is) perhaps the most distinctive feature
work, as it demonstrates the persistence of this theme into
of the Indo-European worldview.
medieval times.
SEE ALSO Berserkers; Blades; Frenzy; Indo-European Reli-
Wikander, Stig. Der arische Männerbund. Lund, 1938. Estab-
gions, article on History of Study; Secret Societies.
lished the presence of the Indo-European warrior band
throughout the ancient Indo-European-speaking domain.
BIBLIOGRAPHY
Had a tremendous influence on Dumézil’s subsequent theo-
Dumézil, Georges. Aspects de la fonction guerrière chez les Indo-
ries about the Indo-European conception of the warrior class
Européens. Paris, 1956. Dumézil’s basic statement on the
and its mythological reflections.
Indo-European warrior; a fundamental contribution to “the
C. SCOTT LITTLETON (1987 AND 2005)
new comparative mythology.” Revised and expanded as Heur
et malheur du guerrier (Paris, 1969) and translated by Alf
Hiltebeitel as The Destiny of the Warrior (Chicago, 1970).
Dumézil, Georges. “L’enjeu du jeu des dieux—un héros.” In his
WARAO RELIGION. The Orinoco Delta, a land-
Mythe et popeé, vol. 2, pt. 1. Paris, 1971. Dumézil’s discus-
scape of swamps, islands, and waterways, is the territory of
sion of the “light” and “dark” aspects of the warrior figure.
the Warao. Located between the modern republics of Vene-
Translated by David Weeks as The Stakes of the Warrior
zuela, Guyana, and Surinam, the Warao today number ap-
(Berkeley, 1983). Includes an excellent introduction by Jaan
Puhvel.
proximately sixteen thousand. Heirs to a seven-thousand-
year tradition of fishing adaptation, some twenty dialectal
Evans, David. “Agamemnon and the Indo-European Threefold
Death Pattern.” History of Religions 19 (November 1979):
subgroups of Warao have been identified (Kirchoff, 1948,
153–166. An analysis of an Indo-European warrior-related
p. 869). Warao formerly was considered a linguistic isolate;
theme in Greek epic.
recent research however indicates certain vocabulary corre-
Helm, Karl. “Mythologie auf alten und neuen Wegen.” Beiträge
spondences with the Chibchan languages of northwestern
zur Geschichte der deutschen Sprache und Literatur 77 (1955):
South America (Wilbert, 1970, p. 22). Cultural and dialecti-
333–365. A critique of Dumézil’s conception of the Indo-
cal differences exist among the various Warao groups, but
European warrior figure. Claims that the war between the
they are linked by a system of common beliefs.
Æsir and the Vanir reflects the Germanic conquest of Scan-
dinavia rather than an Indo-European theme.
Information on Warao religion is derived from three
major areas: traditional narrative, cosmology, and shaman-
Littleton, C. Scott. “Some Possible Indo-European Themes in the
Iliad.” In Myth and Law among the Indo-Europeans, edited
ism.
by Jaan Puhvel, pp. 229–246. Berkeley, 1970. Discusses the
TRADITIONAL NARRATIVE. Traditional narrative is clearly
extent to which the Trojan War reflects the Indo-European
cosmogenic in nature in that it recounts the origin of the
“War of Foundation/War between the Functions” theme.
plants, animals, and spirits that occupy the Warao universe.
Also analyzes Achilles as a trifunctional “sinner.”
It also relates the feats of culture heroes, outlines the taboos
Littleton, C. Scott. The New Comparative Mythology: An Anthro-
people must observe, defines the soul, death, and reincarna-
pological Assessment of the Theories of Georges Dumézil. 3d ed.
tion, and depicts other realms of being.
Berkeley, 1982. A comprehensive assessment of Dumézil’s
theories. Includes a detailed discussion of the ideology of the
Myth explains that in precultural times the Warao lived
“second function” (see, for example, pp. 120–129).
in the sky, where a hunter’s shot went wide one day. While
Littleton, C. Scott. “From Swords in the Earth to the Sword in
searching for his arrow, the man found a hole. Descending
the Stone: A Possible Reflection of an Alano-Sarmatian Rite
by a rope to the earth, he discovered an abundance of food.
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WARAO RELIGION
On his return he informed the Warao of his extraordinary
zon, where, contained within a vast gorge, it is bordered by
find. The other Warao immediately began lowering them-
mountains. At the cardinal and solstice points, these moun-
selves to earth, until at one point a pregnant woman became
tains soar upwards in the form of petrified trees.
stuck in the hole. Only her anus protruded, which became
the morning star; or, in another version, her legs extruded,
The Warao universe is divided into various realms. The
forming the stars in the Big Dipper. Thus some of the Indi-
celestial realm is a smaller disk that parallels the terrestrial
ans were forced to remain behind. On earth, the Warao
one. The maximum height of the solsticial suns determines
learned from the spirit of palm leaf fiber that they must suffer
the bell-shaped cosmic vault, which rests on the world’s axis.
and work. And so the first baby was born, the first sickness
Located to the northeast of the zenith is an ovoid house that
was inflicted by evil spirits, and the first death occurred (Wil-
is two-storied; the lower level is inhabited by a plumed ser-
bert, 1970, p. 309).
pent and the upper level by the Creator Bird, the ancestral
shaman and his wife, and four pairs of insects. In the central
According to another tale, the sun was originally the
space of the upper floor the male residents assemble to play
property of one man. The world was dark, and men could
a game that perpetuates humanity on earth. At the end of
procure food only with difficulty. One man, hearing the
each game the plumed serpent emerges from below to pro-
complaints of his wife, decided to send his two daughters in
duce a luminous ball. Ropes of tobacco smoke connect the
search of the sun. The first failed because she took the wrong
house with the zenith and with the world’s axis.
turn and was raped by a monster. The second successfully
reached the house of the sun’s owner, had sexual intercourse
Coiled around the earth disk is a huge marine serpent
with him, and received, as a gift, the sun in a container. Be-
that controls the tides and is the source of all forms of life.
fore she left, the man advised the girl not to break the sun.
Below the terrestrial-aquatic is the subterranean realm, at the
But on the girl’s return home, amid the family’s rejoicing,
center of which resides the four-headed serpent-goddess of
a piece of the sun broke off and escaped into the sky.
the nadir; her heads, crowned with deer horns, mark the four
cardinal directions. The northern seas of the summer solstice
Aloft in the sky, the sun moved so swiftly through the
are inhabited by the Butterfly God, and the southern seas of
day that men were unable to procure food. To remedy this
the winter solstice by the Toad God. The eastern and western
situation, the Indians caught a turtle that they presented to
seas are the domains, respectively, of the Avian God of Ori-
the sun as a pet. Now obliged to wait for his slow-moving
gin and the Scarlet Macaw. The ancient forefathers, called
pet, the sun moved across the sky much more slowly, giving
kanobotuma, reside at the four mountains at the cardinal
the Warao many hours of daylight in which to fish and to
points and once a year visit the Warao. At festival time, the
gather food (Wilbert, 1970, p. 311).
forefathers enter the house of worship in a barrel of roasted
In another tale, the origin of the moon is sketched.
palm pith, and, as carved images nailed to a central platform,
Every night a young man was having incestuous relations
they participate in the sacred dances of propitiatory ritual in
with his two sisters as they slept. Anxious to learn the identity
which the Warao implore their gods of origin for protection
of their violator, the women smeared black genipa juice on
(Wilbert, 1981, pp. 37–40).
their bodies. Waking the next day, they discovered the in-
SHAMANISM. Among the Warao common maladies are treat-
criminating dye on their brother. Overcome with shame,
ed with simple herbal remedies. A serious illness or death,
their brother flew into space, where he became transformed
however, is always attributed to the malevolent action or in-
into the moon. On occasions when the moon turns pink, the
tention of a supernatural agent. Three major types of sick-
Warao believe that it bleeds. They therefore consider all
ness, and three specialists to treat them, are distinguished.
women to be daughters of the moon, because they bleed peri-
Bahana, which results from the introduction of material ob-
odically in menstruation (Wilbert, 1970, p. 63).
jects into the body, is cured by the healer bahanarotu. Hoa,
With profound sentiment, the Warao narrative also de-
inflicted by plant and animal theophanies, must be attended
scribes the origin of death. At the beginning of the world,
by a shaman called hoarotu. And hebu, the possession by an
the Warao chief warned his people not to sleep that night
ancestor spirit, is treated by the wisiratu, who is the shaman
for they all would be visited first by death and then by a good
or priest who presides over the house of worship and who
spirit. To gain immortality, he urged them not to answer the
acts as the mediator between the kanobotuma and the Warao
first call but to respond to the second. That night silence
(Wilbert, 1970, p. 24). When someone is sick, all three prac-
reigned through the settlement. Toward midnight a voice
titioners assemble to diagnose the illness and to determine
was heard. One youth who had fallen asleep woke with a
which specialist must perform the appropriate ceremony.
start and answered the first call, the call of death. In fulfill-
At the beginning of the Warao cultural epoch, the pri-
ment of the chief’s prediction, from that time on all Indians
mordial shaman ascended to the zenith, called the “bosom
have had to die (Wilbert, 1970, p. 192).
of the world,” from which radiates a network of paths across
COSMOLOGY. According to Warao cosmology, the earth is
the celestial canopy. Deities travel along these pathways, as
a disk floating on water; its crust is fractured by the many
do Warao shamans in their journeys to other worlds. Amid
waterways of the Orinoco Delta. The sea extends to the hori-
this traffic, men provide offerings for the gods, and the gods
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WARBURG, ABY
9689
bestow life and health on humankind (Wilbert, 1981,
issues connected with iconology; his profound curiosity for
p. 39).
both psychology and anthropology allowed him to develop
new and successful strategies for deciphering complex and
B
impenetrable imagery, and his interest in the nature of com-
IBLIOGRAPHY
As is evident from the above text, Johannes Wilbertt is unques-
munication and the transformation of the symbolic meaning
tionably the most important contemporary source on Warao
of signs established him as an exponent of the modern study
religion. The bibliography of his own works supplied at the
of symbolism.
end of his article “Warao Cosmology and Yekuana Round-
house Symbolism,” Journal of Latin American Lore 7 (Spring
Warburg was born in Hamburg on June 13, 1866, the
1981): 37–72, is comprehensive. Especially useful among
firstborn son of the banker Moritz Warburg and Charlotte
these works is Folk Literature of the Warao Indians (Los Ange-
Oppenheim Warburg. According to the Warburg legend,
les, 1970). See also less recent publications by Basilio Maria
Aby Warburg rejected his birthright as his father’s successor
de Barral, Guarao guarata: Lo que cuentan los indios Guaraos
in the firm at the age of thirteen. He instead demanded not
(Caracas, 1960), and Henry Osborn, “Textos folklóricos en
only an allowance according to his financial needs but also
Guarao,” Boletín indigenista venezolano (Caracas) 3, no. 5
the financing of an expensive life devoted to research, which
(1958): 163–170, no. 6 (1960): 157–173, and no. 7 (1961):
achieved its climax in the public activities of the Kultur-
169–189; and Osborn’s “Textos folklóricos Guarao,” An-
wissenschaftliche Bibliothek Warburg (KBW, later known as
tropológica (Caracas) 9 (1960): 21–38 and 10 (1960): 71–80.
Paul Kirchoff’s article “The Warrau,” in volume 3 of the
the Warburg Institute) and the outstanding scholars associat-
Handbook of South American Indians, edited by Julian H.
ed with it.
Steward (Washington, D.C., 1948), pp. 869–881, provides
WARBURG’S WORK. In 1886 Warburg began his studies in
a general historical account and description of settlement and
art history, history, and archaeology in Bonn at one of the
subsistence patterns. Earlier ethnographic works are Walter
most famous German universities of the late nineteenth cen-
E. Roth’s “An Inquiry into the Animism and Folklore of the
Guiana Indians,” in Thirtieth Annual Report of the Bureau of
tury. From 1888 to 1889 he attended a seminar of August
American Ethnology, 1908–09 (Washington, D.C., 1915),
Schmarsow in Florence. From the writings of Giorgio Vasari
pp. 103–386, and Louis Plassard’s “Les Guaraunos et le delta
interpreting the rise of painting as an increase in the ability
de l’Orénoque,” Bulletin de la Société de Géographie (Paris)
of artists to copy nature, Warburg learned that the artists of
15 (1868): 568–592. Finally, it should be mentioned that in
the Florentine Quattrocento were not the faithful and dedi-
recent years many articles on various aspects of Warao cul-
cated imitators of natural appearance that they were reputed
ture have appeared in the aforementioned Venezuelan jour-
to be. In particular the drapery style of Filippino Lippi and
nal Antropológica, which is published by the Fundación La
Sandro Botticelli deviated from realism in the addition of
Salle, Instituto Venezolano de Investigaciones Científicas
swirling garments and flying hair. In his Ph.D. thesis, con-
(Caracas). The Fundación La Salle has also published Actas
cerning Botticelli’s Geburt der Venus und Der Frühling, War-
I Congreso Warao (Caracas, n. d.), the record of the First
Warao Congress, which was held in Tucupita, Venezuela,
burg made a convincing argument for this unexpected obser-
10–12 October 1980.
vation by uncovering the historical circumstances of its
making. He was able to prove that antiquity was visualized
New Sources
with the aid of dynamizing formal additions because the
Vaquero Rojo, Antonio E. Manifestaciones religiosas de los Waraos,
poets and philosophers in the immediate circle of Botticelli’s
y Mitología Fundante. Caracas, 2000.
patrons derived a certain mental image from ancient writers
Wilbert, Johannes. Mystic Endowment: Religious Ethnography of the
who delighted in descriptions of enchanting movement.
Warao Indians. Cambridge, Mass., 1993.
Only in the High Renaissance was the illustration of imagi-
Wilbert, Johannes. Mindful of Famine: Religious Climatology of the
nary themes as visualized through fantasy developed into a
Warao Indians. Cambridge, Mass., 1996.
language of idealization that became the typical stylistic
ANDRÉS ALEJANDRO PÉREZ DIEZ (1987)
idiom of the period.
Translated from Spanish by Gabriela Mahnand Pita Kelekna
Revised Bibliography
Warburg’s new inclination to explain stylistic elements
and their change in psychological terms was partly influ-
enced by his teachers in Bonn and later Strasbourg, where
he completed his dissertation. Hermann Usener, whose lec-
WARBURG, ABY. Aby Moritz Warburg (1866–1929)
tures on Greek mythology Warburg had attended, focused
was a German art historian and Kulturwissenschaftler (scholar
on the problem of mental mechanisms as reflected in the ori-
of cultural studies) who developed new concepts in the un-
gins of mythology. Influenced by the Italian evolutionist
derstanding of the cultural expression of human conscious-
Tito Vignoli and Charles Darwin’s The Expression of the
ness and behavior. Although he was not well known during
Emotions in Man and Animals (1872), Warburg was able to
his lifetime and long after that remained a mere name to all
trace human expression back to animal reactions deriving ul-
but a small circle of art historians, Warburg has gradually be-
timately from fear. By interposing an interval of reflection
come recognized as a major figure in the study of religion.
between impulse and action, human beings are capable of
His importance for contemporary research lies not only in
turning the uncontrolled reactions of emotion into symbols
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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WARBURG, ABY
of gesture and art. Warburg’s monistic psychology of art,
of reflection, gets lost again if the same images evolve into
however, is not only based on this early theory of stimulus
a mere screen for contemporary fears and wishes.
and response, a predecessor of ethology, but also on theories
During that time Warburg’s interest in questions of
derived from John Locke’s associationism, as specified by the
mastering fear with the help of cultural media was not only
German philosopher Johann Friedrich Herbart. According
theoretical. Personal experience with a life-threatening illness
to the historian Karl Lamprecht, one of Warburg’s teachers
and the ubiquitous menace of Jewish existence had frequent-
in Bonn, the collective mentality of a society was determined
ly led to attacks of anxiety that colored his philosophy of cul-
by the character of inherent mental images (Vorstellungen) as
ture. With the collapse of Germany after World War I, War-
symbolized in art. Warburg used these new and scientific ap-
burg’s mind was unable to withstand the threatening
proaches to get at the mental images that become apparent
impressions, and his referral into psychiatric clinics in Ham-
behind art, literature, and religious ceremonies.
burg and Jena became inevitable. Only the skilled Swiss psy-
In conveying his program Warburg concentrated main-
chologist Ludwig Binswanger finally succeeded in reintegrat-
ly on the elucidation of the rather narrowly confined cultural
ing Warburg’s personality. During his stay at the sanatorium
circle of the Renaissance. After his marriage to the artist
in Kreuzlingen, Warburg struggled to regain clarity by giving
Mary Hertz in 1897, he moved to Florence (1897–1904) to
his lecture “A Serpent Ritual” to his fellow patients. This lec-
bring the famous patrons of Florentine art and their concerns
ture was based on a journey he took in 1895 and 1896 to
to life. The complexity of the Florentine society of the fif-
the United States, where he had studied the culture of Amer-
teenth century was reflected in the famous works of art com-
ican Indians at the Smithsonian Institution and in the Indi-
missioned by Lorenzo de’ Medici and his circle. At the art-
ans’ genuine Lebensraum on the arid plateaus of New Mexi-
ists’ studios in Florence a new style emerged out of a renewed
co. The recourse to his visit to the Hopi Indians in 1895–
study of antiquity that contradicted the usually accepted cos-
1896, which supplied him with material for later reflection,
tume realism alla franzese (French style of representation)
was significant when considered under different aspects. The
that dominated art up to that time. It was not the dismissal
study of traditional religion and art, with its primitive and
of a too earthbound and materialistic fashion in order to re-
violent emotions, led him back to the supposed origins of
veal the body and its language of passion that puzzled War-
culture, where ritual and symbolic processes develop a partic-
burg but the discovery that the artistic loyalties of Lorenzo’s
ular sense of distance, acquired through reflection, that al-
circle were by no means undivided. On the contrary, the
lows the sublimating transformations of frightening impres-
classical ideal had to overcome a heavy medieval style of calm
sions into a fragile sophrosyne (the antique virtue of self-
realism originating in Flanders, and this struggle against
possession and composure).
strong opposing forces was the reason for the assertiveness
During Warburg’s illness his assistants Fritz Saxl (1890–
and strength of the finally triumphant style alla antica (an-
1948) and Gertrud Bing (1892–1964) did much more than
tique style of representation). Antiquity, with its language of
continue the work of the KBW, which had such an eminent
passion, therefore could only be welcomed when it helped
and probably even sacral meaning for their mentor. The li-
to squash the tendency toward nonreflective, shallow real-
brary was more than a systematic collection of books shaped
ism. Without a counterpoise, or in Warburg’s terms, without
for Warburg’s special research program; it was the reflection
a sense of distance, the same images would lead to empty
of his thought and mental process. Warburg, who never tired
rhetoric and eventually to the degradation of art.
of shifting and reshifting his books in accordance with his
actual system of thought, looked upon his library as a fortress
The classical elements and their change of meaning in
against the forces of darkness and hell. In this sense the li-
particular led Warburg to a line of research that nearly domi-
brary, with its ties both to science and to an obscure and de-
nated his career after about 1908. The Quattrocento frescoes
monic world, became a “consecrated space” where the fight
in the Palazzo Schifanoia depict the Greek planet deities in
against demonic forces in his struggle for clarity derived its
their typical manner of representation according to medieval
greatest strength.
traditions of mythology but also the illustrations of fictitious
constellations, the Decans, astrological imagery that reached
In the years of Warburg’s recovery Saxl completed a
the Renaissance through Arabic sources. Only the High Re-
paper by Warburg on astrological prophesies in the period
naissance succeeded in surmounting the demons of astrology
of the German Reformation. In addition Saxl and Bing
and allocating them to the aesthetic and distanced sphere of
began preparations for an extensive project that was planned
pure beauty. The different renderings of the planet gods
as a comprehensive study of the results of Warburg’s former
from medieval disguise to their former Olympian form is a
work. As soon as Warburg’s health improved, he and his as-
perfect illustration of how primitive anxieties influence peo-
sistants began to pave the way for the Mnemosyne-Atlas, a re-
ple’s mental images. From a psychological point of view, the
flection of the ancient images and symbols as preserved in
constellations that humans project onto the bewildering
the collective memory of the European race. According to
quantity of stars and their identification with mythical be-
Warburg’s theory, any experience leaves an engram in the
ings has to be understood as a first step toward orientation
nervous system, which acts as a sort of energy storage space.
in a hostile world. This distance, as acquainted by the power
This accumulated energy becomes tangible in paintings and
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WARD, MARY
9691
symbols. In this context the act of painting, as well as the act
SEE ALSO Iconography.
of symbolizing in ritual, is a process of progress in the sense
that it is an attempt to control a threatening energy that is
BIBLIOGRAPHY
fed by the collective memory of the societies under question.
Böhme, Hartmut. “Aby M. Warburg (1866–1929).” In Klassiker
Warburg was not able to finish his life’s work. He died in
der Religionswissenschaft: Von Friedrich Schleiermacher bis
Hamburg in October 1929 at the age of sixty-three.
Mircea Eliade, edited by Axel Michaels, pp. 133–156. Mu-
nich, 1997.
CONTINUING HIS WORK. Warburg’s death, although a great
Ferretti, Silvia. Cassirer, Panofsky, Warburg: Symbol, Art, and His-
loss for his family, friends, collaborators, and disciples, was
tory. Translated by Richard Pierce. London and New Haven,
by no means the end of the research program he had sum-
Conn., 1989.
moned into existence. During Warburg’s illness Saxl had
Forster, Kurt W. “Introduction.” In The Renewal of Pagan Antiq-
opened the KBW to the public and had transformed the for-
uity: Contributions to the Cultural History of the European Re-
merly private institution into one of high-level research. It
naissance (1932), by Aby Warburg, translated by David Britt,
is mainly due to Saxl that an interdisciplinary circle of schol-
pp. 1–75. Los Angeles, 1999.
ars, including Ernst Cassirer (1874–1945) and Erwin Panof-
Ginzburg, Carlo. “From Aby Warburg to E. H. Gombrich: A
sky (1892–1968), became attached to the Warburg Institute.
Problem of Method.” In Clues, Myths, and the Historical
During their long cooperation Saxl not only looked after
Method, translated by John Tedeschi and Anne C. Tedeschi,
Warburg’s publications and popularized his research but, to-
pp. 17–59. Baltimore, Md., 1989.
gether with Bing and Edgar Wind (1900–1971), carried on
Gombrich, Ernst H. Aby Warburg: An Intellectual Biography, with
Warburg’s mission and saved the library for generations to
a Memoir of the History of the Library by F. Saxl. London,
come.
1970; 2d ed., Chicago, 1986.
Kultermann, Udo. Geschichte der Kunstgeschichte: Der Weg einer
Even after Warburg’s death and the successful emigra-
Wissenschaft. Düsseldorf, Germany, 1966; 2d ed., 1970.
tion of his library to London, Warburg’s former disciples and
Translated into English as The History of Art History (New
assistants kept close links to the work and thinking of their
York, 1993).
mentor. Many of the publications of Bing, Wind, Saxl, and
Saxl, Fritz, Raymond Klibansky, and Erwin Panofsky. Saturn and
Carl Georg Heise (1890–1979) grew from the distribution
Melancholoy: Studies in the History of Natural Philosophy, Reli-
and reception of Warburg’s ideas. Mainly by elaborating
gion, and Art. New York, 1964.
upon and systematizing Warburg’s theoretical and conceptu-
Warburg, Aby. Die Erneuerung der heidnischen Antike: Kultur-
al assumptions were they able to acquire new and authentic
wissenschaftliche Beiträge zur Geschichte der europäischen Re-
positions in art history that made them into the leading ex-
naissance. 2 vols. Edited by Gertrud Bing. Berlin, 1932.
perts in their subjects. Saxl, first interested in astrological and
Translated into English by David Britt as The Renewal of
mythological Scripture, later included ancient religions as
Pagan Antiquity: Contributions to the Cultural History of the
one of his main subjects of research. His work Saturn and
European Renaissance (Los Angeles, 1999).
Melancholy (1964), which he wrote together with the skilled
Warburg, Aby. “A Lecture on Serpent Ritual.” Journal of the War-
historians of art and culture Erwin Panofsky (1892–1968)
burg Institute 3 (1938–1939): 222–292.
and Raymond Klibansky (1905–), became influential in fu-
Warburg, Aby M. Ausgewählte Schriften und Würdigungen. Edited
ture research. Wind, who joined the Warburg Institute in
by Dieter Wuttke and Carl Georg Heise. Baden-Baden, Ger-
1928, focused on the Italian Renaissance but was also influ-
many, 1980.
ential in developing iconography as a method in art history
Wessels, Antje. Ursprungzauber: Zur Rezeption von Hermann
and the history of religions. Ernst Gombrich (1909–2001),
Useners Lehre von der Regigiösen Begriffsbildung. Berlin and
a young art historian with close ties to the Viennese school,
New York, 2003.
gained a leading position in the world of art historians by
Wuttke, Dieter. Aby M. Warburg-Bibliographie 1866 bis 1995:
writing the Intellectual Biography of Warburg, which has con-
Werk und Wirkung, mit Annotationen. Baden-Baden, Germa-
tinued to be influential in the reception of Warburg’s works.
ny, 1998.
Gombrich’s psychological view of art as a mutuality of cre-
INA WUNN (2005)
ativity allowed for a new concept of the history of art that
includes prehistorical and non-European art and its iconog-
raphy. Panofsky, probably the most renowned art historian
of his century, became associated with the Warburg circle
WARD, MARY. Mary Ward (1585–1645) was the
during his scholarship at the University of Hamburg. His
founder of the Institute of the Blessed Virgin Mary, earlier
main concern was to safeguard methodological approaches
known as the “English Ladies.” She is recognized for pioneer-
in art history. It was Panofsky who finally established iconol-
ing the active, unenclosed life for nuns within the Roman
ogy as a method of research and who elaborated upon its the-
Catholic Church, and her institute was the first systematic
oretical foundation. Chiefly through his synopsis of the man-
attempt to adopt for women the Jesuit missionary purpose
ifold disciplines of research, Panofsky was able to carry on
and governance, with its emphasis on mobility and central-
the inheritance of Warburg.
ized structure under a superior general answerable directly to
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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WARD, MARY
the pope. Traditionally, and in canon law, the members of
expanded, attracting support from leading churchmen and
women’s religious orders were enclosed and monastic, a defi-
nobility. New houses and schools were opened across the
nition that was reinforced by the Council of Trent (1545–
continent: in Liège (1616), Cologne and Triers (1620–
1563) as part of its reform of Catholicism. Mary Ward’s was
1621), Rome (1622), Naples (1623), Perugia (1624), Mu-
not the only contemporary initiative to challenge the status
nich (1627), and Vienna (1627). At the same time it attract-
quo, but it was the most far-reaching and controversial—and
ed a good deal of hostility, and petitions were received in
remained so long after her death. She was convinced that
Rome from Jesuits, English clergy suspicious of the Jesuits,
“women in time to come will do much,” but it was not until
and individuals scandalized by their boldness and public life.
the aftermath of the French Revolution, in response to a
New names—“Jesuitesses” and “galloping” or “gadding
powerful female movement to revitalize Catholicism, that
girls”—were added to that of “English Ladies,” and they
the centralized active model was approved for women, and
were accused of usurping priestly roles.
her vision was fully realized.
From the outset Mary sought papal approval for the in-
Born into a family of minor landed gentry in the north-
stitute. In 1621 she made a journey of 1,000 miles on foot
east of England, Mary Ward was educated at home, where
from Brussels to Rome to present her constitutions to Pope
she learned Latin and showed a gift for modern European
Gregory XV, who, impressed with her character, referred the
languages. The Wards belonged to the persecuted English
documents for consultation. But by 1628 the controversy
Roman Catholic minority, and Mary was taught her faith by
had damaged the institute beyond recovery, so that Mary’s
the Jesuit chaplains secretly employed in their households,
re-presentation of her case to Pope Urban VIII in 1629 could
and by female relatives, several of whom served prison sen-
not avert condemnation. Individual houses of the institute
tences for persistent nonconformity to the established
were firstly warned and from 1628 onwards suppressed by
Church of England. A culture of heroism for their faith was
the Spanish Inquisition, culminating in the promulgation of
evident within the Ward kinship network, most notably
the papal bull Pastoralis Romani Pontificis in January 1631
when three of her uncles died resisting arrest for their part
emphatically suppressing the whole institute and leading to
in the Gunpowder Plot of 1605 to blow up the Houses of
Mary’s imprisonment on heresy charges.
Parliament in an attempt at the political restoration of Ca-
Although Mary was cleared of heresy by Urban and con-
tholicism.
tinued to live in Rome with companions, the remainder of
In the same year Mary rejected a proposal of marriage
her life was dominated by ill health. In 1637 she returned
favored by her father and her confessor in order to pursue
to England, where she died close to her Yorkshire home on
a religious calling. She traveled to Stt Omer in Flanders, first
January 20, 1645. Loyal companions slowly restored the in-
joining the Poor Clares and then in 1607 to 1608 successful-
stitute from a base of strength in Munich under the protec-
ly founding a new Poor Clare convent in Gravelines for En-
tion of Maximilian of Bavaria. In 1749 Pope Benedict XIV
glishwomen. She seemed settled, but in 1609 she experi-
issued a landmark judgement, Quamvis Justo, approving the
enced the first of a series of mystical illuminations, which she
restored institute’s members as active unenclosed religious,
described as “seeing intellectually,” that determined her sub-
provided they worked under local bishops and ceased to
sequent decisions: “there happened to me a thing of such a
claim that their institute had been founded by Mary Ward.
nature that I know not, and never did know, how to explain.
It was a further 160 years before another pope, Pius X, reha-
It appeared wholly Divine, and came with such force that it
bilitated her as founder of the Institute of the Blessed Virgin
annihilated and reduced me to nothing” (Wright, 1997,
Mary. Interest in Mary Ward grew during the twentieth cen-
p. 3). Understanding that she was to leave the convent to un-
tury and, in the context of changing attitudes, her reputation
dertake some work willed for her by God, she returned to
grew to the point where in 1982 John Paul II extolled this
London. After a second illumination she gathered a group
“remarkable Yorkshire woman . . . a pioneer of the active
of young women of similar social background who trusted
unenclosed congregations for women.”
her leadership. In 1610, with the support of the Jesuits and
S
the local bishop, they opened a quasi-religious house in St.
EE ALSO Nuns, article on Christian Nuns.
Omer giving instruction and teaching girls evangelical activ-
ism and prowress. A third illumination in 1611, reinforced
BIBLIOGRAPHY
by a fourth in 1615, led Mary to understand that her com-
Chambers, Mary C. E. The Life of Mary Ward (1585–1645), ed-
ited by Henry Coleridge. 2 vols. London, 1882–1885. The
munity should adopt, with some adaptations, the constitu-
biographical work, written by a member of the institute and
tions of the Society of Jesus, their Formula Instituti. The vi-
based on original archival research, that played a crucial role
sion made clear to her that the Society would not approve,
in rehabilitating Mary Ward.
as indeed it could not, since its founder had forbidden it to
direct the work of nuns.
Orchard, Mary Emmanuel, ed. Till God Will: Mary Ward
Through Her Writings, introduced by James Walsh. London,
After 1615 Mary developed her institute, writing consti-
1985.
tutions and forming its members as teachers and domestic
Peters, Henriette. Mary Ward. A World in Contemplation, translat-
missioners for work in England. Between 1616 and 1628 it
ed by Helen Butterworth. Leominster, U.K., 1994. A com-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WARLPIRI RELIGION
9693
prehensive and detailed biographical study that synthesizes
courses, trees, and so on) and left behind them “ancestral
all previous scholarship and draws on new sources.
powers.” Features in the landscape readily apparent are proof
Wright, Mary. Mary Ward’s Institute: The Struggle for Identity.
that the Jukurrpa is true (yijardu) and that its essence is ever
Darlinghurst, Australia, 1997. An accessible history of the
present.
canon law dimension of Mary Ward’s initiative containing
The second usage is to designate the whole category of
all the significant papal documents and covering the later his-
Ancestral Beings. The actions of these legendary beings, who
tory of her institute and its branches.
emerged from the earth, shaped the landscape, and per-
SUSAN O’BRIEN (2005)
formed marvelous acts, are still reenacted by the Warlpiri in
their ritual performances. Every spot visited became a sacred
site and every sacred site became part of a specific Jukurrpa
itinerary. Some Ancestral Beings remained near their place
WARLPIRI RELIGION. While the boundaries of
of emergence, while others traveled through territories that
Warlpiri territory have moved through time, the central-
belong to neighboring Aboriginal groups. In their travels,
western part of the Northern Territory has generally been re-
Ancestral Beings left behind “life forces” (Peterson, 1969,
garded as the heart of Warlpiri country. Until they were
p. 27). The Warlpiri identify three main kinds of life forces:
forced to sedentarize by the Australian government in the
kuruwarri, pirlirrpa, and kurruwalpa.
early 1940s, the Warlpiri people led an independent hunting
and gathering life in an area spreading over approximately
The kuruwarri are the marks, signs, and designs mythi-
53,200 square miles (137,800 square kilometers). While
cal beings left behind, while the unseen aspect of the Jukurr-
mandatory sedentarization deprived Warlpiri men and
pa is invoked by the use of the word pirlirrpa. Kuruwarri and
women of their socioeconomic roles as gatherers and hunt-
pirlirrpa are complementary categories, with the former re-
ers, they sustained what continues to give them their raison
ferring to the visible (and the latter to the invisible) traces
d’être: their connections to the land, their cosmology, and
of the Jukurrpa. Pirlirrpa, however, has a more specific appli-
their ancestors. The Warlpiri reside mainly in the settlements
cation: to the “spirit” or “essence” of the individual, a spirit
of Yuendumu, Lajamanu, Ali-Curang, Willowra, and Nyirr-
that enters via the semen of the father and the egg of the
pi (and their outstations) and represent the most populous
mother and that localizes itself in the two kidneys. Male and
Aboriginal group in central Australia. The fact that most
female elements are thus found in every individual. The pir-
Warlpiri continue to reside on lands they traditionally inhab-
lirrpa is believed to imbue people, Dreaming stories, and the
ited accounts in part for the vigor of Warlpiri ritual life.
ceremonies that invoke the Jukurrpa. It is the potency of pir-
T
lirrpa that guarantees the effectiveness of a ritual in the main-
HE JUKURRPA. When discussing their religion, Warlpiri
men and women invoke a key concept: the Jukurrpa. The
tenance of the Jukurrpa.
Jukurrpa provides the Warlpiri with links to their ancestral
The essence of the Jukurrpa, called kurruwalpa, is associ-
past and land, as well as to their ancestors and to each other,
ated exclusively with the act of conception. Whereas the pir-
reifying contemporary social relations and articulating omni-
lirrpa is linked physically to the individual wherever that in-
present connections at the core of Warlpiri sense of identity
dividual may be, the essence or spirits associated with
(Dussart, 2000). A thorough grounding in the notion of
conception are all site-specific. While a mother is walking
Jukurrpa in all its iterations and contexts is necessary to un-
along, a kurruwalpa will penetrate her—through the womb,
derstand the richness of Warlpiri ritual life.
foot, or navel—in a fashion that animates the fetus. When
the kurruwalpa emerges, that particular site becomes known
Jukurrpa has often been translated in English as
as the conception site of the soon-to-be-born child. Later on,
“Dreaming,” “Dreamtime,” or “Ancestral Times” (Mul-
the child will have special rights and ritual obligations over
vaney, Morphy, and Petch, 1997), but these translations ob-
the site and the Ancestral Beings associated with it.
scure rather than explain the richness of Warlpiri cosmology.
Jukurrpa, as explained by contemporary Warlpiri, has five re-
Even though it is often argued in anthropological litera-
lated distinct and interrelated usages. Contrary to the simpli-
ture that ancestors (i.e., deceased humans) and Ancestral Be-
fied definitions appropriated by Western “spiritualists” in
ings are fused indistinguishably, the actual relationships be-
the 1990s, Jukurrpa refers first to an ancestral period during
tween ancestors (nyurnupatu) and Ancestral Beings
which the world was fashioned by Ancestral Beings who in-
(Jukurrpa) are far more complex. It is true that, while telling
stituted social and religious orders for humans. Although
a Jukurrpa story, a Warlpiri person may refer to his or her
Jukurrpa refers to a fictitious past, the Warlpiri maintain that
deceased father as, say, “an Ancestral Emu” (Yankirri), im-
it continues to exist in the present. According to an immuta-
plying the Jukurrpa Ancestral Being of that name. Such refer-
ble law, when the Jukurrpa, which has always existed, mani-
ence is particularly common when the cosmologically consti-
fested itself, the ground was flat and shapeless. Mythical he-
tuted connection to that Being can strengthen the narrator’s
roes and heroines emerged from the earth, traveled around
ceremonial and territorial rights associated with the myth of
the countryside, performed marvelous acts, and continue to
a particular Ancestral Emu. This does not mean, however,
live in the Jukurrpa (Stanner, 1966, p. 266). Their travels
that the deceased is instantly folded into, or immediately be-
transformed the shapeless ground into features (hills, water-
comes one with, some larger cosmological force situated in
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9694
WARLPIRI RELIGION
the Jukurrpa. In point of fact, further interrogation reveals
Dreaming stories, sites, and associated rituals are owned
that at least two generational levels must exist between the
and managed along complex lines of subsection and kinship
deceased and a speaker for the former to merge fully with the
association. The Warlpiri have an Arandic system of kin clas-
Jukurrpa, a process of genealogical amnesia that transforms
sification (first identified by Mervin J. Meggitt [1962]). The
humans into Ancestral Beings.
Warlpiri divide the world into two groups of people: those
they are related to and those who are not their relatives. Rela-
The third sense of the Jukurrpa employs the term to de-
note specific narratives or Dreaming stories—as, for exam-
tionships with kin may be actual (when both parents are
ple, in the myth of an Ancestral Rain Being—such that not
shared), close (when they share one relative, even distant),
only the Being, but also the ngurrara (homes) it created in
or “classificatory” (when kinship ties are established through
its travels are referred to as Ngapa Jukurrpa (Ancestral Rain
land and daily life). The basic egocentric distinctions of the
Dreaming, or Rain Dreaming). Before returning to their site
Arandic system are grouped into a set of sociocentric terms
of emergence, Ancestral Beings may travel far, traversing
known as subsections, which in turn are further grouped into
many other homes (each portion of which represents a par-
patrilineal, matrilineal, and generational moieties. Each de-
ticular portion of the itinerary and a particular story) and
scent group is associated with one or other of the four patri-
many other countries owned and overseen by different kin
subsection couples used to identify patterns of land-
groups, including many who are not Warlpiri. Other Ances-
ownership.
tral Beings do not stray far from their site of emergence.
The basic structure of landownership, and by implica-
The fourth usage refers to a specific segment of an an-
tion ritual transmission and social organization, is constitut-
cestral itinerary at a given site and its vicinity. One or several
ed along lines of patrilineal descent. A person’s patrimoiety
songs, designs, and dance sequences are associated with a seg-
is referred to as kirda, while the opposite patrimoiety is re-
ment of a Dreaming, which are enacted during ritual cere-
ferred to as kurdungurlu. The real significance of kirda and
monies. The same basic elements of designs, songs, and
kurdungurlu in the organization of religious life and land ten-
dances performed by men and women are stylistically ar-
ure derives from the more specific uses and the rights associ-
ranged according to age and gender that characterize a specif-
ated with them. Generally, a man or a woman inherit rights
ic ritual activity.
as kirda to more than one country and associated Jukurrpa.
A kurdungurlu is a person who has inherited responsibilities
Finally, Jukurrpa is used to refer to nocturnal dreams.
When asleep, dreamers may have a dream in which they “see
through a matrilaterally traced interest. So each Warlpiri per-
and hear” Ancestral Beings. If the dreamers can remember
son has rights and responsibilities over countries and Dream-
song(s) sung by the Ancestral Beings as they wake, their
ings as kirda and as kurdungurlu. However, acquisition of
dreams, after thorough examination by Jukurrpa experts, are
knowledge and responsibilities to act as kirda or kurdungurlu
usually integrated within an existing Jukurrpa itinerary. It is
for sites and Jukurrpa acquired through classificatory kin as-
through such dreams that the Warlpiri have learned about
sociations is common and the result of residential alliances
(and continue to learn about) the Jukurrpa. The Warlpiri
developed since forced sedentarization.
maintain that nothing is new, but simply forgotten. The
A kirda is often referred to in Aboriginal English as the
Jukurrpa is believed to be immutable, whereas the reality of
“owner” of a Jukurrpa and its associated sites. Owners are re-
life is that cosmology and religious order are dynamic.
sponsible for the maintenance of the well-being of the land
RITUAL MANAGEMENT. While the Jukurrpa has and will al-
and its people by performing ritual ceremonies. The
ways be, humans in specific kin formations have the respon-
kurdungurlu is like a “manager” of a kirda’s Dreamings and
sibility to reproduce and maintain it by enacting Dreaming
associated sites and ritual performances. Reenactment of a
stories in ritual performances as prescribed by the Ancestral
Jukurrpa by kirda requires the surveillance and advice of
Beings. Through the performance of ceremonies, the Warl-
kurdungurlu. The kirda-kurdungurlu relationship is, in theo-
piri reaffirm their ties to the land, the Jukurrpa, and to one
ry, reciprocal, but in practice (and since sedentarization) this
another. This is achieved following specific patterns of kin-
relationship is more often based on alliance rather than on
ship—patterns that have been modified since sedentariza-
descent.
tion. Before being forced to settle, the Warlpiri lived a semi-
nomadic life traveling in small groups of up to thirty relatives
In all their discussions of landownership, Jukurrpa, and
and in-laws (like most central Australian Aborigines). They
ceremonial responsibilities and rights, Warlpiri men and
camped for short or long periods of time with either spouse’s
women explain how transmission lines to obtain and pass on
families, and they would gather in great numbers with other
religious knowledge in no way restrict the role of either gen-
central desert Aborigines for ceremonial purposes. Ritual ac-
der in the inheritance or performance of that knowledge.
tivities such as initiations and betrothals usually took place
While men and women are identified as kirda or as
at specific sites along the itinerary evoked in performances
kurdungurlu for specific Dreamings and related sites, certain
orchestrated by groups of kin responsible for the area and the
segments along the Jukurrpa geospecific itinerary may be
associated Jukurrpa. Since sedentarization, ceremonial per-
shared by both genders, while others are exclusively enacted
formances tend to be performed near settlements.
in men- or women-only performances.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WARLPIRI RELIGION
9695
CEREMONIES. The Jukurrpa is primarily maintained through
not been given the rights to sing and dance in ritual activities
the singing, dancing, and painting performed during land-
because of his or her age could use tarruku to designate all
based ceremonies. By enacting their Dreaming stories, Warl-
ceremonies performed by the senior Aborigines. In brief,
piri men and women resolve conflicts, maintain and restore
many religious Warlpiri terms, such as tarruku, wiri, and
the health of the land and all that live on it, and uphold their
warraja, are imbued with supplemental meanings according
ties to the land, to their ancestors, and to one another. In
to the ritual status, age, and gender of who uses them and
theory, kirda and kurdungurlu should never be negligent. If
in front of whom they are used.
they do not enact their Jukurrpa correctly (junga) not only
Even though Warlpiri men and women unfailingly
the land may become ill, but the people, animals, flora, and
maintain that the Jukurrpa has not changed, they readily
resources attached to it are put at risk as well. As one impor-
admit that their ritual repertoire has undergone transforma-
tant Yuendumu ritual leader, who passed away and thus can-
tion since forced sedentarization. Biomedical Western prac-
not be named, explained “if you do not care for country, that
tices have reduced the frequency of birth and health-curing
country will simply die. We cannot forget our Jukurrpa [and
rituals. The performances of love and sorcery rituals, which
our obligations to it].”
increased in the early years of sedentarization, are now in de-
Colonial and postcolonial forces have irrevocably
cline. While certain ritual activities have faded away, some
changed Warlpiri ritual activities. A number of ceremonies
have been modified and others added to the religious reper-
have disappeared, and others have been altered. Regardless,
toire. Inter-Aboriginal ceremonial cycles described as tarruku
initiation ceremonies with plural motives—such as male cir-
and wiri (which cannot be described here) and warraja have
cumcision and betrothal, men- and women-only ceremonies,
been organized since settled life. Creolized ceremonies blend-
ceremonial cycles performed by both men and women, and
ing elements of Christianity and Warlpiri religion have
rituals surrounding conception, death, love songs, and cur-
emerged and have had a measured impact on Warlpiri ritual
ing—now form the core of Warlpiri religious activity.
life as a whole). Regardless, even though ritual repertoires
Some of these performances may last weeks, while oth-
may be smaller and the duration of performative events are
ers are performed in less than half a day. Ritual cycles tend
shorter, the vitality of and the importance of the Jukurrpa
to occur during a specific time of the year, such as during
has retained its intensity.
the wet season, which also coincides with Western-style holi-
Initiation and conflict-resolution rituals continue to be
days; adults and children are able to participate in these long
regularly performed, as they play crucial roles in the produc-
initiation ceremonies. Other ceremonies, such as women-
tion of Warlpiri identity in neocolonial Australia. These cer-
only performances called yawulyu, may occur throughout the
emonies are usually enacted during school breaks and near
year.
settlements to maximize participation and valorize the im-
Three main distinctions are generally made when iden-
portance of such events.
tifying who can participate, orchestrate, and witness ritual
RITUAL PERFORMANCES. There are two main groups of cere-
activities. These distinctions are defined by three ceremonial
monial performances. The first set is associated with rites of
events: tarruku, wiri, and warraja.
passage (initiation, betrothal, and death), and the second in-
Tarruku events are considered dangerous, potent, and
cludes performances outside elemental ones connected to the
powerful. Only the most senior persons knowledgeable in
cosmological construction of Warlpiri identity.
the specific segments of a Jukurrpa can orchestrate tarruku
The main ritual cycle linked to initiation is called kurdi-
performances. Tarruku events associated with male initiation
ji. This is a ritual in which men and women perform gender-
cannot be witnessed by women, though senior women are
specific and joint ceremonies and that marks the first stage
aware of their content and purposes. Others, such as wiri,
of a boy’s initiation into manhood through the act of circum-
can take place during ceremonies orchestrated by initiated
cision. Warlpiri boys have to undergo this procedure, which
men and enacted by both men and women. Wiri perfor-
is restricted to men when they are between twelve and fifteen
mances are considered potent but not as dangerous as tar-
years old. It is during kurdiji that preferred marital associa-
ruku events.
tions are sealed between the initiand’s family and the future
Senior Warlpiri men and women use the term warraja
spouse’s family, whether the future wife is born or not. After
to refer to ritual events open to all: initiated, noninitiated,
the circumcision of their first son, mothers, if they wish, will
non-Warlpiri, and non-Aboriginal people. Warraja events
be able to begin their ritual career. Mothers give away their
are public but remain imbued with the potency of the Jukur-
sons; sisters dance so their brothers enter manhood; fathers,
rpa. These events may be performed by men or women or
mothers’ brothers, and future in-laws seal their newly articu-
both.
lated kin and spiritual responsibilities. After kurdiji ceremo-
nies, both male and female participants have acquired sets
As in all typologies, the ones for tarruku, wiri, and war-
of kinship obligations as well as spiritual responsibilities.
raja are at best truncated. Explanations of ritual activities and
terms employed to categorize them are done by specific per-
The young circumcised men, aided by their relatives,
sons for a specific audience. For example, a person who has
will have to go through other initiation ceremonies to be able
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9696
WARLPIRI RELIGION
to participate fully in their thirties in the ritual life of their
women are relieved from their speech taboo and other re-
settlement. The second stage of initiation is called kajirri and
strictions on remarriages are lifted, as is the ban on enacting
kankarlu, or “high school” in Aboriginal English (Meggitt,
the itineraries of the Jukurrpa associated with the deceased.
1966; Peterson, 1970). Kajirri is associated with a set of
Other individuals bearing the name of the deceased can re-
Dreaming itineraries and kankarlu with others. Young men
sume the use of the name. The “finish-time” event can take
will be initiated in one or both of these cycles. Their partici-
place a few months or many years after the death of the indi-
pation will be predicated on their associations with the
vidual whose country is “opened up” again. This process of
Jukurrpa itineraries evoked, the timing of the events, and
reintegration has wide-ranging implications, offering insight
their availability. Kajirri and kankarlu require planning on
into the relationship between the living, the dead, and the
a grand scale because they demand the participation of Ab-
Ancestral Beings.
original people outside Warlpiri territory. They are usually
The second set of rituals mentioned earlier are the fol-
performed only once every few years, and young men in their
lowing ceremonial cycles: jardiwanpa, kura-kurra, ngajikula,
late teens are strongly encouraged to participate to further
and puluwanti. These are undertaken jointly by senior men
their understanding of their Jukurrpa and their responsibili-
and women. These four ceremonial cycles are distinguished
ties to the land and their ancestors, and to undergo other
by the Ancestral Beings they invoke. Most of the ceremonies
genital transformation. Young men who have undergone the
are restricted, except for the last night of the cycles when the
initiation ceremonies of kurdiji and kajirri (or its variant,
initiated, both young and old, are engaged in the final steps
kankarlu) can be subincised, a highly restricted surgical inter-
of conflict resolution. These ceremonial cycles contain a
vention. Senior men and women active in ritual life partici-
great deal of intra- and intersettlement importance, and their
pate in initiation ceremonies and perform gender-specific
highly valued content is regularly exchanged with neighbor-
ceremonies in which they reenact restricted versions of
ing Aboriginal groups.
Dreaming stories. Kinship ties among Warlpiri and other
Aboriginal families are cemented and reaffirmed during ka-
Since sedentarization, there has been a steady decrease
jirri and kankarlu events, prompting participants to perform
of public performances called purlapa. Purlapa events are
performed only by men and, like most public performances,
other rituals together.
they proclaim the richness of the Jukurrpa beyond the settle-
There are no marriage ceremonies among the Warlpiri,
ment, circulate ritual knowledge, and in the process sustain
unless future spouses get married in a church as Christians.
if not revivify social networks. In this sense, public perfor-
Betrothal takes place during initiation ceremonies. The cere-
mance simultaneously functions as a mirror and a projector
monies marking a person’s death are called malamala, or
of Warlpiri culture. Today, women’s public rituals called ya-
“sorry business” in Aboriginal English. Malamala ceremonies
wulyu play such roles. The transfer of performative responsi-
are performed by a dead person’s relatives. Widows, mothers,
bility reflects more than the mutability of Warlpiri ceremoni-
and mothers-in-law go to a “sorry camp,” where they are
al life under postcolonial pressures, as it underscores the
placed under a speech taboo that can last from several weeks
gender-specific methods by which sedentarized Warlpiri kin
to several months (Kendon, 1988). Men conduct “sorry
groups sustain their religion and their prestige within and be-
business” but are not put under a speech taboo. Male rela-
yond the confines of their settlements.
tives self-inflict wounds to their bodies to show their sorrow
Yawulyu rituals are only performed by women. These
at the loss of their relative. The name of the deceased as well
ceremonies can be either restricted or public, and they have
as all words sounding the same are placed under a speech
plural functions. In their yawulyu ceremonies, women enact
taboo. All individuals sharing the name of the deceased or
the myths for which they are kirda assisted by their
something that sounds similar are subsequently identified as
kurdungurlu, and most of them are performed in the settle-
kumanjayi, or “no name” (Nash and Simpson, 1981). All
ments where the participants live. Yawulyu are performed to
performances of the Jukurrpa associated with the deceased
enhance women’s knowledge of the Jukurrpa, sexuality, fer-
are suspended until proper “finishing-time” rituals are con-
tility, well-being, and physical and spiritual growth, as well
ducted to lift the various bans imposed after death. With
as to educate non-Aboriginal peoples about the importance
death, the pirlirrpa, or “essence of the individual,” enters a
of the land and the Jukurrpa. Through the performance of
liminal state identified as yama or marnparrpa. Since Warl-
public yawulyu ceremonies, Warlpiri women have come to
piri do not regard death as “natural,” male relatives conduct
play crucial roles as gatekeepers of Warlpiri identity beyond
a ritual in which they accuse various individuals of neglectful
the confines of the settlement.
and malign actions that led to the death of their relative.
Church purlapa is the Aboriginal English term used for
Every place and object owned by the deceased is put
creolized performances merging some components of Chris-
under taboo, and the ground where he or she walked has to
tian and Warlpiri religions. Only formally constituted in the
be swept to ensure that the spirit of the deceased does not
late 1970s, church purlapa are performed by both men and
remain among the living. Plagued with social problems and
women. Missionaries representing various branches of the
deadly diseases, the Warlpiri are involved in malamala al-
Christian church have long struggled to convert the Warlpiri
most on a monthly basis. At the “finish-time” ceremonies,
and have had a small but noticeable impact within certain
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WATER
9697
settlements. Since the mid-1990s, the younger generations
Peterson, Nicolas. “Buluwandi: A Central Australian Ceremony
have been far more actively engaged in orchestrating Chris-
for the Resolution of Conflict.” In Australian Aboriginal An-
tian ritual activities, such as church bands.
thropology: Modern Studies in the Social Anthropology of the
Australian Aborigines, edited by Ronald M. Berndt,
CONCLUSION. Despite colonial and postcolonial pressure,
pp. 200–215. Perth, 1970.
the Jukurrpa as a cultural form continues to provide a funda-
Peterson, Nicolas. “Demand Sharing: Reciprocity and the Pres-
mental structure to the lives of the Warlpiri people. The
sure for Generosity among Foragers.” American Anthropolo-
Jukurrpa cannot change and gives to Warlpiri men and
gist 95 (1993): 860–874.
women feelings of continuity in a world of uncertainty. In
Peterson, Nicolas, et al. A Claim to Areas of Traditional Land by
their enactment of Jukurrpa itineraries, the Warlpiri reaffirm
the Warlpiri, Kartangarurru-Kurintji. Alice Springs, Austra-
their ties to their lands, their ancestors, themselves, and other
lia, 1978.
Aboriginal people. Even though the frequency of ceremonial
Poirier, Sylvie. A World of Relationships: Itineraries, Dreams, and
performances has diminished and the length and site of per-
Events in the Australian Western Desert. Toronto, 2004.
formances modified, the power of the Jukurrpa remains
Spencer, Walter Baldwin, and Francis J. Gillen. The Native Tribes
strong. Through their ritual activities, Warlpiri participants
of Central Australia. London, 1899.
demonstrate the importance of the Jukurrpa and their land
Stanner, W. E. H. “On Aboriginal Religion.” Oceania Monographs
to the world at large.
11 (1966).
SEE ALSO Australian Indigenous Religions, overview article;
Swain, Tony. A Place for Strangers: Towards a History of Australian
Cosmology, article on Australian Indigenous Cosmology;
Aboriginal Being. Cambridge, U.K., 1993.
Dreaming, The.
Tindale, Norman B. Aboriginal Tribes of Australia: Their Terrain,
Environmental Controls, Distribution, Limits, and Proper
BIBLIOGRAPHY
Names. Canberra, 1974.
Anderson, Christopher, and Françoise Dussart. “Dreamings in
Wild, Stephen. “Walbiri Music and Dance in their Social and
Acrylic: Contemporary Western Desert Art.” In Dreamings:
Cultural Nexus.” Ph.D. diss., Indiana University, 1975.
The Art of Aboriginal Australia, edited by Peter Sutton,
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pp. 89–142. New York, 1988.
RANÇOISE DUSSART (2005)
Bell, Diane. Daughters of the Dreaming. Sydney, 1983.
Charlesworth, Max, Françoise Dussart, and Howard Morphy,
eds. Aboriginal Religions in Australia: Recent Writings. Bur-
WATER. In the mythical narratives in which it is fre-
lington, Vt., 2004.
quently employed, the image of water takes on many differ-
Dussart, Françoise. The Politics of Ritual in an Aboriginal Settle-
ent aspects. This article shall try to classify its appearances
ment: Kinship, Gender, and the Currency of Knowledge. Wash-
and seek to understand how the diverse functions that it ful-
ington, D.C., 2000.
fills are ordered.
Glowczewski, Barbara. Du rêve à la loi chez les Aborigènes: Mythes,
AT THE TIME OF ORIGINS. Many peoples tell how the world,
rites et organisation sociale en Australie. Paris, 1991.
already created in ancient times, was transformed and be-
Kendon, Adam. Sign Languages of Aboriginal Australia. Cam-
came what it is now. According to certain Australian tradi-
bridge, U.K., 1988.
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Laughren, Mary. “Warlpiri Kinship Structure.” In Languages of
it were many spirits. Through the action of one of these
Kinship in Aboriginal Australia, edited by Jeffery Heath,
spirits, the earth grew warm, and the first humans emerged
Francesca Merlan, and Alan Rumsey. Oceania Linguistic
from it. According to the Zuni Indians, a complex network
Monographs 24 (1982): 72–85.
of waterways circulates underground; the first Zuni were
Meggitt, Mervin J. Desert People: A Study of the Walbiri Aborigines
born there, at the lowest level. A pair of twins created by the
of Central Australia. Sydney, 1962.
Sun then made them climb to the surface. A pond marks the
Meggitt, Mervin J. Gadjari among the Walbiri Aborigines of Cen-
spot where they finally saw the light of day. A northern Aus-
tral Australia. Sydney, 1966.
tralian myth tells the story of a dema (ancestral) deity. After
Mulvaney, John, Howard Morphy, and Alan Petch. “My Dear
one of his sons struck him with a lance, he threw himself into
Spencer”: The Letters of F. J. Gillen to Baldwin Spencer. Mel-
the sea; there, another of his children drew the lance out of
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his flesh where it had remained embedded. During the voy-
Munn, Nancy. Walbiri Iconography: Graphic Representation and
age the god then undertook, a spring appeared everywhere
Cultural Symbolism in a Central Australian Society. Ithaca,
he rested. Finally, he plunged into the river Victoria, whose
N.Y., 1973.
waters he proceeded to stir up until they formed deep
Nash, David, and Jane Simpson. “No-Name in Central Austra-
branches in the forest; he then disappeared under a rock.
lia.” In The Parasession on Language and Behavior, edited by
From time to time he rises to the surface and causes storms;
Carrie S. Masek, Roberta A. Hendrick, and Mary Frances
according to some accounts, he also occupies the region of
Miller, pp. 165–177. Chicago, 1981.
the rainbow, where rain is formed.
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posed Principles of Australian Social Organization as Illus-
Myths of this type show us water as present in the world
trated by Walbiri Ethnography.” Mankind 7 (1969): 27–35.
from the most ancient times on, but they ascribe to it many
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9698
WATER
different situations. Whether peripheral to the land or un-
1. In its fluidity and elusiveness water may suggest the
derground, water is first a significant element of the universal
absence of form, the unsubstantiality and confusion from
order. Sometimes it figures simply as a geographical fea-
which the world will emerge. Inert, water has no power; a
ture—the sea or a river defining the shape of a country.
god or other beings independent of water will be the sole
However, there is something more to take note of. Water can
agents of creation. For instance, the following tale was told
be passive, with a spirit independent of it taking the sole ini-
in the Admiralty Islands. In the beginning, there was nothing
tiative in the act of transformation. And yet water is tied mys-
but an immense sea; in it swam a great serpent. Wanting a
teriously to the birth of the first humans or to the destiny
place where he could rest, he said, “Let a reef arise!” A reef
of a god, who, after disappearing into its depths, remains
then arose from the water and turned into dry land.
bound up with storms and rain. The scope of these differ-
Biblical cosmogony illustrates the meaning of water in
ences becomes clear when considering lengthier accounts.
myths of this sort. The Bible brings together various sym-
In seeking the origin of all things, many peoples relate
bols, including the desert, the void and darkness, the abyss,
how water appeared in the course of cosmogonic events.
and the mass of water that the abyss contains and above
Their explanations fall into three principal mythic systems.
which hovers the breath of God. This divine breath alone sig-
According to the first system, the world is created by a god
nifies reality. The other images have a negative value, evok-
who remains largely transcendent to it. In this case water, like
ing the idea of nonexistence; theologians will see in them a
the entire world, is a product of divine action. According to
symbol of nothingness. Vedic language can go even further:
the Desána of South America, “Sun created the uni-
Neither Non-Being nor Being existed then.
verse. . . . [He] created the earth, its forests and its riv-
Neither air nor the firmament above existed.
ers. . . . He also created the spirits and water demons” (Ge-
What was moving with such force? Where? Under whose
rardo Reichel-Dolmatoff, Desana: Simbolismo de los Indios
care?
Tukano del Vaùpès, Bogotá, 1968, pp. 48–49). An African
Was it the deep and fathomless water? (R:gveda 10.121.1)
lament evokes “the one eternal God, the creator of the ocean
In this question, the image of water alludes to the state of
and of dry land, of the fish in the sea and the beasts in the
things prior to the distinction between being and nonbeing.
forest” (Louis Vincent Thomas, Les religions d’Afrique noire,
Paris, 1969, p. 218).
2. Water has no form of its own, but rivers have a bed
and the sea has a bottom. This simple fact inspires several
In the second mythic context, the cosmogony takes on
myths. Here is a Siberian example:
the aspect of a genealogy. The first ancestor is an entity
whose simultaneously cosmic and divine attributes appear in
In the beginning, water was everywhere. Doh, the first
shaman, flew over the primordial ocean in the company
the proliferation of his offspring. The waters that are then
of some birds. Finding nowhere to rest, he asked the
born throughout the generations are themselves generative.
red-breasted loon to dive into the ocean and bring back
In a Greek system, the ancestral Earth gives birth to Heaven
some earth from the bottom. This the loon did, and on
and to Pontos, the realm of the sea, composed of salt water.
his third attempt, he managed to bring back a little mud
Earth then couples with each of these male principles. The
in his beak. Doh made of this an island on the original
first of the children she conceives from Heaven is Okeanos,
ocean which became the earth.
a freshwater river, with deep eddies; he becomes the father
The original ocean can thus cover some solid element. More-
of all the springs and rivers. Thus the deity who goes beyond
over, despite its fluidity, water itself has substance; it is itself
the world remains immanent within it: In a way, he is pres-
matter, and may contain suspended matter. In some myths
ent in the waters.
the gods capture this matter or condense it. Thus the Athar-
Finally, spirit may be presented as one of the primary
vaveda (12.1) reads: “[The Earth] was originally a wave in
agents of the formation of the world. Take for instance this
the heart of the Ocean; the Sages went looking for it with
Bambara myth: Out of the original void and motion a force,
their magic.” A Guinean myth tells how Ha made an im-
and then spirit, come forth. While the principles of things
mense sea of mud and, then, by solidifying the mud, created
are being ordered, a mass falls and gives birth to the earth.
the earth. According to the Kojiki, Izanagi and Izanami drove
However, a part of spirit arises; this is Faro, who builds the
a lance into the sea that extended below them. When they
heaven. Faro then falls to earth in the form of water, thus
withdrew it, the salty drops that fell from it solidified and
bringing life to it. Dispenser of life, water is a manifestation
formed the first land: the island of Onogoro. A Greek com-
of the divine spirit itself.
mentator on the myth of Proteus expresses himself in more
abstract terms:
It is, however, in another type of cosmogony that the
There was a time when all that existed was formless and
breadth and diversity of the functions of water become most
muddy . . . there was nothing but matter that had
intelligible. Here, water symbolizes what existed before the
been spilled out. A formless inertia reigned until the ar-
unleashing of the cosmogonic process, or the state of the
tisan of all things, having attracted order in order to
world in the first phases of its history. There are numerous
protect life, imposed its imprint on the world. He dis-
variations on this theme.
joined the heavens from the earth, separated the conti-
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nent from the sea, and each of the four elements . . .
become the ancestors of all creatures and, in this sense, the
assumed its own form. (Heraclitus, Homeric Allegories
first authors of the cosmogonic process. Greece had a similar
64ff.)
system, which Homer has preserved. Simultaneously cur-
In this type of myth, water no longer signifies nothingness;
rents of water and anthropomorphic deities, Okeanos and
it possesses a true existence. The gods use it, but it remains
Tethys couple and give birth; their descendants will include
inert; they alone are active.
all beings who will constitute, rule, or people the universe.
3. Very similar accounts, or even variants of the same
Essential to the life of plants, animals, and humans
myth, however, endow water with a certain spontaneity.
alike, water can be identified with the life-bearing forces and
This is the case in a story told by the Muskogee of North
with fecundity itself. The regenerative nature can appear in
America. Before creation, they say, a vast expanse of water
a less biological fashion. One reads in the S´atapatha
was the only thing visible, and two pigeons flew over the
Bra¯hman:a (11.1.6.1): “In the beginning, the waters and the
waves. At one end, they noticed a blade of grass growing on
ocean alone existed. The waters had a wish: ‘How shall we
the surface of the waves. From this grass the earth gradually
procreate?’ They made an effort. They practiced ascetic heat-
took shape, and at last the islands and continents took on
ing [tapas], and so it happened that a golden egg appeared.”
their present form. One may also refer to an Orphic Greek
This egg contained Praja¯pati. Thus not only is water filled
cosmogony, according to which the primordial water appears
with the desire for procreation (ka¯ma), it is also capable of
to have been muddy. The matter it contained was condensed
truly creative effort and ascetic heat (tapas).
to become earth, and then from water and earth was finally
born the mysterious god who would engender the cosmic
When looking at the role water plays in the later phases
egg. Despite their very different styles, both of these myths
of the creation of the world, one sees these observations con-
share one feature: Something happens in the original waters,
firmed. Within one and the same cosmogonic system, waters
without the intervention of any power external to the waters
can successively assume attributes that enable one to distin-
themselves. They therefore possess a certain intrinsic power.
guish different systems within the most ancient phases. For
Other myths go on to explain the nature of this power.
example, it was seen that the embryo of Praja¯pati developed
in the primordial waters. But then Praja¯pati himself under-
4. In Hindu cosmogonies, waters are often represented
takes the creation of the waters. In the S´atapatha Bra¯hman:a
as a receptacle of the divine egg or seed, which grows in the
(11.1.6.16–19), Paramestin, son and hypostasis of Praja¯pati,
waters, carrying the god full of activity. But they do not give
wished to become all things on earth. So he became water.
birth to what they carry. “In the beginning, he created only
Similarly, Praja¯pati will become breath, and Indra, the word.
the waters, and then, in the waters, he laid his seed. And this
These notions are not contradictory; they represent different
became a golden egg. . . . In this egg Brahma¯ was born of
stages in creation. Whatever their amniotic qualities, the pri-
himself, the ancestor of all living things” (Ma¯nava
mordial waters are formless and not especially substantive,
Dharma´sa¯stra l.8–9). Auspicious for the development of the
since Praja¯pati still remains an embryo within them. After
divine embryo, such waters fulfill an almost amniotic func-
his birth, however, the god creates more defined and con-
tion. Egyptian mythology has a similar body of water, known
crete waters outside of himself. In this way the text shows
as Nun. The primordial water is considered divine. It bears
that the deity penetrates the waters just as he penetrates the
its own name and assumes human attributes. It can speak,
entire universe.
and it can form a couple with its feminine double, the god-
dess Naunet. In Heliopolitan tradition, it is in Nun that the
Other narratives make simpler distinctions among the
autogenous solar god is born and later rests. There he begins
successive states of water. If primordial waters are an inert
his creative or generative activity, and there, perhaps, the first
mass, it would be logical for them, during the course of cre-
gods begin their existence.
ation, to be influenced by the actions of the gods who rule
them. In the Bible, God creates a space in the midst of the
5. The image of a vivifying water that favors the birth
original waters, dividing it into two masses, the upper and
of a god or the growth of an embryo is in fact very close to
the lower waters. After creating a solid mass, he then sepa-
that of a fecund and procreative water. Some Egyptian texts
rates that from the lower waters, thereby forming the sea and
give the impression that Nun himself engendered the solar
dry land.
god, whom he calls “my son.” Nun has thus been called the
“father of the gods.” For a more clear-cut example of an
Waters also submit to the demiurgical action in more
image of procreative water, however, one may turn to the
ambiguous accounts. Here is a Fali (African) myth: One of
Babylonians. The Babylonians recognized two beings, Apsu
the first animals, the tortoise, gave the world its first structure
and Tiamat, who existed prior to the formation of heaven
by laying out a ditch on the waters. After the first crisis, when
and earth. They are at one and the same time waters, whose
rain threatened to submerge all things, the toad—another of
currents, in the beginning of time, mingled in a single mass,
the first animals—completed the structure. He separated
and two personified divinities, one masculine and one femi-
standing water from running water and opened up a second
nine. Their union produces another divine couple, who in
path for the waters, cutting through the earlier ditch. Thus
turn will have their own offspring, so that Apsu and Tiamat
he divided the world into four parts.
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Passive waters can also be mere instruments in the hands
One may now consider instances in which waters are
of those who confront each other in the course of great cos-
portrayed as destructive. Several examples can be found in
mogonic battles. In Hindu mythology, the demon Vr:tra
the ancient Near East. The Ugaritic Baal, god of the storm
holds back the waters and prevents them from irrigating the
and of rain, symbolizes the forces of life. He periodically
earth. Indra, who is waging a difficult war against him, is fi-
struggles against Mot, the incarnation of drought and death.
nally victorious and gives life to the world by releasing the
He must also combat and conquer Prince Yamm, that is, the
waters. Mesopotamian myths are more complex. When the
sea prince. Because of the gaps in knowledge it is difficult
god Enlil decides to destroy humanity, he first holds back
to locate this conflict within the mythical history of the
the rains and prevents underground waters from reaching the
world. So much, however, is certain: Yamm is threatening,
surface. Then, in a second attempt, he unleashes the waters,
and Baal’s victory is necessary to the survival of the universe.
causing a flood.
Things are clearer in the Enuma elish. Troubled by the
Although waters thus appear to be temporarily mastered
proliferation and activity of their offspring, Apsu and Tia-
by the gods who use them, they are not completely inert. Not
mat, whose mingled waters had given birth to the most an-
only do they seem to help Indra in his combat, but they are
cient beings of the Babylonian myth, one day tried to destroy
used by the gods primarily because they have a power of their
their descendants. Apsu, who was the first to try, was quickly
own. The gods retain them because they are fertilizing; they
conquered by Ea’s magic. Ea then built his temple on the wa-
unleash them because they are destructive.
ters of Apsu, which were henceforth underground. Tiamat,
who tried next, was more formidable, but was killed in the
The life-bearing and generative qualities that have been
end by Marduk. By blowing into and swelling up the mon-
recognized in some of the primordial waters become mani-
strous body of Tiamat, the young god separated the celestial
fest in the later phases of the cosmogony. Thus in a later stage
waters from the earth; he opened the way to mountain rivers
of the Sumerian cosmogony, Enki, the Sumerian water god,
as he imposed his order on the entire universe. The primor-
impregnates Nintur, a goddess close to the earth, by scatter-
dial beings thus appear to want to abolish the agitation that
ing his seed on a riverbank; he then becomes the father of
accompanies the rise of the world in order to recover the
the goddess Nimu. With Nimu he begets Ninkurra, and
peace they knew in the undifferentiated state of the first ages.
with Ninkurra, Ottu. Similarly in Greece, whether they be
Their inertia proves destructive. Tiamat appears as a monster
the primordial pair (as in Homer) or be born of Heaven and
in the army of monsters she has raised. The original divine
Earth (as in Hesiod), the river Okeanos and his spouse Te-
waters must be conquered before the organizing gods can ac-
thys have many offspring in the form of springs and rivers;
complish their work by pushing them back to the ends of
the latter also procreate. In this manner waters contribute to
the world.
the growth and enrichment of the universe. They also do so
in another way: Enki fills ditches, canals, and fallow land
WATER IN THE PRESENT WORLD. One again encounters the
with water, thus participating in the organization of the
different qualities, functions, and powers of water when
world.
looking at the position it holds in the completed world. Wa-
ters are one of the great domains of the ordered universe.
Amma, the Dogon creator god, also has close affinities
Evoking the totality of the world, an Egyptian tale lists the
with heaven and water. His children, the snake-shaped
sky, the earth, the domain of night, the mountains, and the
Nommo, who are associated both with water and with the
waters. The R:gveda refers more simply to the sky, the waters,
primal word, are the most active and successful agents of the
the earth. But despite such seemingly straightforward classifi-
cosmogonic impulse. They contribute to the birth of sexuali-
cations, water is not thereby reduced to its palpable appear-
ty and permit the birth of the first ancestors. The latter, who
ance; it continues to occupy places that are inaccessible to
in turn acquire the dignity of Nommo, keep close ties with
us; it possesses unsuspected qualities and powers.
water. After eating the first dead person, one of them furnish-
es society with the principles of its structure by vomiting up
The cosmic waters. For many peoples waters constitute
water—a prefiguration of torrents and ponds, the source of
the limits of the universe. They make up a vast expanse, in
the five rivers, and of the waters of parturition.
the middle of which lies the earth, like an island. They may
be divided into two oceans on either side of the world, or
Finally, water is sometimes tied more specifically to the
they may flow in a river that surrounds the world, like the
birth of humanity. A trout out of water couples with a man
Greek Okeanos. They also frequently occupy the lower re-
from the underground lakes to beget the first clans of the De-
gions of the world in a more or less complex network of wa-
sána. According to some New Guinea traditions, the dema
terways underground. Or again, sometimes the entire earth
deities once lived under the earth, except for one of them
is believed to rest on water. Finally, water is also found in
who dug a hole in the ground. The others came out through
the upper regions, above the heavens. Thus water can sur-
the hole; then it filled up with water, and fish began to swim
round the world in any of the three dimensions of space. For
in it. After a complex sequence of events the fish became
the Desána Indians, a region bathed in water extends under
men. Finally, in Greek mythology, men often appear by
the earth; water also circulates in the filaments of the Milky
coming out of a river.
Way. In Mesopotamian texts the earth is built on the waters
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of Apsu, while the waters of Tiamat occupy the space above
honored as Hapi, an anthropomorphic god. Water is thus
the heavens.
the manifestation of a divine power that does not exactly co-
incide with the tangible appearance of the liquid element.
Waters can also help to define the center of the world.
Nevertheless, its immanence within this element is such that
According to the Fali myth already cited, this center is locat-
water can be perceived as the divinity itself.
ed at the intersection of two open trenches in the waters. A
character from an Iroquois myth runs around a lake to make
In other cases, however, waters simply serve as the abode
the earth grow; the earth then develops on all sides under his
of spirits or sacred powers. Such spirits may inhabit a lake,
steps. The great Ugaritic god El dwells at the source of the
a river, or the waves of the sea, or like others may live in a
rivers in the midst of the course of the two oceans. The Gua-
grove, a rock, or a mountain. Several gods that exercise a
raní Indians call the original abode of their ancestress the
more extended authority should be mentioned separately.
“Gushing Spring.” It is the true center of the earth, the true
First of all, there are lords of rain, who are in some sense be-
center of the land of their first last father.
lieved to cause it. However, rain also depends on beings
whose powers are not restricted to the control of rain. In
Because they occupy highly significant parts of the uni-
order to obtain rain, therefore, one must invoke several gods
verse, waters help to define cosmic order. The S´atapatha
together, or certain ancestors who have become powerful
Bra¯hman:a says categorically: “The waters are the order of the
spirits. Rain is sometimes conceived of as a gift from the su-
world” (11.1.6.24). In particular, bodies of water often es-
preme being, or the god of rain may be made into the su-
tablish important boundaries. In one widespread image, a
preme being itself.
lake or river separates the land of the living from the world
of the dead. Examples of such a body of water include the
Several ancient Mediterranean and Near Eastern peo-
river one crosses to reach the Babylonian Land of No Return
ples had a storm god. He rides or gathers the clouds, causes
and the Acheron of the Greeks. Furthermore, just as one
thunder and lightning to strike, and makes the rain fall. This
must cross the waters to enter the realm of death, one must
storm god occupies a preeminent position among the gods;
also cross the waters to enter the land of the living; according
he can reign over them, protect the cities or their kings, and
to the Ewe people, a child crosses a river when it is born.
extend his power over the entire universe. Less prominent in
the Hindu pantheon, the storm god Parjanya is a destroyer
Not all peoples make an explicit relationship between
of demons; in some texts, he seems to be in command of the
cosmic waters and the waters nearer at hand. Several do,
whole world.
however. Thus rains are sometimes believed to come from
the celestial waters, and rivers from waters underground, if
The power of the gods that reign over the waters in a
not from the waters surrounding the earth. Some texts pro-
more general fashion is similarly extensive. The Sumerian
vide more complex images. In a Babylonian poem, springs
god Enki, who comes by sea from a faraway land, established
and rivers arise from the head of Tiamat’s corpse; they there-
his residence or temple on the underground waters of Apsu,
fore seem to come from the waters that occupy the upper re-
whom he has subdued. Enki is the lord of the waters. After
gions of the world, even if these are near the earth, at the ends
being the major organizer of the world and one of the cre-
of the horizon. In ancient India, the Ganges was thought to
ators of humanity, he remains the master of fate. Along with
descend from the heavens.
An and Enlil, he belongs to the supreme triad. The same can
be said of Ea, his Akkadian counterpart. King of the abyss,
Waters and the divine. Wherever they are found, wa-
god of the vast sea, lord of the terrestrial waters, Ea has his
ters are often bound up with divine powers. The Hindu
place in the celestial world, and his counsel is heeded by the
world generally holds them to be goddesses. More explicitly,
gods. Thus the power of the god of water usually transcends
in other cases, it is the sea, certain rivers, and certain springs
the domain of water.
that are considered to be gods. People in Vedic India, for in-
stance, sacrificed to rivers. The Tigris and the Euphrates ap-
The inverse phenomenon is also found. The authority
pear in a list of Hittite deities. Rivers are invoked in one Ho-
of a more universal god is exercised in privileged fashion on
meric oath.
the aquatic world. In the Veda, for example, Varuna is a
major god who rules over nature, gods, and humans; he is
There is something remarkable about these water dei-
the guardian of r:ta, the religious order of things. He is often
ties. They are something more than representations of a
closely linked to water. With Mitra, he can cause rain; with
purely natural element. Thus while the Egyptian Nun is a
Indra, he can declare: “It is I who have swelled the rushing
waterway on which the boat of the Sun sails at night, he is
waters” (R:gveda 4.42). He rests on the waters, and his golden
also a personage who can speak. Similarly, the name of the
house is built on them. The two oceans are his entrails; he
Ugaritic god Yamm means the sea itself; another of his names
is hidden in each drop of water.
evokes the image of a river, but he also appears with the fea-
tures of a prince or judge who sends ambassadors to the di-
The situation is more highly defined in Greece. Posei-
vine assembly. The Greek Pontos is the salty expanse of the
don, the god of the sea, is not essentially an aquatic deity.
sea; he is also a masculine being who couples with Earth and
His name and several myths prove that he has close affinities
sires offspring. In Egypt, the Nile (and its floodwaters) is
with the earth. Son of the ancient king Kronos, he was given
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WATER
sovereignty over the seas when the paternal heritage was di-
As vital principle, water allows people to ward off illness
vided up; one of his brothers got the netherworld and the
and to keep death away. Because water makes the plants of
other, the heavens. Thus he commands the waters and raises
the pharmacopoeia grow, or because of the effects of its in-
tempests, but he is not immanent in them. Other gods—
trinsic qualities, the Veda associates it with the origin of
Pontos, Nereus, and Proteus—are more intimately tied to
medicine. In particular, water is believed to be highly effec-
water. But in the case of Poseidon, sovereignty originates in
tive against the venom of snakes. In a more positive sense,
a region beyond the domain where it is exercised. Whatever
water is said to give vigor, make old men young, and prolong
their wealth and power, waters are not the source of a politi-
life.
cal type of power. Political power is closer to the heavens;
Water is even capable of conferring immortality. Gil-
this is why it cannot be held by a god of the storm.
gamesh finds the herb of life, which enables people to escape
The qualities and powers of water. In their varied
death, at the bottom of the waters. Several peoples speak of
manifestations, the water gods and the waters themselves
a “water of life” that bestows immortality. Similarly, to give
possess in the present world qualities or traits comparable to
her son Achilles eternal life, Thetis wants to plunge him into
those that have been seen in the primordial cosmogonies.
the waters of the Styx. The Greeks in general establish a rela-
The waters that extend beyond the world and delimit it may
tionship between Okeanos and ambrosia, as the Indians do
in some cases be a symbol of the void, as they once were of
between water and soma.
nothingness; but this is not certain. These faraway waters
sometimes feed terrestrial waters: They must have the same
There is a more enigmatic aspect of water: It possesses
density. Water’s fluidity and elusiveness are, however, mani-
wisdom and knowledge. Water seeks the truth, one reads in
fested in the faculty of metamorphosis found in certain
the Vedas. The Mesopotamian water god Ea, full of wisdom,
aquatic spirits or divinities. In a Vietnamese tale, a water spir-
dispenses counsel to the gods. As a sage, he protects the
it takes the shape of a seductive boy. Hindu nymphs turn
mythical old wise men who were born in the abyss in the
into birds, and Greek sea gods, Proteus, Nereus, and his
form of fish. The most ancient Greek water gods engender
daughter Thetis, assume several forms in succession to escape
daughters whose names denote qualities of intelligence.
those who attempt to detain them. This ability can be trans-
Among the Oceanids, these are Metis (“prudence”) and Idyia
ferred. In Burmese narratives, the water of a certain pond
(“the knowing one”); among the Nereids, Panopeia (“the all-
transforms the person or animal who drinks it, the former
seeing one”) and Nemertes (“the veracious one”). The latter,
into an ape, and the latter into a human.
says Hesiod, has the same quality of spirit as her father.
Nereus is in fact frank, loyal, and gentle, always concerned
Water is essential for human life; it ensures human
with justice. He resembles Proteus, who knows the present,
nourishment by fertilizing the land. It is more than nourish-
the past, and the future.
ment, because it is the source of nourishment. It may, there-
fore, be compared not only to milk, but more particularly
Where does this wisdom of water come from? A Gua-
to the cow. Because of its utility, it is perceived as a privileged
raní narrative establishes a relationship between the freshness
support of vital forces. The Vendas, for instance, equate
of water and the freshness of the soul accompanied by mod-
water with the blood, while the Desána view the rivers as um-
eration. In a Vedic text the waves, which stave off all evils,
bilical cords joining people to the amniotic waters under-
also keep away lies. A Greek text associates the extent of
ground. In both Hindu and African texts, it is common to
knowledge with the immensity of the depths of the sea. But
speak of the waters giving life and engendering humankind.
perhaps the wisdom of the water gods is a function of their
age. In the Hellenic world, the wisest among them are called
This is why water is found associated with sexuality. The
“the old men of the sea.”
Diola sing: “Women’s sexual organs are full of water . . . ,
if Ata Sembe sleeps with a woman, he will always get her
Waters, which at one and the same time are sages and
pregnant” (Louis Vincent Thomas, Les religions d’Afrique
generative forces—to the point of symbolizing at times the
noire, Paris, 1969, p. 202). In this respect, waters often as-
creative power itself—are close to the word. To the Dogon,
sume a feminine character. The Apsarasas of India and the
water and the word are joined in the person of the Nommo,
Greek Naiads and Nereids are young women, caught up in
whose civilizing activity simultaneously links the arts of civi-
erotic adventures. But the waters can also be masculine.
lization with the word and with wetness; one finds similar
“They rest on sperm, as Varun:a rests on the waters,” says the
associations among the Bambara. In R:gveda 10.125, the ritu-
Br:hada¯ran:yaka Upanis:ad 3.9.22. To the Greek poets, the
al word itself, whose efficacy is cosmic, says of itself: “My ori-
heavens send rain, like seed, to the earth, in an amorous out-
gin is in the waters, in the ocean.” Water is not always benefi-
burst. The Egyptian god of the floodwaters of the Nile—
cent, however. In the present world, water can be hostile to
Hati, the dispenser of life—is androgynous, and the Nile is
humans, just as it could be destructive in the remote time
imagined as half man and half woman. Its waters are male,
of myth. There are catastrophic rains and floods; people
and its arable land is female. Together, they are father and
drown in rivers and seas. These are not simply accidents but
mother. In Greece the rivers are strongly masculine, and like
the manifestation of evil powers allied with the liquid ele-
the gods of the storm and of rain, have the attributes of a
ment. One example alone illustrates this: Indigenous peoples
bull.
of the north of Australia have a serpent-shaped spirit that
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9703
lives in the clouds during the dry season and in marshes dur-
the earth; from there came the first organizer of the world.
ing the rainy season. It is he who drowns humans in floods,
It is a uterine domain, the source of all life, to which the peo-
he who swallows them up when they venture out into
ple yet to be born are tied by a sort of umbilical cord. The
swamps.
best of the Desána will go there after death. Happy death is
thus conceived as a return to the amniotic waters. Among
The negativity of water can take other forms. For the
the Polynesians, the dead inhabit a sad region, located be-
Desána, water is a symbol of illness. In one Mesopotamian
yond the seas; the chiefs, however, go to a different land,
text, bad coughs are caused by Apsu. An account from
where the god Tane gives them a water of life that brings
Gabon goes even further: The water spirit embodies rain,
them back to life.
cold, and death. Mesopotamia also has waters of death, just
as it has waters of life.
Nun, the primordial water, crosses through the Egyp-
This hostile power is sometimes incarnated in mon-
tian land of the dead. At night, the boat of the sun sails over
strous creatures. The Desána believe that a formidable centi-
its waves to the east. In some texts, the dead board this boat
pede lives in the sea; they also talk of maleficent serpentine
and make its journey with it. In other texts, they bathe in
creatures, some of whom eat children. The descendants of
Nun, into which the sun god also dives. Assimilated to him,
Pontos, the Greek god of the sea, include several hybrid be-
they come out again, regenerated. But the infernal waters are
ings with destructive powers, such as the Gorgons, who dwell
not always beneficent and life-giving. They contain reefs that
near the waters of Okeanos, and the Hydra, in the marsh of
the ferryman’s boat must steer clear of; they contain dangers
Lerna. One recalls that Tiamat took on the form of a mon-
and are disquieting. The Nun was supposed to be the site
ster. Such monsters survive in the beliefs of ancient Israel;
of mysterious drownings.
they are the leviathan, Rahab, and the dragon Tannin.
Among the Greeks, Hades contains rivers and lakes.
In the Hebrew scriptures, the ocean itself is often repre-
The names of two of these rivers reveal their nature: Pyriphle-
sented as an adversary of Yahveh. Of course, in imposing his
gethon (Puriphlegetho¯n) means “burning and flaming like
order on the world, Yahveh conquered the waters and sub-
fire”; Cocytus (Ko¯kutos) means “groan, lamentation.” The riv-
dued the monsters they harbor; he is henceforth their master.
ers terminate in the abyss of Tartaros where, according to
However, their menace continues; the sea monster might re-
Plato, evil souls suffer a temporary punishment. Other souls,
awaken, and if he does, God, who watches him, will kill him.
however, purify themselves on the banks of the lake Ac-
herousias, where they pass before reincarnation. Proclus
At times beneficent and at others maleficent, close to the
states more clearly that the souls purified in Acheron attain
principles of life and to creative power but nonetheless capa-
a better fate.
ble of destruction, a relative of gods and monsters, water
bears within it all the ambiguities of the sacred. It is an agent
One frequently recurring idea is that the dead are
of purification not only because it bathes, dissolves, and car-
thirsty. Drink refreshes them; thanks to it, they regain some
ries off material filth; its cathartic power is even more myste-
form of life, as suggested by Egyptian texts. Not all waters,
rious. According to a Babylonian text, water banishes all
however, are equally beneficent to the dead. In certain Greek
evils, even those that have not yet had an impact but that
traditions, there are two springs in the netherworld; the initi-
have been foretold by bad omens. In a Vedic hymn, water
ate knows he must drink from the one that comes from the
frees humanity from the consequences of false oaths and
Lake of Memory. Plato mentions a Plain of Forgetfulness
from all the sins people have committed.
where the Lake of Negligence is found. One of the infernal
waters thus suppresses memory while the other maintains
The purity conferred by water is a positive trait. Water
and reaffirms it, acting like the water of wisdom and knowl-
conveys to humankind certain of its virtues. It causes vision,
edge already discussed. The importance of this opposition is
according to a Vedic text. In a Greek legend, Pherecydes pre-
apparent in the privilege granted to Pythagoras and Empedo-
dicts an earthquake after drinking some water from a well.
cles, who were said to have been allowed to retain the memo-
When Okeanos and Tethys purify Glaucus, they render him
ries of their previous existences. It would appear from a read-
capable of undergoing the deification process to which he is
ing of Empedocles that this privilege belongs to the souls
subject. Thus, waters are fully purifying to the extent that
who will shortly escape reincarnation.
they are also, to a certain extent, sacralizing.
CONCLUSION. In conclusion, the wide range of meaning
Several of the qualities of water just discussed are mani-
given to the image of water is not without limits, and even
fest in the world of the dead. For certain Zuni societies, the
opposing meanings given in different myths are not incoher-
ancestors inhabit a village at the bottom of a lake. The mem-
ent. These diverse meanings are in large part suggested by
bers of the society believe that when they die they will go to
the diversity of human experience of water as a natural phe-
sleep and wake up as young children in this village, at the
nomenon.
bottom of the “whispering waters.” These waters seem to be
the symbol of a blissful condition where ancestral life and
Water can be ambiguous. As a fluid, it can symbolize
childhood commingle. The beliefs of the Desána go even fur-
a pure absence or an as yet still amorphous material that will
ther. A region bathed in water, Axpicon-dia, extends beneath
be used by the gods. It may fulfill a positive function. It
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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WAWALAG
bathes, dissolves, and purifies. Essential to human life and
Ginouvès, René, ed. L’eau, la santé et la maladie dans le monde grec.
necessary for the growth of plants, it symbolizes a generative
Actes du colloque de Paris 1992. Athens, 1994.
or life-giving quality, very similar to creative power. It is thus
Loicq, Jean. “Eaux (Culte chez les Celtes et les Gallo-Romains).”
divine and sacralizing. Yet it is also capable of playing a nega-
In Dictionnaire des religions, edited by Paul Poupard,
tive role. The gods can utilize the destructive power of its
pp. 561–566. 3rd edition, Paris, 1993.
waves. Active in itself, whether divine or monstrous, water
Lurker, Manfred. “Wasser.” In Wörterbuch der Symbolik. Stutt-
erodes everything that takes form and tends to annihilate all
gart, Germany, 1983, pp. 753–754.
distinctions in its own inconsistency. Finally, just as rivers
Masson, Denise. L’eau, le feu, la lumière d’après la Bible, le Coran
and seas contribute to defining the contours of a country, so
et les traditions monotheistes. Paris, 1985.
the dividing of the waters helps to define cosmic order.
Ries, Julien. “Eau.” In Dictionnaire des religions, edited by Paul
The image of water therefore is not univocal. It can
Poupard, pp. 559–561. 3rd edition, Paris, 1993.
never be interpreted without considering the totality of the
Varenne, Jean. “Eaux (Dans l’hindouisme).” In Dictionnaire des
myth in which it figures. But it is not indifferent, defined
religions, edited by Paul Poupard, pp. 566–567. 3rd edition,
only by the position it holds in the mythic system of a given
Paris, 1993.
society. Capable of calling forth the memory of various con-
Wild, R. A. Water in the Cultic Worship of Isis and Sarapis. Leiden,
crete experiences and numerous emotions, it carries specific
1981.
meanings within it in a potential state. Each narrative actual-
JEAN RUDHARDT (1987)
izes some of these meanings.
Translated from French by Erica Meltzer
No rule of logic requires that the meaning that water
Revised Bibliography
assumes in the evocation of the time of origins must remain
unchanged during the course of the cosmogonic process or
in the present world. On the other hand, in the small num-
WAWALAG. The most important myth and ritual con-
ber of mythic systems that this author has studied in some
stellation in Australia’s north-central Arnhem Land belongs
depth, it has been striking that the uses of the image of water,
to the Dua moiety. (Everyone and everything in this entire
often quite diverse, nevertheless remain coherent, owing to
region belongs through patrilineal descent to one or the
the theological intention that inspires the whole of a given
other of the two moieties, Dua and Yiridja.) The myth focus-
system.
es on two sisters in human form who were swallowed by the
SEE ALSO Ablutions; Baptism; Flood, The; Lakes; Rain;
Great Python, Yulunggul. The sisters are known in north-
Rivers; Spittle and Spitting; Tears.
eastern Arnhem Land as the Wawalag and in north-central
Arnhem Land as the Wagilag. The dramatic story line, told
BIBLIOGRAPHY
in narrative or song form or in a combination of both, is now
Bachelard, Gaston. L’eau et les rêves. 4th ed. Paris, 1978.
a popular subject of bark paintings created for sale to non-
Eliade, Mircea. “Baptism, the Deluge, and Aquatic Symbolism.”
Aborigines.
In his Images and Symbols: Studies in Religious Symbolism,
SUMMARY OF THE WAWALAG STORY. The two sisters leave
pp. 151–169. New York, 1961.
their home near the Roper River in Wawalag country for
Kaiser, Otto. Die mythische Bedeutung des Meeres in Ägypten,
their long journey toward the north coast. In some versions
Ugarit und Israel. 2d ed. Berlin, 1962.
the elder, Waimariwi, is pregnant and in some versions al-
Lüders, Heinrich. Varun:a, vol. 1, Varuna und die Wasser. Göt-
ready has a small child (or two). The younger, Boaliri, has
tingen, 1951.
just reached puberty. (In one version, she is pregnant.) Along
Ninck, Martin. Die Bedeutung des Wassers im Kult und Leben der
with digging sticks and long food-collecting baskets (signify-
Alten. Leipzig, 1921.
ing a feminine domestic role) and one or two dogs, they
bring heavy baskets of stone spear blades (also of the Dua
Nola, Alfonso di. “Acqua.” In Enciclopedia delle religioni, vol. 1.
moiety) from the stone-chipping quarries in Ridarngu-
Florence, 1970.
language territory, home of the Yiridja moiety, a source of
Raymond, Philippe. L’eau, sa vie, et sa signification dans l’Ancien
eligible spouses for Dua moiety Wawalag people. The sisters
Testament. Leiden, 1958.
give names to the places along their way, as well as to all the
Rudhardt, Jean. Le thème de l’eau primordiale dans la mythologie
vegetable foods and small creatures they collect. They are
grecque. Bern, 1971.
tired when at last, late one afternoon, they come to a quiet
New Sources
water hole shaded by paperbark trees and cabbage palms.
Capdeville, Gérard, ed. L’eau et le feu dans les religions antiques.
They do not know it is the home of the Great Python. They
Actes du premier colloque international d’histoire des religions
collect stringybark to make a small hut, paperbark for com-
organisé par l’Ecole Doctorale Les Mondes de l’ Antiquité, Paris
fortable sleeping mats, and firewood to cook their meal.
1995. Paris, 2004. 22 contributions in French and one in
Spanish concerning the role played by water and fire mostly
At this juncture the emotional tone of the myth changes
in the Greek and Roman worlds but also in China, India,
sharply. Either shortly before the sisters arrive at the complex
Iran, Israel, and ancient Gaul.
of named sites centering on the water hole (Mirara-minar,
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WAWALAG
9705
or Muruwul), or soon after that, the elder sister (or the youn-
ognition of priority of rights and priority of ownership of the
ger, according to which version is followed) gives birth to a
myth, accorded to a cluster of clans in north-central Arnhem
child; in some versions, one of the sisters is menstruating.
Land.
Now, blood (or the smell of blood) comes close to the water
The most extensive published account of the myth and
hole or falls into it.
associated rites derives from Warner’s field research in the re-
The sisters begin to worry about the possible proximity
gion, conducted in the late 1920s (Warner, 1937, e.g.,
of a Snake, but since it is too late to move on, they settle
pp. 248–259, pp. 376–411). He notes a number of differing
down to eat their supper. However, every item of food, as
versions but adds that “all the fundamental features and most
they reach out their hands for it, jumps from the hot coals
of the secondary ones were always present, no matter how
and makes for the water hole. Dark clouds gather, and rain
poor the narrator.” Ronald M. Berndt (1951) studied the
begins to fall, lightly at first, then heavily, with wind, thun-
myth from the northeastern Arnhem Land side, with special
der, and lightning engulfing the hut in a fierce storm sent
reference to the Kunapipi complex. In both accounts, the
by the Great Python. During the night the sisters, in turn,
principal meaning to local people lies in the dynamic interre-
dance, sing, and call out ritually in an attempt to calm the
lationship between the myth and three major ritual complex-
storm. In one version the younger sister performs in men’s
es: the initiatory Djunggawon, the Kunapipi, and the Ngurl-
singing style, using two clapping sticks. The elder sister’s ef-
mag; Warner adds (p. 249) a fourth, which he calls the
forts are more successful. They sing songs with increasingly
Marndiella (Mandiwala). But these ritual meanings them-
greater sacred power: songs about the Great Python, about
selves include social implications and ramifications that are
circumcision ritual, about blood, Kunapipi (Gunabibi)
noted or hinted at in the myth. For example, in some ver-
songs, secret-sacred songs. Then, thinking all is quiet, they
sions the Wawalag sisters would have circumcised their
fall asleep while the Great Python, who has emerged from
son(s) if the Great Python had not intervened.
his water hole, sings. Finally, he coils around the hut, puts
In men’s versions (Berndt, 1951; Warner, 1937), the
his head inside, bites their noses, drawing blood, and swal-
sisters commit incest before they begin their journey north-
lows them—along with the stone spear blades, the baskets,
ward, and it is this “wrongdoing,” as well as the “polluting”
the child(ren), and the dog(s). Later, when an ant bites him,
of the water hole with blood, that is responsible for their
he jumps and vomits them but then he swallows the sisters
being swallowed by the Snake. Women’s versions, however
again.
(Berndt, 1970), do not mention incest. They imply that, if
He raises himself, with his head toward the sky, and
there had been incest, it would have taken place at the
talks with other great snakes to the east and southeast about
Snake’s water hole. Warner actually mentions that “incest”
what each of them had been eating. He mentions other food,
had occurred, in the sense that the women and children swal-
but finally admits he has eaten the Wawalag and their stone
lowed by the Snake are called “sisters” and “sisters’ children”
spear blades. Lowering himself to the ground again, he sinks
by him (pp. 193, 253). In the subsequent conversation be-
into his water hole with the sisters still inside him. An addi-
tween the Snakes (p. 257), when the Wessel Island Snake
tional section in versions recorded by William Lloyd Warner
hears the truth, he is “disgusted. ‘You’ve eaten your own [sis-
(1937, pp. 257–259) tells how the women and children are
ters and sisters’ children],’ he said. This was a terrible thing.”
revived. Then Yulunggul kills them again, swallows them,
Men’s versions do not dwell on this point; instead they
and takes them back along an underground watercourse to
blame the women for their earlier “sin.”
Wawalag country, where he leaves the women, who turn to
In regard to the blood in the water hole, the situation
stone, but keeps the boys inside him because they are of the
is less straightforward than it seems. Men’s versions, reported
Yiridja moiety and he is Dua. Then come the linking epi-
by men, tend to emphasize pollution, uncleanliness, or the
sodes between the myth as such and its ritual counterparts,
“profaning” effect of menstrual or afterbirth blood. In many
including dreams in which the Wawalag sisters teach men
versions, and in associated discussions, the expressions used
the secret-sacred songs and rites that become the responsibili-
include “attraction” as well as “anger” and “repulsion,” an
ty of men of appropriate ritual and territorial status.
approach that is certainly compatible with “eating” rather
C
than with more direct killing; moreover, the terms for “eat-
OMMENTS AND INTERPRETATIONS. The Wawalag myth is
ing” in these dialects can apply to sexual intercourse as well
usually long and quite detailed, covering small as well as large
as to the ingestion of food. Attitudes toward blood are a cen-
events, conversations, songs (referred to by name or included
tral feature in definitions of sacredness in this region. Dis-
within the text), names of places and foods, brief descriptions
tinctions between men’s blood and women’s blood in rela-
of the environmental setting, and symbolic and ritual allu-
tion to ritual and natural circumstances of bloodletting or
sions. This simplified outline constitutes merely a set of clues
blood emission have been associated with an arbitrary divi-
to the content of the myth. As far as Aboriginal people in
sion between sacred and profane that needs much more rig-
north-central and northeastern Arnhem Land are concerned,
orous scrutiny.
the range of acceptable versions—and therefore of acknowl-
edged and potential meanings—hinges on factors of sex, age,
Nancy D. Munn (1969) is concerned with the general
ritual status, and regional perspectives. This last includes rec-
issue of the nexus of the Wawalag myth and its ritual inter-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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WAWALAG
connections; taking “collective symbolic forms as instru-
SEE ALSO Australian Indigenous Religions, overview article;
ments for transforming subjective experience,” says Munn,
Gadjeri; Yulunggul Snake.
“the myth conveys body destruction images saturated with
negative feeling which the rituals convert into feelings of
BIBLIOGRAPHY
well-being” (p. 178). She also comments specifically on the
Berndt, Catherine H. “Monsoon and Honey Wind.” In Échanges
importance of blood in the combination of myth and ritual.
et Communications: Mélanges offerts à Claude Lévi-Strauss, ed-
Basing her analysis on Warner’s material, Munn notes that
ited by Jean Pouillon and Pierre Maranda, vol. 2,
ritual swallowing by the Snake in contemporary settings is
pp. 1306–1326. The Hague, 1970. Summarizes information
from several northeastern Arnhem Land women, including
a men-only affair. Women’s biological association with men-
their versions of the Wawalag myth, and suggests differing
struation, for instance, aligns them closely with the Wawalag
interpretations from those of Warner, as restated by Lévi-
sisters, so that mythically they have already been swallowed:
Strauss, as well as the need to take into account closely relat-
To be swallowed again in a ritual context would lead to their
ed myth constellations in any analysis and interpretation.
physical death, as it did for the Wawalag. Men’s ritual blood-
Berndt, Ronald M. Kunapipi: A Study of an Australian Aboriginal
letting is symbolically equivalent to the emission of blood by
Religious Cult. Melbourne, 1951. Mainly concerned with
the Wawalag, but in real life the two are incompatible. In
content, performance, and spread of this religious complex,
terms of seasonal renewal, Munn says, it is men’s blood,
together with participants’ statements, songs, and the rele-
drawn and applied in the course of specific rites, that revital-
vance of the Wawalag myth.
izes the creatures who left the Wawalag sisters’ fire and that
Berndt, Ronald M., and Catherine H. Berndt. The World of the
“swings the wet season back into the dry, while women’s
First Australians (1964). Rev. ed., Adelaide, 1985. Includes
blood regenerates the cycle of food loss and death and so
one version of the Wawalag myth and discusses its links with
turns the dry season into the rainy one.” (p. 198). In its non-
other local myths and associated rituals.
symbolic state women’s blood is too close to natural physical
Knight, Chris. “Lévi-Strauss and the Dragon: Mythologiques Re-
reality; it must be transformed and brought under men’s
considered in the Light of an Australian Aboriginal Myth.”
control in its ritual equivalent. On the other hand, Munn
Man 18 (March 1983): 21–50. An enthusiastic but in parts
has already referred to “the significance of blood as a symbol-
empirically careless discussion, which includes (p. 41) a par-
allel between Lévi-Strauss’s contrast between the “raw” and
ic inheritance binding the two sexes as parties to an exchange:
the “cooked” and the creatures who jumped from the Waw-
the two women gave men their blood and naming powers
alag’s fire; Knight sees this as illustrating the sisters’ ability
(or lost these powers through their death) and men, in re-
through “the power of blood to negate or invert the cooking-
turn, memorialize the two women” (p. 184).
process, defining meat as sacred/taboo on account of its
The theme of blood as an important but contentious
being raw.”
issue in myth-based rites and relations between men and
Layton, Robert. “Myth as Language in Aboriginal Arnhem Land.”
women, with special reference to the Wawalag myth, is also
Man 5 (1970): 483–497. On the Wawalag, using Warner’s
treated by Chris Knight, who suggests that “the symbolic po-
account.
tency of the menstrual flow was central to the establishment
Layton, Robert, and Chris Knight. “Correspondence.” Man 19
of culture itself.” He argues (1983, pp. 42, 43) that women,
(March 1984): 150–157. Layton’s criticism of Knight’s
because of their basic natural periodicity, have a life potency
views and Knight’s response. Specifically in regard to the
Wawalag, part of the argument hinged on the equivalence of
that is far stronger than that of men. And he asserts (1984,
snakes and women in creation myths, rather than rigid con-
p. 154) that such myths have to do with women’s ability to
trasts between them; on “underlying logic” as opposed to
synchronize their menstrual cycles in a natural process used
“superficial separateness”; and on alternating motifs and
by men as a basis on which to construct their own ritual
images in “cyclical alternation,” including “menstrual
models.
cyclicity.”
Natural blood from women and ritual blood from men
Lévi-Strauss, Claude. La pensée sauvage. Paris, 1962. Translated
can be powerful in different ways—and mutually dangerous.
into English with the unfortunate title The Savage Mind
They represent different kinds of sacredness, a possibility
(London, 1966). The Wawalag reference is on pages 91–94,
that Émile Durkheim began to explore in his distinction be-
and 96. Lévi-Strauss accepts not only Warner’s account of
the Wawalag myth but also his interpretation.
tween “positive” and “negative” sacredness but did not carry
through to a more comprehensive conceptualization. The
Munn, Nancy D. “The Effectiveness of Symbols in Murngin Rite
Wawalag story has as its central focus a powerful mixture:
and Myth.” In Forms of Symbolic Action, edited by Robert F.
Spencer, pp. 178–207. Seattle and London, 1969. An inge-
blood, water, and the Snake. It is this mixture that produces
nious interpretation of the Wawalag myth in relation to its
the wet season, crucial for human beings and all other living
sociocultural setting: for example, sorcery narratives, mortu-
things in the natural environment. The fertility of the land
ary rites, “symbolic space” as “time,” and male initiation rites
and all its inhabitants could not be achieved either by the
as ritual transformation in the context of social hierarchy.
Wawalag alone or by the Snake alone. It came about as a re-
Munn uses diagrams to illustrate her main contentions. Her
sult of the conjunction between them. And it can be ensured,
chief source of data is Warner’s volume.
in local belief, only through regular ritual reenactment of the
Warner, William Lloyd. A Black Civilization: A Study of an Austra-
event and its mythic and symbolic interconnections.
lian Tribe (1937). New York, 1958. Includes a very detailed
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WEALTH
9707
discussion of versions of the Wawalag myth (Wawilak, in his
ting form of religion” for the capitalist and that in the
spelling) told to him by men and of the rituals connected
religions of the masses one could hear the “sigh of the op-
with it, as well as men’s interpretations of all of these. A re-
pressed creature.” Along similar lines, twentieth-century
markably full and sympathetic study, considering Warner’s
scholars have drawn attention to the influence of economic
admitted difficulty in coming to terms with the local dialects
deprivation on the spread of messianic and millenarian
(for example, he apparently did not hear initial “ng” sounds),
movements. Both Marxists and Weberians believe that an in-
but his treatment of the Wawalag constellation exemplifies
crease in wealth discourages a truly religious spirit. Some
his negative view of women’s religious roles in that region.
scholars, however, argue that a comfortable income seems to
CATHERINE H. BERNDT (1987)
encourage piety and have drawn attention to the “de-
churching” of the working classes.
WAYANG KULIT
Finally, there are scholars who have addressed the differ-
SEE DRAMA, ARTICLE ON
ences between religion and economics rather than their inter-
JAVANESE WAYANG
relationship. Emile Durkheim, for example, contrasted the
centrifugal impact of economic life with the centripital or in-
tegrating force of religion. Historians and sociologists of a
WEALTH. The relationship between religion and wealth
materialistic bent have tended simply to ignore the problem
can be analyzed in various ways. Economists of all persua-
of religion.
sions have stressed the negative impact of religion on wealth.
CHARACTERISTIC RELATIONS BETWEEN RELIGION AND
Adam Smith believed that clergymen, like lawyers and buf-
WEALTH. There is no simple way to characterize the relation-
foons, are members of an unproductive, frivolous profession.
ship between religion and wealth in light of the determinate
Today, many argue that religion is one of the principal causes
role played by the specific historical and social context. Reli-
of economic underdevelopment. For example, in places like
gion’s effect on the wealth or poverty of a country is usually
rural Burma, more than 30 percent of the regional income
achieved through, or in conjunction with, a complex of other
is spent on monks, monasteries, and religious festivals. In
social factors including secular institutions, modal personali-
India, belief in karman (the sum of one’s actions in successive
ty systems, and values in general. Among the possible rela-
states of existence), dharma (duties defined by the religious
tions between religion and wealth, one that is generally over-
caste system), and sam:´sara (a cyclical sense of time and re-
looked is the ability, or inability, of religion to step out of
birth) has been widely criticized as a major cause of poverty.
the way of economic development. In such a relationship,
In Muslim countries, some believe that the Islamic law
religion plays the quiescent part of laissez faire, laissez passer
(shar¯ı Eah), insofar as it sanctifies the religious secular cus-
that classical economics assigned to the state. Examples of
toms of the past, has made modernization difficult and slow.
this kind of passive collaboration with economic develop-
While the German sociologist Max Weber emphasized
ment can be seen in civilizations like Europe or Japan in
the negative role of the religions of the East, he also called
which religious law does not absolutize or sanctify secular
attention to the positive impact that religions based on this-
conditions of the past, it can also be seen when religious lead-
worldly asceticism have had on economic development.
ers do not interfere in the work of development; when reli-
Weber contended that Calvinism provided the “spirit” nec-
gion abandons traditional, communitarian values; when it
essary for the initial rise of capitalism in the West. His argu-
ignores the ethical problem of the unequal burdens imposed
ment, which has been criticized by many as being misin-
by development; or when its rituals and taboos passively give
formed and ethnocentric, has nevertheless inspired many
way before the requirements of industry. It could be argued
attempts to find analogies of the Protestant ethnic in success-
against Weber that the most significant contributions made
ful non-Western countries. Some scholars who have accepted
by Protestantism to the development of capitalism were its
Weber’s general thesis have modified its logic. For example,
general indifference to the social problem of poverty, its hos-
R. H. Tawney, who was reluctant to talk about the causal
tility to the labor movement, and its assumption that indi-
impact of Calvinism, recognized its importance as a “tonic”
vidualism is as “natural” in economics as it is in religion.
in the building of capitalism. Other scholars have found fault
Since the relation between religion and wealth changes
with Weber’s idea that the rise of capitalism is necessarily ac-
from one type of society to another, one must also attend to
companied by a decline in religion and magic. While Weber
the historical stage and specific socioreligious traditions in-
credited sectarianism with a positive role in the rise of capi-
volved. In primitive, archaic, or prehistoric societies, religion
talism, Liston Pope and others have pointed out the political
tends to be diffuse and undifferentiated from the “material”
conservatism and economic passivity of such groups in the
side of life. Ownership and wealth are woven into a rich tap-
southern United States.
estry of myth, ritual, and values. Taboos and religious sanc-
If, on the other hand, scholarship on the impact of
tions ensuring the common good and survival of the group
wealth upon religion is examined, one finds this impact char-
put limits on possessions, competition, and market func-
acterized both positively and negatively. Karl Marx and Frie-
tions. Primitive myths and rituals often express the impor-
drich Engels believed that Protestantism was the “most fit-
tance of a proper “ecological” relationship between nature
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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WEALTH
and possessions. In hunter-gatherer societies, the lord of the
guilds, family ownership, and a bureaucratically centralized
animals not only guarantees a good hunting season, but also
state. Most interesting is the way that this text elevates the
protects the animals from extinction. As the technological
pursuit of wealth and power (artha) above traditional duty
base of society changes—from, for example, hunting to agri-
(dharma). Like the much earlier Code of Hammurabi in the
culture—new religious symbols begin to appear. While
Near East, the Artha´sa¯stra recognizes the taking of interest
hunters revere the symbols of animals (often their blood and
on loans. In contrast, the Laws of Manu, which took final
bones), seeds and plants become the foci of the magic and
shape during the period from about 200 BCE to 200 CE, re-
religion of the cultivator. Since religion and wealth were so
verses the relationship between artha and dharma and ideal-
closely related in prehistoric societies, it has been strongly de-
izes a more or less static economy based on caste duties
bated whether the “laws” of modern economics and the al-
(varn:a dharma). Generally insensitive to economic opportu-
leged natural instincts of “economic man” can be directly ap-
nity, the Laws of Manu limits moneylending to the vai´sya
plied to people in less developed societies.
caste, allowing brahmans and the ks:atriya to lend money only
for sacred purposes and then only “to a very sinful man at
With the advent of cities, settled agriculture, writing,
a small interest.”
and the historic religions (e.g., Hinduism, Buddhism, Con-
fucianism, Christianity, and Islam), the relation between re-
Buddhism. While Buddhism has often been regarded
ligion and wealth changes. To coordinate societies and econ-
as an “otherworldly” religion, it was first propagated by mer-
omies that were increasingly complex, sacred kings appeared
chants and depended for its existence upon the financial sup-
who had in their control not only political power, but also
port of lay householders. Sacred texts specified for the laity
magical power over the well-being of crops, society, and the
“right livelihoods,” which excluded the caravan trade, traf-
cosmos itself. Literate priestly classes created sacred texts and
ficking in slaves, weapons, poisons, or alcohol, and tanning,
laws on the proper use and distribution of wealth. From Afri-
butchering, and other occupations, and directed how to
ca to the Far East, ancestral spirits were worshiped in order
make, reinvest, and share their wealth with others. Dona-
to bring wealth and prosperity to the family. Other deities
tions to the monastic community (sam:gha) became the
appeared who had specific functions as gods of wealth and
layperson’s primary way of building up merit. In Mahayana
good fortune; by offering tokens of their wealth to these gods
Buddhism, the aspirant to Buddhahood, the bodhisattva, was
(or to priests), people hoped to receive still more wealth and
sometimes described as a rich man who provided material
good luck. This ritual exchange is expressed in the sacred
and spiritual sustenance for others. As was the case in the
Latin formula do ut des (“I give to you so that you will give
Hindu tradition, it was not wealth, but the “attachment” to
to me”) and in the Sanskrit phrase dadami se, dehi me, which
wealth that was believed to be an impediment to enlighten-
has almost the identical meaning. In general, the traditional
ment.
religions sanctioned the family ownership of wealth, not in-
dividually owned private property. In Israel and Greece, reli-
Confucianism and Daoism. In China, Confucianism
gious authority guaranteed the integrity of family property
and Daoism tended to favor a primitive system of “private”
with inviolable sacred landmarks and herms (phallic repre-
property that has been described as “free enterprise.” This de-
sentations of Hermes). In the ancient Near East, and later
scription, however, must be qualified. The Confucians were
in the Far East and Catholic Europe, religious institutions
generally opposed not only to state monopolies but also to
themselves became powerful landlords, controlling trade and
competition for profit. The development of a free labor mar-
the use of large tracts of land.
ket was delayed by the strength of the family and by the belief
that each person should follow the rites, morality, and eti-
Reflecting the structure of society, ethical relationships
quette (li) of his family. As in medieval Catholicism, the mer-
(whether in ancient India, China, or the first-century Roman
chant was assigned a lowly role. However, Chinese society
empire) were both hierarchical and reciprocal. Louis Du-
did have some of the rudiments of a laissez-faire system. The
mont has called this an ethic of “hierarchical complimentari-
Confucian historian Sima Qian (145 BCE to c. 90 BCE)
ty.” Masters and slaves, husbands and wives, older and youn-
claimed that government intervention in the economy would
ger brothers, teachers and students, rulers and the ruled all
be unnecessary if farmers, merchants, and other workers ful-
had responsibilities for each other. This responsibility in-
filled their duties. The Daoists, emphasizing frugality and
cluded the distribution of scarce resources. In Islam, for ex-
voluntary simplicity, were also opposed to the direct inter-
ample, an alms tax (zaka¯t) was used to support the poor (as
vention by the state. The succinct expression, “the more laws
well as to spread and defend the faith).
are promulgated, the more thieves and bandits there will be,”
is found in the Dao de jing.
Hinduism. Throughout the ancient world, scattered
proverbs and “wisdom literature” served as the only ethical
Judaism and Islam. In Judaism and Islam, wealth was
guides to economics. Because traditional society was based
regarded as part of creation and therefore as good. Since God
on a zero-sum economy, greed was roundly condemned in
was the “owner” of the world, absolute property rights were
scripture, myth, and folklore. As time passed, more specific
impossible. Wealth was a sign of divine approval and poverty
guidance was offered. In India, Kaut:ilya’s Artha´sa¯stra (c. 300
was thought to be the result of sin. The identification of
BCE to 300 CE) described an economy based on agriculture,
wealth and righteousness, sin and poverty was disputed by
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WEALTH
9709
only a few religious leaders, such as the prophet Amos, who
ple indifference to poverty contributed more to the econom-
spoke of the poor as “the righteous.” Because property was
ic success of the Protestant nations. Methodists, Baptists, Pi-
deemed inalienable, it could not be taken from a family even
etists, and other sectarians developed an economic rigorism
by the king. The biblical custom of the Year of Jubilee (Levit-
that was similar to the medieval Catholic doctrine of “good
icus 25) indicates that religious tradition established limita-
works.” Although by the nineteenth century English Meth-
tions on the possession of land and slave. In both Judaism
odists and Dissenters had risen to the level of the prosperous
and Islam, religious laws concerning usury restricted markets
middle class, some supported political reforms that would
in money.
primarily benefit the victims of economic development.
Most Dissenters and Nonconformists assumed a conserva-
Christianity. The New Testament radically inverted
tive, antilabor stand or a position of indifference. This was
the traditional attitude toward wealth and power. In the
Magnificat (Luke 1:52), it is stated that with the coming of
especially true when they themselves became the majority or
the Son of man, God has “put down the mighty from their
the “Establishment,” as in the American South.
thrones and exalted those of low degree.” Some pericopes,
CONTEMPORARY RELIGIOUS ATTITUDES TOWARD WEALTH.
such as James 5:1-4 and Revelation 18, express an openly hos-
In modern times, traditional religious attitudes toward
tile attitude toward the rich. Soon, however, leaders like
wealth and power have come under heavy criticism. This is
Clement of Alexandria (c. 150–c. 213) began to soften the
largely due to structural changes in society’s industrial base,
hard sayings of Jesus about riches to accommodate well-to-
especially the growth of competition and rapid social mobili-
do converts. The problem with wealth now became one of
ty, and to the spread of possessive individualism and hedo-
“attitude,” a position that was not unlike the Hindu and
nism in consumer-oriented economies. In communist socie-
Buddhist problem of “attachment.”
ties, religious values have been attacked as feudalistic or
Although the early church fathers rarely addressed the
bourgeois. But in capitalist countries too, modern social roles
issue of economic justice, they shared the antichrematistic
make the ethics of brotherhood and the spirit of “hierarchical
outlook of the New Testament and often taught a Stoic in-
complementarity” seem unrealistic. Traditional charity
difference (apatheia) to the things of this world. Another
seems to put the poor at the mercy of the rich. Other tradi-
Stoic idea in their writings would have important conse-
tional attitudes, such as the eschatological indifference of the
quences for radical sectarians much later on: the notion that
New Testament and the otherworldly asceticism of the Mid-
the earth is a “common treasury” given by God to all people.
dle Ages, seem incredible if not irresponsible. Considerations
Laboring under fervent eschatological expectations, the early
such as these have led to a secularization of economic values
Christians were more concerned about the injustice experi-
in both capitalist and socialist countries. R. H. Tawney
enced by the oppressed than about the philosophical defini-
claimed that the religious ethic has declined because the
tion of the justice that was their due. Poverty, as the result
church has ceased to think, but it could be asked whether
of pride and greed, could be alleviated only by the voluntary
even a “thinking” religion has anything significant to say
charity of the church. Soon bishops became administrators
about contemporary economic problems. The Social Gospel
of elaborate welfare systems. Only a few Christians, such as
movement of the early twentieth century had some impact
Ambrose (339–397), Victricius (c. 400), and Gregory I
on the clergy and on intellectuals but failed to make contact
(c. 540–604) imply that poverty is a matter of justice. When
with the working class itself. The “liberation theology” com-
the Parousia failed to occur as expected and as the Roman
ing out of Latin America and other developing areas has been
empire began to collapse, the church was forced to deal more
sympathetically received by only a few in the industrialized
positively with a world that had not come to its expected
West. Many have criticized it as Marxism disguised as Chris-
end. As part of a strategic compromise, the church borrowed
tian social concern. In Asian countries, several forms of
deeply from such pagan doctrines as Stoic natural law, which
“Buddhist socialism” have appeared. Muslims have devel-
provided a quasi-secular theory of juridical equity. Later, in
oped various forms of “Islamic socialism” (which generally
the scholastic period, the distribution of wealth was treated
recognizes private property rights) and other kinds of “Islam-
from a point of view that combined scripture and the writ-
ic economics,” often based on the welfare state and religio-
ings of the church fathers with the works of Aristotle and Is-
nationalistic idealism. Such relatively recent movements in
lamic thinkers. One result of the synthesis was a hardening
Islam have vehemently rejected Western hedonism and ex-
of the church’s position against usury.
ploitation.
While the Protestant reformers were generally stricter in
In North America, popular religious groups generally
matters of economic morality than the casuists of the late
emphasize spiritual inwardness or salvation techniques, ig-
scholastic period, they were followed by others who opened
noring questions about economic and social justice in this
the door of compromise. Usury became legal in Protestant
world. The secularization of social and economic thought in
countries, which were fast becoming the most economically
the academic world is all but absolute. Theories that have the
advanced in Europe. Protestants repudiated indiscriminate
greatest impact in contemporary professional circles usually
almsgiving and took repressive measures against the indigent.
have the least explicit religious content. This lack of religious
It is debatable whether concern for their own election or sim-
influence is especially poignant since religious ethics, both
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9710
WEBER, MAX
in the East and in the West, have sometimes been the last
tions, and to the methodology of the social sciences. Engaged
repositories of the common good.
in the politics of his place and time, he brought to his inqui-
ries into authority and power an acute sense of reality. What
SEE ALSO Almsgiving; Charity; Economics and Religion;
gave significance and unity to his entire work, however, were
Mendicancy; Morality and Religion; Tithes; Zaka¯t.
his dark reflections on the problem of meaning in human
culture. He was acutely aware of the conflict between what
BIBLIOGRAPHY
he called the metaphysical needs of the human spirit and the
Max Weber sets forth the major issues on wealth in The Protestant
constraints of social existence, with the limits of human his-
Ethic and the Spirit of Capitalism (1930; New York, 1958),
torical automony. It was in this context that his studies of
Ancient Judaism (1952; New York, 1967), The Religion of
religion acquired a depth and a pathos unmatched to this
India (1958; New York, 1967), and The Religion of China
(1951; New York, 1968), all originally published in German
day.
between 1904 and 1920. Important modifications of
Weber was the son of a prominent Berlin lawyer typical
Weber’s ideas are found in Ernst Troeltsch’s The Social
of the educated bourgeoisie of the German empire under
Teachings of the Christian Churches, 2 vols. (1931; Chicago,
1981) and R. H. Tawney’s Religion and the Rise of Capitalism
Wilhelm I, immobilized between his abstract attachment to
(1926; Harmondsworth, 1980). Robert N. Bellah’s Toku-
liberal values and his actual predilection for national power.
gawa Religion (New York, 1957) is an application of the in-
His mother was a devout Lutheran given to charitable works.
sights of Max Weber and Talcott Parsons to Japan. Global
The view that the dualism that permeated his life and work,
Economics and Religion, edited by James Finn (New Bruns-
between a sublime sensitivity to ethics and a no less pro-
wick, N.J., 1983), contains insightful essays on religion and
nounced regard for the iron demands of power, came from
the economies of developing nations. Jacob Viner’s The Role
the conflict of values in his family is no doubt too simple.
of Providence in the Social Order (Princeton, 1972) contains
The dualism, however, was there, and another aspect of it
important information about Western religious thought on
was expressed in his own marriage to the strikingly indepen-
economics, as does his Religious Thought and Economic Soci-
dent feminist, Marianne Weber. The politicians and scholars
ety, edited by Jacques Melitz and Donald Winch (Durham,
N.C., 1978). Joseph J. Spengler’s Origins of Economic
of late nineteenth-century Berlin were familiar figures in the
Thought and Justice (Carbondale, Ill., 1980) deals with the
household of the Weber’s father. Max himself eventually be-
ancient economies of Mesopotamia, India, China, and
came a leading, if not the leading, figure of the cultural and
Greece.
political elite of early twentieth-century Germany. Ernst Tr-
oeltsch was his colleague and friend at Heidelberg, and the
New Sources
González, Justo. Faith and Wealth: A History of Early Christian
great figure of modern German social Protestantism, Frie-
Ideas on the Origin, Significance, and Use of Money. San Fran-
drich Naumann, was a close associate. The young Georg
cisco, 1990.
Lukàcs, the revolutionary Ernst Toller, and the poet Stefan
Graeber, David. Toward an Anthropology of Value: The False Coin
George frequented his home. Holding chairs successively at
of Our Own Dreams. New York, 2001.
Freiburg, Heidelberg, and Munich, Weber quickly rose to
fame as both scholar and publicist. He was an editor of the
Murphy, Catherine. Wealth in the Dead Sea Scrolls and in the
Qumram Community. Boston, 2002.
most distinguished social scientific journal of the time, the
Archiv für Sozialwissenschaft und Sozialpolitik. He did some
Needleman, Joseph. Money and the Meaning of Life. New York,
of his own most important writing for the encyclopedic proj-
1991.
ect that he planned with Joseph Schumpeter, Werner Som-
O’Toole, Patricia. Money and Morals in America: A History. New
bart, and others, the Grundriss der Sozialökonomik, 14 vols.
York, 1998.
(1914–1928). His political activity included work with Nau-
Sizemore, Russell, and Donald Swearer. Ethics, Wealth, and Salva-
mann’s Evangelischer Sozialkongress and with the “Socialists
tion: A Study in Buddhist and Social Ethics. Columbia, S.C.,
of the Chair” (a group of university professors advocating so-
1990.
cial reforms, using the Verein für Sozialpolitik as their main
Starobinski, Jean. Largesse. Translated by Jane Marie Todd. Chi-
instrument of collective reseach). He frequently contributed
cago, 1997.
articles and editorials to the press. A member of the German
WINSTON DAVIS (1987)
delegation to the Versailles peace conference (he abjured the
Revised Bibliography
treaty), Weber died before he could participate in the tor-
mented politics of the Weimar republic—or the Third
Reich. This bare sketch of his career suggests the complexi-
ties with which he struggled: His work is best understood as
WEBER, MAX (1864–1920), German sociologist, was
a desperate effort to effect a precarious synthesis between the
the most influential (and in many respects the most pro-
contradictory ideas and warring impulses that threaten to
found) of twentieth-century social scientists. Educated as a
sunder modern culture.
legal historian, Max Weber made original contributions to
the study of modern social structure, to the analysis of the
Weber’s methodological work is often portrayed as an
economy and the law, to the comparative analysis of civiliza-
attempt to obtain detachment and distance from the flux and
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WEBER, MAX
9711
passions of history. This is perhaps true, but his methodology
nationalism) has attenuated class conflict where it has not
is inseparable from his metahistorical vision of the world. In
subordinated it to other social processes. The struggle of bu-
opposition to those whom he dismissed as enthusiasts or sec-
reaucrats against citizens, he argues, is often as important as
tarians, he espoused a politics of realism. For Weber, social
class conflict proper. Withal, his notion of the nature of so-
science is a disciplined way to know reality, but its scientific
cial causation is far from linear. His structural approach to
status does not entail the promulgation of articulated general
the history of institutions is infused with a large component
laws of the kind developed in physics. Rather, social science
of Social Darwinism. Society is a system of meanings im-
for him is concerned with particular historical complexes and
parted to routine and of legitimations attached to power. It
sequences. Their unique status does not preclude, and indeed
is also the locus of perpetual conflict in which groups and
makes more necessary, empirical analysis of their origins and
nations struggle for their very existence.
structure. The manifold nature of social phenomena means
It was in this intellectual framework that, despite his de-
that the starting point of empirical analysis is a question or
scription of himself as “religiously unmusical,” he undertook
a problem generated by the interests and values of the social
those studies of religion and society that still read as if they
scientist and his public. Once a particular set of interests and
were new. He began with the studies of Protestantism exem-
values generates a problem, however, its elements and terms
plified but hardly terminated in The Protestant Ethic and the
can be stated with relative objectivity. A probable sequence
Spirit of Capitalism (1905). It is not his intention, he writes,
of causation can be reconstructed, often with the aid of an
to oppose a one-sided idealistic interpretation of the rise of
instrumental abstraction that Weber terms an “ideal type.”
capitalism to an equally one-sided materialistic one. In fact,
Against this model, the complexity and nuance of reality are
his work on Protestantism employs many of the sociological
illuminated.
concepts later expanded in his studies of ancient Judaism,
Weber, then, insists on the distinctiveness of the human
and of Chinese and Indian religions.
and social sciences but rejects a capitulation to total subjec-
The analysis of the social identity of the bearers of Prot-
tivism or relativizing historicism. Social science relies on un-
estantism, the distinctive tasks imposed by its beliefs, and
derstanding of human motive in social contexts; he conceives
above all, the practical consequences drawn by Protestants
of motive as the beliefs or values underlying action rather
from doctrine for the conduct of their lives, anticipates the
than a system of biological drives. Weber is therefore an ex-
recurrent elements of his sociology of religion. The idea of
ponent of an empirical and systematic hermeneutics that
inner, worldly asceticism in The Protestant Ethic and of the
provides the essential elements for his reconstruction of insti-
pursuit of sanctification by ceaseless devotion to the world’s
tutions in their historicity. His methodological strictures,
work ultimately leads to the exquisitely passionate typology
however, cannot be understood apart from his own empirical
of paths to salvation that crowned his comparative studies.
inquiries.
Weber’s early work on Protestantism places much em-
These inquiries are a singular amalgam of cultural and
phasis on the differences between Calvinism and Lutheran-
social analyses. In them the social organization, politics, and
ism, the archetypical Protestant sects, and has much to say
culture of the modern Western world are depicted as results
on Roman Catholicism as well. When Troeltsch, in his The
of an irreversible process of rationalization. Behavior is con-
Social Teaching of the Christian Churches (1912), achieved
trolled by explicit and formal norms, the person is legally
what was for the time being a definitive sociology of Chris-
separated from the function or office, and the relationship
tianity, Weber sought more distant horizons. He began to
of ends to means is subject to continuous examination and
study the “universal historical relationship of religion and so-
revision. Rationalization makes possible an enormous expan-
ciety.” He dealt with prophets and priests in ancient Juda-
sion of market relationships and, therewith, the explosive
ism, with the alternation and fusion of world rejection and
productivity of the capitalist economy. The separation of
world affirmation in Buddhism and Hinduism, with Manda-
market from community, household, and state is the work
rin rationality and Daoist pantheism in China, and with
of modern law and lawyers. Bureaucracy, with its rules, is the
much else as well. He contrasted the religions of virtuosi with
opposite of a hindrance to economic development; it is its
those of popular strata and explored the world religions’ very
precondition.
different consequences for communal life, economic system,
and political structure. He examined their origins in the psy-
In these arguments Weber is describing, of course, many
chological response to social conflict, considered their com-
of the processes others have termed secularization. Indeed,
promises with social constraints, and showed how religions
much modern analysis of secularization leads back to his
generated entire systems of belief and value, indeed, how
work. His unmatched portrayal of the autonomy of modern
they gave institutional structure and cultural content to civi-
social structures and his relentless critique of oversimplified
lizations.
notions of social conflict contributed to that systematic rein-
terpretation of Marxism that is one of the more enduring
Weber’s studies of the world religions, like his work on
achievements of twentieth-century thought. Weber insists on
Protestantism, reflect his spiritual critique of modern cul-
the relatively restricted historical focus of Marxism and ar-
ture. The world religions were theodicies, and in general at-
gues that the modern bureaucratic state (and ideologies like
tempted to answer the implacable questions of human exis-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9712
WEBER, MAX
tence. They sometimes affirmed their worlds, sometimes
of those works by Weber most relevant to the study of reli-
rejected them, and invariably formed them. Some believers
gion; the second provides an extremely abbreviated selection
thought of themselves as active instruments of the supernatu-
of secondary works on Weber in English.
ral and others as passive vessels of divinity. All struggled
Works by Weber
against accident and appearance and sought the essence of
The Religion of China. Edited and translated by Hans H. Gerth.
things. Religions invariably conflicted with the concrete
Glencoe, Ill., 1951.
structures of existence, with family and the state, with eco-
Ancient Judaism. Edited and translated by Hans H. Gerth and
nomic forces, and with the immediate demands of sexuality.
Don Martindale. Glencoe, Ill., 1952.
The “disenchantment of the world” effected by Calvinism
The Religion of India. Edited and translated by Hans H. Gerth and
also banished from the world the metaphysical pathos of reli-
Don Martindale. Glencoe, Ill., 1958.
gion. Contemporary bureaucratic and capitalist society is cal-
The Protestant Ethic and the Spirit of Capitalism. Translated by
culable and efficient. It is also without poetry and speaks
Talcott Parsons. New York, 1958.
only banal prose. Religious revivals, because inauthentic, are
The Sociology of Religion. Translated by Ephraim Fischoff. Boston,
bound to fail. The substitute religions of aesthetics and sexu-
1963.
ality in the modern world cannot perform the moral func-
tions of the historical religions. In any event, they are baubles
Economy and Society. Edited by Guenther Roth and Claus Wit-
tich; translated by Ephraim Fischoff et al. Berkeley, 1978.
for the intelligentsia, not doctrines that can move nations.
The West’s course of cultural and social development is in-
Critical Studies
deed unique, but it is impossible not to be skeptical about
Antoni, Carlo. From History to Sociology. Detroit, 1959.
its ultimate value. Contemplation of the world religions can
Aron, Raymond. Main Currents in Sociological Thought, vol. 2.
teach one stoicism about his or her own fate and admiration
Garden City, N. Y., 1970.
for the deep spirituality of other civilizations. The refusal of
Baumgarten, Eduard, ed. Max Weber: Werk und Person. Tübing-
artificial spirituality and of nostalgia is the necessary corollary
en, 1964.
of the political attitude that Weber so favors. His ethic of re-
Bendix, Reinhard. Max Weber: An Intellectual Portrait. Garden
sponsibility is a piece of residual Protestantism, a determina-
City, N. Y., 1960.
tion to do the work of the world even when that world is
Bendix, Reinhard, and Guenther Roth. Scholarship and Partisan-
brutal, corrupt, or merely profane.
ship. Berkeley, Calif., 1971.
Weber’s influence on modern thought is ecumenical
Fleischmann, Eugène. “De Weber à Nietzsche,” Archives européen-
and large; it is also contradictory. Thinkers as different as
nes de sociologie 5 (1964): 190–238.
Raymond Aron, Georg Lukàcs, Karl Mannheim, and Carl
Freund, Julien. The Sociology of Max Weber. New York, 1968.
Schmitt have fashioned or refashioned his ideas to suit their
Jaspers, Karl. Max Weber. 2d ed. Bremen, 1946.
purposes. His comparative and historical work influenced
Käsler, Dirk. Einführung in das Studium Max Webers. Munich,
the Annales school in France well before World War II. The
1979.
initial introduction of Weber’s thought into the United
Löwith, Karl. “Max Weber und Karl Marx.” Archiv für Sozialw-
States was the work of the reflective political economist
issenschaft 67 (1932): 53–99.
G. A. Frank Knight. The European émigrés of the 1930s not
Mitzman, Arthur. The Iron Cage: An Historical Interpretation of
only brought Weber with them, but they also brought the
Max Weber. New York, 1969.
world of thought (and politics) that rendered his work signif-
icant. Talcott Parson’s reading of Weber was, by contrast,
Parsons, Talcott. The Structure of Social Action. 2d ed. New York,
1966.
narrow and even tendentious. Among the American social
scientists who have both grasped and extended Weber’s lega-
Stammer, Otto, ed. Max Weber and Sociology Today. New York,
cy are Robert N. Bellah, Reinhard Bendix, Clifford Geertz,
1971.
Alvin Gouldner, and C. Wright Mills. Not surprisingly,
Schluchter, Wolfgang. The Rise of Western Rationalism. Berkeley,
American Protestant theologians such as H. Richard Nie-
Calif., 1981.
buhr and Reinhold Niebuhr and historians such as Perry
Weber, Marianne. Max Weber: A Biography. New York, 1975.
Miller have recognized the implications of Weber’s oeuvre
Wrong, Dennis, ed. Max Weber. Englewood Cliffs, N. J., 1970.
for their evaluation of the fate of the churches in the New
New Sources
World. They (with, to be sure, many of their Continental
Berlinerblau, Jacques. “Max Weber’s Useful Ambiguities and the
counterparts) have developed Weber’s ideas for purposes true
Problem of Defining ‘Popular Religion.’” Journal of the
to one of Weber’s main intentions: the self-critique of Prot-
American Academy of Religion 69/3 (2001): 605–626.
estantism.
Brubaker, Rogers. The Limits of Rationality and an Essay on the So-
cial Moral Thought of Max Weber. St. Leonards, Australia,
BIBLIOGRAPHY
1984.
A new edition of Max Weber’s complete works began publication
Buss, Andrea. “The Concept of Adequate Causation and Max
in Tübingen in 1984 under the general title Gesamtausgabe.
Weber’s Comparative Sociology of Religion.” British Journal
Of the following lists, the first consists of English translations
of Sociology 50/2 (1999): 317–329.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WEIL, SIMONE
9713
Kasler, Dirk. Max Weber: An Introduction to His Life and Work.
of illusion”)—and the title of a canonical text, the Sandhinir-
Translated by Phillipa Hurd. Chicago, 1988.
mocana (Untying the knots), attest. Echoing the term bhava-
Weber, Max. The Protestant Ethic and Spirit of Capitalism. Los An-
jala (“net of existence”) contained in the Mañju´sr¯ına¯-
geles, 1995.
masam:g¯ıt¯ı, S´a¯ntideva, a Maha¯ya¯na poet-philosopher of the
NORMAN BIRNBAUM (1987)
seventh century CE, employs the image of a fisher’s net to de-
Revised Bibliography
scribe the desperate plight of living beings: “chased by fish-
ers, the emotional defilements, into the net of birth . . .”
(“klesavagurikaghra-tah pravisto janmavaguram”; Bodhicar-
WEBS AND NETS. In general symbology, the act of
ya¯vata¯ra 7.4).
weaving is usually understood to represent processes of cre-
In defining the essential elements of the process of en-
ation and growth. Cognate symbols such as net, web, rope,
lightenment, the Maha¯ya¯nasu¯tra¯lan˙ka¯ra (9.35) likens the re-
fabric, and the like are frequently employed to suggest the
alization of voidness (su¯nyata¯) and the cultivation of skillful
unfolding of individual human lives and of the universe as
means (upa¯ya-kau´salya) to the warp and woof, respectively,
a whole. These symbols bear also negative connotations as
of a fabric: “Just as the particulars of its knotting [pam:´su] de-
instruments of binding or tools of entrapment. Included in
termine whether a cloth [vastra] is colorful or not, so the lib-
the symbolism of the net, for instance, are those negative
erating gnosis is determined as colorful [i. e., endowed with
forces that interact with positive ones to make of life the am-
positive qualities] or colorless by the power of motivation.”
biguous reality that it is, a condition composed of pleasure
and pain, health and disease, life and death, and so on.
SEE ALSO Binding; Fate; Knots.
In ancient Greece, the net of life and death is said to
BIBLIOGRAPHY
have been fashioned by the Moirai, personifications of the
Eliade, Mircea. “The ‘God Who Binds’ and the Symbolism of
abstract concept moira (“fate, destiny”). These three stern,
Knots.” In his Images and Symbols. New York, 1961.
grim-faced women spin the web of destiny for each person
Greene, William C. Moira, Fate, Good and Evil in Greek Thought.
at the time of his or her birth. In Homer, it is the gods who
Cambridge, Mass., 1944.
do the spinning (Iliad 24.525f.). Sometimes this is done by
Reynolds, Frank E., and Earle H. Waugh, eds. Religious Encoun-
Zeus (Odyssey 4.207f.), but moira itself may also be the agent
ters with Death. University Park, Pa., 1977.
(Iliad 24.209f.). Odysseus declares to his blind psychopomp,
J. BRUCE LONG (1987)
Tiresias, “My life runs on as the gods have spun it” (Odyssey
11.104). In Plato (Symposium 196b), the art of weaving as
practiced by the goddess Athena is attributed to Eros, the god
of love.
WEIL, SIMONE (1909–1943), essayist and religious
mystic. Born in Paris of secularized Jewish parents, Simone
Images of the crafts of weaving, plaiting, and interlacing
Weil was part of a family whose outstanding trait was intel-
strands to form nets, webs, sieves, and fabrics appear fre-
lectual precocity. As a student at France’s École Normale, a
quently in the literature of ancient Hinduism. In one cre-
school noted for its lofty intellectualism and academic rigor,
ation hymn of the R:gveda, the cosmogonic agent is described
she scored highest on a nationwide entrance examination
as “stretching the warp and drawing the woof . . . spreading
and in 1931 graduated with the highest rank. The most re-
[the fabric of heaven] upon the dome of the sky” (R:gveda
markable quality of this woman, beyond her surpassing intel-
10.90.15). Elsewhere in this source (1.164.5), the “concealed
lectual brilliance, was her disposition to extend herself physi-
footprints of the gods” seem to be thought of as an analogue
cally in following her sympathies. She also suffered from
for the sacrificial laws that are “woven” whenever the gods,
excruciating headaches, which added to the frailty and ex-
in their function as divine priests, perform the sacrifice by
haustion that came from nervous disability and undernour-
the weaving of words.
ishment.
In the Maha¯bha¯rata, ka¯la (“time, destiny”) is represent-
From 1931 to 1934, Weil taught school in several
ed as a cosmic weaver who composes the fabric of life for each
French towns and engaged in political activity in behalf of
individual and for the entire universe by intertwining the
unemployed and striking workers. This political activity, to-
white threads of light, life, and well-being with the black
gether with her eccentricities of dress and manner, did not
threads of darkness, death, and sorrow.
make for a successful teaching career. Weil’s growing con-
Echoing earlier images such as indraja¯la (“Indra’s net”)
cern with Marxism led her to take a job in a Paris factory,
and brahma¯ja¯la (“Brahma¯’s net”), Veda¯nta texts sometimes
which she stayed with only four months. In 1936 she went
compare the ultimate basis of the universe to a cosmic spider
to Spain to join Loyalist frontline troops as a battalion cook,
that in the beginning spins forth the multitudinous linea-
but colossal ineptitude for this work, plus a growing convic-
ments that form the fabric of the world and at the end with-
tion that neither side wore the mantle of righteousness, led
draws those same threads back into its body.
to her withdrawal from this venture as well.
Indian Buddhism makes similar use of these symbols,
Beginning in 1937, after several mystical experiences,
as an epithet of the bodhisattva Mañju´sr¯ı—Ma¯ya¯ja¯la (“net
she became a Christian, relating that in one of these experi-
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WELLHAUSEN, JULIUS
ences “Christ himself came down and he took me.” After this
(1894). Wellhausen was the first to make use of the insight
experience her writing was largely concerned with religion.
that the “law” (torah) as it dominates the Pentateuch as it is
Weil did not write any books. What we know about her
known, does not represent the earliest constituent of this col-
thought comes from her letters, journal, and essays, which
lection but rather the final (postexilic) stage of its composi-
may account for the lack of a coherent and developed state-
tion. He recognized, too, that the remaining historical
ment of her religious views. The closest she came to a formal
sources (Yahvist, Elohist, and Deuteronomic sources) are
religious affirmation was to the Roman Catholic church but,
older than this, the so-called Priestly source. For Wellhausen,
curiously, she refused its baptism, partly on the grounds that
Judaism is a new stage in the history of Israel and is to be
Christianity claimed the Old Testament as the foundation
distinguished from ancient Israel. For this reason Well-
of its truth. She rejected this because she felt that the Old
hausen also carried through the notion of historical develop-
Testament contained too much of war and was too tribal to
ment to its logical end.
sustain the Catholic claim to universality.
In order to better understand ancient, pre-exilic Israel
As a thinker in religion Weil is especially significant for
he applied himself increasingly to the study of Old Arabian
her insights into the effect of mass material culture on the
and early Islamic history. Employing here a method that was
human spirit, especially in terms of the vitiating of freedom
characterized by a critical analysis of the sources, he gave im-
and the fragmenting of the idea of community. She died in
petus to the study both of pre-Islamic religious history (Reste
England during World War II from what is now presumed
arabischen Heidentums, 1887) and of the life of Muh:ammad
to have been anorexia nervosa.
(Muhammad in Medina, 1882; Medina vor dem Islam, 1889),
and early Islamic history (Prolegomena zur ältesten Geschichte
BIBLIOGRAPHY
des Islams, 1889; Die religiös-politischen Oppositionsparteien
The best statement of sources on Weil is “Simone Weil’s Bibliog-
im alten Islam, 1901). The consequences of these works are
raphy: Some Reflections on Publishing and Criticism” by
still felt today. His most significant achievement, Das arabis-
George Abbott White in his Simone Weil: Interpretations of
che Reich und sein Sturz (1902), provides the crowning finish
a Life (Amherst, Mass., 1981). See also John Hellman’s Si-
to his work.
mone Weil (Atlantic Highlands, N.J., 1982).
W
Following this, Wellhausen devoted himself primarily
ILLIAM D. MILLER (1987)
to study of the New Testament. His explanations and trans-
lations of the Gospels and the histories of the apostles
brought him less acclaim than his earlier works, but these,
WELLHAUSEN, JULIUS (1844–1918), was a Ger-
too, still belong in the inventory of indispensable historical-
man Orientalist of signal importance for the study of the his-
critical research. Wellhausen’s works are outstanding not
tory of ancient Israel and early Islam. Wellhausen began his
only for their masterful command of the source materials but
career as professor of Old Testament at the University of
also for an excellent and impressive style that is particularly
Greifswald (1872–1882) and continued as Semitist at the
conspicuous in his translations.
universities of Halle (an der Saale, 1882–1885), Marburg
(1885–1892), and Göttingen (1892–1913). He received his
SEE ALSO Religionsgeschichtliche Schule.
early training from Heinrich Ewald (1803–1875) in Göt-
tingen. Wellhausen represents a high point in the literary-
BIBLIOGRAPHY
critical method in Protestant historical theology: For Well-
A bibliography of Wellhausen’s publications can be found in Bei-
hausen the critical analysis of literary tradition according to
hefte zur Zeitschrift für die Alttestamentliche Wissenschaft 27
motives and sources, whether in the Old and New Testa-
(1914): 351–368. This bibliography leaves out Wellhausen’s
ments or early Islam, constituted the basis for any historical
article, “Über den bisherigen Gang und gegenwärtigen Stand
research. He was critical of the Religionsgeschichtliche
der Keilentzifferung,” Rheinisches Museum für Philologie 31
Schule (e.g., the work of Hermann Gunkel) that was in the
(1876): 153–175. A collection of important essays by Well-
early stages of development at this time.
hausen was published in Skizzen und Vorarbeiten, 6 vols.
(Berlin, 1884–1899).
Wellhausen’s work began with his Old Testament
studies. With his works “Die Composition des Hexateuchs”
Publications on Wellhausen and his thought include Friedemann
(in Jahrbücher für deutsche Theologie, 1876–1877; published
Boschwitz’s Julius Wellhausen: Motive und Mass-Stäbe seiner
as a book in 1885) and Geschichte Israels (vol. 1, 1878; 2d
Geschichtsschreibung (1938; reprint, Darmstadt, 1968);
ed. published as Prolegomena zur Geschichte Israels, 1883), he
Horst Hoffmann’s Julius Wellhausen: Die Frage des absoluten
Massstabes seiner Geschichtsschreibung (Marburg, 1967); Wil-
provided the final breakthrough in the Pentateuch criticism
liam A. Irwin’s article, “The Significance of Julius Well-
that had been initiated by Edvard Reuss, Karl Heinrich Graf,
hausen,” Journal of Bible and Religion 12 (1944): 160–173;
Abraham Kuenen, and Wilhelm Vatke. With this advance
a special issue of Semeia entitled “Julius Wellhausen and his
in research Wellhausen also created the basis for a modern
Prolegomena to the History of Israel,” edited by Douglas A.
view of the history of ancient Israel, which he himself then
Knight, Semeia 25 (1983); and my Wellhausen als Arabist
presented in his work Israelitische und jüdische Geschichte
(Berlin, 1983).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WESLEY BROTHERS
9715
New Sources
cal study of religions. He was able not only to establish his-
Lothar Perlitt’s Vatke und Wellhausen. Geschichtsphilosophische
torical affiliations but also to reveal patterns within the Se-
Voraussetzungenn und historiographische Motive für die Dar-
mitic religious world, patterns common to Israelite,
stellung der Religion und Geschichte Israels durch Wilhelm
Christian, and Islamic religious data. He explored areas as
Vatke und Julius Wellhausen (Berlin, 1965); Helmut Weid-
varied as cosmology, ritual behavior, ethics, mysticism, and
mann’s Die Patriarchen und ihre Religion im Licht der For-
folk religion, writing on such varied topics as New Year cele-
schung seit Julius Wellhausen (Göttingen, 1968); and Kurt
Rudolph’s Wellhausen als Arabist (Berlin, Germany, 1983).
brations, the veneration of martyrs, and the notion of inten-
Ernest Nicholson, The Pentateuch in the Twentieth Century:
tion in law. Focusing on data relating to devotional and mys-
The Legacy of Julius Wellhausen (Oxford, 1998), argues that
tical life and thought, Wensinck showed the historical
Wellhausen’s work remains the securest basis for understand-
relationship between Muslim and Syriac Christian mysti-
ing the Pentateuch. See also Hans Georg Kippenberg, Die
cism: Just as Isaac of Nineveh influenced Muslim mystics,
Entdeckung der Religionsgeschichte (Munich, 1997),
Abu¯ H:a¯mid al-Ghaza¯l¯ı influenced Bar Hebraeus in a later
pp. 100–103 (stressing the revolutionary consequences of
period. Wensinck contributed much to the understanding of
Wellhausen’s Bible criticism).
al-Ghaza¯l¯ı as a mystic.
Betz, Hans Dieter. “Wellhausen’s dictum Jesus was not a Chris-
At the end of his life Wensinck provided an incentive
tian, but a Jew in light of present scholarship.” STh 45
(1991): 83–110.
to study the Aramaic background of the New Testament,
which has proved to be a fruitful field of research. Thanks
Smend, Rudolf. “Der Alttestamentler Julius Wellhausen und
to his sharp, refined mind Wensinck was particularly suited
Wilamowitz.” In Wilamowitz in Greifswald. Akten der
for research in the field of religion, where he let the texts
Tagung zum 150. Geburtstag Ulrich von Wilamowitz-
Moellendorffs in Greifswald, 19.–22. Dezember 1998, edited
speak for themselves.
by William M. Calder et al., pp. 197–215. Hildesheim,
2000.
BIBLIOGRAPHY
After his dissertation, Mohammed en de Joden te Medina (Leiden,
KURT RUDOLPH (1987)
Translated from German by Matthew J. O’Connell
1908), Wensinck published two major studies on Syriac
Revised Bibliography
Christian mysticism: Bar Hebraeus’s Book of the Dove (Lei-
den, 1919) and Mystic Treatises by Isaac of Niniveh (Amster-
dam, 1923). There followed three important books in the
field of Islamic studies. A Handbook of Early Muhammadan
WENSINCK, A. J. (1882–1939), was a Dutch Semiti-
Tradition, Alphabetically Arranged (1927; reprint, Leiden,
cist, historian of Syriac mystical theology, and Islamicist.
1971) gives a broad classification in English of Islamic tradi-
Arent Jan Wensinck, born in Aarlanderveen, the Nether-
tions (h:ad¯ıths) according to themes. In 1932 he published
lands, began his scholarly career with a year’s study of theolo-
the excellent study The Muslim Creed: Its Genesis and Histori-
gy in Utrecht. He then changed to Semitic studies, including
cal Development (reprint, New York, 1965). His La pensée de
Arabic, working first in Utrecht under M. T. Houtsma
Ghazzali was published posthumously (Paris, 1940).
(1850–1943) and then in Leiden under M. J. de Goeje
Wensinck was an editor of both The Encyclopaedia of Islam, 4 vols.
(1835–1909) and Christiaan Snouck Hurgronje (1857–
with supplement (Leiden, 1913–1934), and the Handwörter-
1936). He obtained his doctorate at the University of Leiden
buch des Islam (Leiden, 1941); he contributed numerous arti-
in 1908 and subsequently became privatdocent for Syriac
cles to each. In 1916 Wensinck had initiated another inter-
national project, the Concordance et indices de la tradition
and Aramaic at the University of Utrecht. In 1908 he became
musulmane, 6 vols. (Leiden, 1936–1971), and he remained
secretary of The Encyclopaedia of Islam. From 1912 until
the supervisor of it until the end of his life. Semietische studiën
1927 Wensinck was professor of Hebrew, Aramaic, and Syri-
uit de nalatenschap van Prof. Dr. A. J. Wensinck, 7 Augustus
ac at the University of Leiden, and in 1927 he succeeded
1882–19 September 1939 (Leiden, 1941) contains a number
Snouck Hurgronje as professor of Arabic and Islam at the
of Wensinck’s papers in English and French, as well as a bib-
same university, at which post he remained until his death.
liography of Wensinck’s published work. For a study, in
Dutch, of Wensinck’s work, see W. C. van Unnik’s essay
Wensinck is best known as an Islamicist. He studied
“Professor A. J. Wensinck en de studie van de Oosterse Mys-
Muh:ammad’s life; he was familiar with the immense h:ad¯ıth
tiek,” in his Woorden gaan leven, 1910–1978 (Kampen,
literature; and he wrote a masterly study on the development
1979), pp. 238–263.
of Islamic creeds ( Eaq¯ıdahs) and their theological back-
ground. Against the same background he described the rise
JACQUES WAARDENBURG (1987)
of a distinct Islamic culture during the first centuries of
Islam, paying much attention to the development of liturgy
and ritual. Wensinck also contributed significantly to the ac-
WESLEY BROTHERS. John Wesley, English clergy-
cumulated the knowledge of Syrian mystical theology, after
man (1703–1791), attempted to revive the spiritual life of
this field was opened by the works of Paul Bedjan and others.
the Church of England but instead founded Methodism, a
Wensinck’s major importance, however, seems to lie in
worldwide family of independent churches. His father, Sam-
his combination of various specializations within the histori-
uel (1662–1735), and his mother, Susanna Annesley (1669–
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9716
WESLEY BROTHERS
1742), changed their allegiance to the Church of England
respect parish boundaries, writing, “I look upon all the world
quite independently of each other before their marriage in
as my parish.” His “field-preaching” was supported by a
1688. John was probably their fifteenth child, and his broth-
wide-ranging preaching itinerancy, spreading from London
er Charles (1708–1788) the eighteenth. John was educated
to Oxford and Bristol, and thence in 1739 to Wales, in 1742
at the Charterhouse School, London, going on to Christ
to Newcastle, in 1743 to Cornwall, in 1747 to Ireland, and
Church, Oxford; Charles attended Westminster School, and
in 1751 to Scotland.
also went on to Christ Church, as had their elder brother
To aid him in his task Wesley strove to enlist other cler-
Samuel (1691–1739), an ordained clergyman, a schoolmas-
gy in a similar preaching itinerancy, or at least to convince
ter at Westminster and Tiverton, and a competent minor
them to maintain deeply spiritual ministries in their own
poet.
parishes. it soon became clear that his ordained colleagues
John Wesley’s preparations for ordination in 1725 led
were too few for the proliferating societies, and Wesley
to a deepened spiritual awareness. He was elected fellow of
turned to laymen as preaching helpers, thereby scandalizing
Lincoln College, Oxford, in 1726, served two years as his fa-
many otherwise sympathetic clergy. In 1744 he invited the
ther’s curate at Epworth and Wroot in Lincolnshire, and re-
handful of cooperating clergy to meet with him in London
turned to Oxford in 1729 to resume his tutorial duties. He
to confer about the whole work and its lay helpers, the first
also took over the leadership of a religious study group orga-
of the annual conferences which in 1784 he incorporated as
nized by Charles. Similar groups soon arose. They were col-
the governing body for Methodism after his death. The early
lectively known as “The Holy Club” and “Methodists,” be-
conferences defined Methodist teaching on sin and salvation,
cause of the methodical way in which they immersed
teaching which he embodied especially in his Sermons. The
themselves in the devotional classics and attempted to recre-
Sermons formed a major part of his huge publishing enter-
ate the life of the apostolic church. In 1735 his sense of a mis-
prise, begun at Oxford, which undergirded Methodist pri-
sion to Oxford caused Wesley to refuse nomination at Ep-
vate devotions, public worship, evangelistic mission, and the
worth as his dying father’s successor, but later that year he
organization of the network of society and preachers.
agreed to assume the spiritual leadership of the new colony
From the outset Wesley’s purpose had been to revive his
of Georgia, recruiting as colleagues several Oxford Method-
beloved church from within. However, he was not content
ists, including his brother Charles, who was speedily or-
to go through normal channels—so frustratingly slow—but
dained for the task.
maintained an unshaken determination to follow what he
John Wesley returned from Georgia after two frustrat-
believed to be providential guidance in experimentation.
ing years, realizing that his ministry lacked the spark of the
Thus he began field-preaching, the employment of lay
personal assurance of salvation which he had witnessed
preachers, the development of his own “connexion” of socie-
among the Moravians there. Spurred on by another Moravi-
ties not answerable to church authorities, the building of his
an, Peter Böhler (1712–1775), who was in England on his
own “preaching-houses,” the constitution of his own admin-
way to America, he prayed for and received this spiritual cer-
istrative annual assembly, legally incorporated in 1784, the
tainty on May 24, 1738: “I felt my heart strangely warmed.
ordination of his own preachers in that same year, as well as
I felt I did trust in Christ, Christ alone, for salvation; and
his publication of a revised Book of Common Prayer. All these
an assurance was given me that he had taken away my sins,
things, together with his eventual readiness to open his own
even mine, and saved me from the law of sin and death.”
buildings during normal times of worship in the established
church, proved that although he protested to his dying day
After a three-month pilgrimage to the Moravian head-
that he was a loyal member and minister of the Church of
quarters in Germany, Wesley persuaded many of the old reli-
England, his loyalty was certainly not to the church’s out-
gious societies in London to adopt his modification of the
ward form as it was familiar to him, but to what he consid-
Moravian “choirs” to form cells known as “bands” for inten-
ered its essence. Yet there seems little doubt that his remark-
sive spiritual sharing among five or six persons of the same
able ministry of sixty-five years brought about not only the
sex and marital status. This fostered his own eager attempts
formation of a new denomination but also the desired refor-
to bring others to a personal experience of Christ as Savior
mation of his native church.
and Lord—which offended more formal church people as
“enthusiasm.” He also formed new societies from those who
SEE ALSO Methodist Churches.
asked for his spiritual direction. He enriched his followers’
faith and worship with song, and with his brother Charles
BIBLIOGRAPHY
published a new volume of hymns and sacred poems every
Works by John Wesley
year from 1737 to 1742.
Under my editorial supervision, a new edition of The Works of
John Wesley (Oxford, 1975–1983; Nashville, 1984–) is in
Pulpits were repeatedly closed to Wesley because he
progress. Thirty-five volumes are projected, of which vol-
preached on salvation by faith. Encouraged by his former
umes 1, 2, 7, 11, 25, and 26 have so far appeared. The most
pupil, George Whitefield (1714–1770), on April 2, 1739, in
useful selection of Wesley’s theological writings currently
Bristol, he “proclaimed in the highways the glad tidings of
available is to be found in John Wesley, edited by Albert C.
salvation . . . to about three thousand people.” Nor did he
Outler (New York, 1964).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WEST AFRICAN RELIGIONS
9717
Works about John Wesley
God. The strategy of the African thought process concerning
No one has yet succeeded in presenting a full and fair portrayal
the nature of God is evident. The distance of God generates
of John Wesley in one volume, even a large one, although
a religious need in humans; the absence of the divine gives
biographies by both Colwyn E. Vulliamy and Vivian H. H.
birth to a quest for what is absent, a quest often satisfied
Green can be recommended. Vulliamy’s John Wesley (Lon-
through intermediaries more accessible than God.
don, 1931) will please the general reader; Green’s John Wesley
(London, 1964), a more penetrating though brief study, will
The supreme being is not uniformly remote throughout
suit the scholar. Both will perhaps benefit from my own
West Africa. In a number of traditions, the supreme being
book, John Wesley and the Church of England (Nashville,
is directly involved in everyday life, acting instead of, or in
1970), in which I trace Wesley’s life against the background
conjunction with, the lesser spirits. In these traditions, peo-
of his gradual and largely unacknowledged estrangement
ple feel a proximity to God that is analogous to the feelings
from the established church.
they might have for their kin, and they appeal to and consult
FRANK BAKER (1987)
God through cults and rituals. Such is the case with Amma,
supreme being of the Dogon, whose cults exist throughout
all the villages of the Bandiagara cliffs in Mali. Similiar,
though less striking, examples are the cult of Rog among the
WEST AFRICAN RELIGIONS. West Africa lies
Serer, that of Ata Emit among the Diola, and that of Chuk-
between 5° to 23° north latitude, 23° east longitude, and 20°
wu among the Igbo. In other traditions, as among the Ashan-
west longitude. It covers about one-fifth of the territory of
ti, for example, contact with the supreme being is even more
sub-Saharan Africa and has a population of slightly more
intimate: nearly every morning elders pour libations and
than 120 million people, about half of the total intertropical
offer prayers to Nyame (and often Asase Yaa), thanking him
population of Africa. West Africa contains about six hundred
for his beneficence and asking for continued prosperity. Su-
ethnic groups, a loose designation with no scientific specifici-
preme beings who are not remote are accorded a variety of
ty. Throughout West Africa one finds large cultural variety
characteristics; it is often believed that they control rain and
with various local features.
fertility, are a source of appeal in times of affliction, a force
Traditional religions in West Africa are original systems
for justice in the world, and the guardians of the moral order.
of relations between human beings and the not ordinarily
Intermediary spirits are often punctual divinities or gods
seen—but not wholly invisible—realm of the divine. There
of specific circumstances, for example, patrons of such im-
is no concept of original sin for either the individual or the
portant events as war and hunting (Ogun of the Yoruba and
group, but there is a central notion of redemption. The idea
Edo; Ta Tao of the Ashanti; Aflim, Dade, Kumi, and Otu
of humanity is equated with the lineage, especially with the
of the Fanti; Gua of the Ga, and others). They may also be
clan, which is perceived as a social entity bearing the spiritual
associated with atmospheric phenomena such as rain and
principle that defines the clan’s originality and distinguishes
wind, thunder and lightning, and rainbows (So of the Ewe,
it from other clans. In this context redemption is based in
Xevioso of the Fon, S:ango of the Yoruba, and others). Final-
the individual; through the individual as intermediary, re-
ly, they may be deities of natural phenomena central to
demption extends to the level of the entire family or clan.
human life, such as the earth (Asase Yaa of the Ashanti,
Individuals can be seen, then, as their own redeemers; escha-
Tenga of the Mossi, Oduduwa of the Yoruba, Odua of the
tology is thus a short-term operation, part secular and part
Gu, Ayi or Li of the Ewe, and others), the river (Faro of the
religious. The role of this eschatology is to assure individuals
Bambara, Yemo:ja and O:ya of the Yoruba), the sea (Xu of
of their reincarnation as ancestors or, still better, of their re-
the Fon), and the sun (Wende of the Mossi, Olorun of the
turn to the earth to be among their people at some future
Igbo, and others).
time. Because of the diversity of West African peoples and
religions, it is impossible to treat them all in a general review
Reference should also be made here to the masters of
such as this one. Hence, in the interest of providing a pan-
smallpox, which is a feared and sacralized disease in West Af-
oramic view of West African religious experience, it has been
rica. Smallpox is incarnated in the Sakpata divinity of the
necessary to emphasize some traditions and overlook others.
Fon and Ewe, in Ojuku of the Igbo, and in S:o:po:na of the
T
Yoruba. The religious importance of this illness lies in its
HE CREATOR AND CREATION. Knowledge of the supreme
royal character. In the myths of origin of the Kouroumba
being does not center on a particular set of religious teach-
royalty (Yatenga kingdom in northern Burkina Faso), the
ings. Rather, one might say, religious adherents achieve their
first king descended from the sky carrying smallpox and was
knowledge of God’s nature indirectly through iconic images,
cured by agriculturalists. Smallpox is believed to be a sickness
symbols, metaphors, and metonyms. The principal element
from the heavens that brings the mark of the starry firma-
of this knowledge is the belief in the distance of God. Com-
ment to the skin. Because its cure was provided by earth
pared with a human, earth creature par excellence, the su-
dwellers, the divinity who incarnated the disease is both God
preme being is so far away in space and in emotional percep-
of the sky and of the earth.
tion that it sometimes cannot even be given a name, much
less invoked or honored in worship. The Bwa of Mali, for
Unlike all the secondary divinities, the supreme being
example, have a name for God, but no cult is directed to
is the creator. The creator alone enjoys this prerogative, al-
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WEST AFRICAN RELIGIONS
though he does not constantly become involved in the details
THE LIVING AND THEIR ANCESTORS. Not all deceased per-
of creation. For example, the creator assigns the task of orga-
sons are elevated to the rank of ancestor, and death is not
nizing the creation to a lesser spirit, or monitor, who thus
always a requirement for becoming an ancestor. In each soci-
becomes the first means of contact between the supreme
ety it is the living who select members for the rank of ances-
being and humans. This occurs among the Bambara (Faro
tor. Thus the notion of ancestralization relates, above all
is the monitor for Bemba), the Yoruba (Oduduwa is the
other considerations, to a social and religious model rooted
monitor for O:lo:run), the Dogon (the Nommo are the moni-
in the idea of exemplarity, that is, in a model to be imitated
tors for Amma), and the Bwa (Do is the monitor for Deb-
in order to avoid perdition. Conduct in the human realm de-
wenu).
termines whether one is ancestralized and reincarnated (a
good fate) or exiled into the bush to wander alone, eaten by
Questions about the relations between the supreme
animals and plagued by mosquitoes (as among the Diola),
being and the lesser spirits have been phrased in a number
or condemned to the peppery place of potsherds (as among
of ways. Are the lesser spirits extensions of the supreme
the Yoruba)—all bad fates. It is significant to note here that
being, or emissaries? Are they children of the supreme being?
a bad fate is never eternal; the concept of eternal damnation
Do they have independent wills, and is there antagonism be-
is foreign to African religious thought.
tween them and the supreme being? In a sense, there is no
one answer; questions such as these cannot be answered ac-
To become an ancestor, one must possess certain quali-
cording to set theological principles but vary according to the
ties. The first requirement is longevity; this cannot be
believer’s level of knowledge. Noninitiates and those who
achieved through human measures to conserve health but
have little training tend to believe that the lesser spirits are
must be bestowed by God. Thus only the elderly can become
separate from the supreme being (whether they are in a col-
ancestors. Also important is the individual’s physical integri-
laborative or conflicting situation with the supreme being)
ty and morality. Those who die from an ignominious disease
rather than being refractions of his power. Only initiates pos-
(such as leprosy), the insane, those who suffer an accidental
sessing great knowledge abandon this anthropomorphic view
death (after a fall or by being struck by lightning), thieves,
of divine realities. For them, the separation is an artificial
and those who have committed reprehensible acts cannot be-
concern brought about by the language of theology, invented
come ancestors. Finally, the person’s social standing in the
by people who are unable to speak of God without humaniz-
community is important. An outsider (a slave, for example),
ing God.
although accepted by, and integrated within, the society, is
excluded from the ranks of the ancestors. But above all, the
Africanists have often tried to establish complete inven-
preeminent attribute that allows one to become an ancestor
tories of the divinities encountered in one group or another.
is the self-knowledge that gives a person self-control; this
Some, for example, have found three hundred divinities
poise is the moral quality par excellence. All ancestors were,
among the Ewe, while others have identified from five to six
during their lifetime on earth, models of wisdom, self-
hundred. This passion for inventories and numerical estima-
control, dignity, and purity.
tion is praiseworthy enough, but it is of no scientific interest.
What seems clear in the present state of research is that the
Since death does not mark the end of human existence
different cultures in West Africa all possess the idea of a cre-
but only its changed status, death usually constitutes the nec-
ator divinity in a more or less developed fashion. This creator
essary condition of being an ancestor. However, this is not
is not worshiped with altars, prayers, and sacrifices in all parts
true in all West African societies. In a sense, to become an
of West Africa, which can give the mistaken impression that
ancestor, an individual must achieve a certain distance from
relations between the human and the divine are not fully ar-
his descendants. This distance is not created solely by death:
ticulated.
age itself can provide sufficient reason for becoming an an-
cestor. Thus, among the Mossi of Burkina Faso a great-great-
We must take great caution when we use the word God
grandfather can become an ancestor during his lifetime but
in speaking of the supreme being of Africans, to whom this
only in a marginal sense. Such an ancestor can, should the
word does not have the same meaning as it does, for example,
occasion arise, be reborn during his lifetime in one of his de-
to Christians. Among the two best-studied populations of
scendants. This assertion is based on research among the
West Africa, the Bambara and the Dogon, it appears that
Mossi, among it research conducted by Doris Bonnet. When
God is a being who engendered himself; the creation he pro-
an old person returns during his own lifetime in the body
duced was contained in himself in the form of symbols be-
of a newborn, the infant is not likely to live long. These be-
fore it was externalized. Analogous reservations must be
liefs deserve more extensive study, particularly because the
made concerning the terms to create and creation. We often
Mossi are not the only group in sub-Saharan Africa to hold
tend to associate these with the verbs to do or to make, but
them. Recent research reveals a similar situation among the
while this association is often accurate in African cosmologi-
Mongo people. The ancestor cannot, however, benefit from
cal myths, it is not always so. Among the Bambara and the
the worship of his family group until after his physical death,
Dogon, for example, creation occurs by the thought and the
which is marked by a second funeral or by rituals performed
word of God rather than by a manual act.
at the burial sites (such as libations and sacrifices, both widely
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WEST AFRICAN RELIGIONS
9719
prevalent in sub-Saharan Africa) and modifications to the
to earth by being reborn within the bodies of children within
burial site itself (for example, construction of altars on top
their lineage. The relations between the living and the dead
of the ancestor’s tomb).
can thus be seen as a kind of individual redemption brought
about by humankind’s quest for immortality.
Another important characteristic of the world of the an-
cestors is its representation as a perfect community. Unlike
Fresh water, millet flour mixed with water, and millet
the society of the living, the community of ancestors is
beer or palm wine are usually used in the libations. Fresh
cleansed of antagonism and tension. Ancestors can, of
water, which usually precedes and sometimes introduces the
course, become angry or even suffer, but such feelings arise
other two offerings, is an emollient; when poured on the altar
only as the result of neglect or of negative actions on the part
it serves as a tender and affectionate gesture to the ancestor.
of their living descendants.
Water and millet flour rise when they are combined, evoking
the act of swallowing and its immediate involuntary result,
The universe of the ancestors, sometimes seen as slow
digestion. This offering pushes the ancestor into action. Mil-
moving, is quite active. Although recollection of the ances-
let beer and palm wine are stimulants that excite and exalt
tors fades because of the weakness of the collective memory
the ancestors. In a way these drinks make the ancestors lose
of those on earth, the world of the ancestors is constantly re-
control and behave as the living wish them to. This last liba-
newed and kept vivid in the minds of the living through fresh
tion represents the final resort to the will of the ancestors be-
deaths and reincarnations. Indeed, both worlds are enhanced
fore the noblest offering, animal sacrifice, is made.
by this process. For example, each death brings an ancestor
into play in the world of the living; by dying or crossing the
Animal sacrifice is the most profound means of commu-
boundary caused by age, ancestors gain greater access to spiri-
nicating with the invisible world. The most frequent sacrifi-
tual power and can thus assist their descendants as intermedi-
cial victims are white chickens (male and female) and goats.
aries. But at the same time, by gaining additional ancestors
Sometimes a royal family may sacrifice horses or, as was once
in their ranks, the ancestors acquire new cultural experiences
the case among the Mossi, human beings. Sometimes cattle
and their world becomes enriched just as the world of the
are sacrificed, but this occurs only on rare occasions. As sacri-
living is enriched by new births. Lastly, ties between the
ficial animals, cattle are reserved for extraordinary events and
world of the living and that of the ancestors are further rein-
people (for example, the absolution of an incestuous act, the
forced by reincarnation, or the return of the ancestor. Each
funeral ceremonies of a chief). The rarity and great signifi-
ancestor can take corporeal form and return to the world
cance of these sacrifices can be explained by the fact that
when a suitable occasion arises or when he simply longs to
West Africa is largely a region of agriculturalists, not pasto-
return to earth. In a general way each society possesses rules
ralists.
that regulate the ancestor’s method of return. These are usu-
ally very precise; among the Sara of Chad, for example, a
Altars for the ancestors vary but most often consist of
grandfather always inhabits the body of the first grandson
one or several stones placed on the ground. They can also
born after his death. Among the Yoruba, the process of re-
be chairs (Ashanti, Ewe, Attie), pottery, clay stools, or door-
turn involves consultation with the supreme being. Before
posts. The officiating priests are either the eldest of the lin-
an ancestor is reborn, the ancestral guardian soul appears be-
eage (clan) or a person specifically designated by the group.
fore O:lo:run to receive a new body, a new breath, and its des-
There are cases, however, as among the Dogon, in which the
tiny for its new life on earth. The guardian soul kneels before
role is filled in part by a person designated by the ancestor
the supreme being and asks for whatever destiny it wishes,
himself.
but O:lo:run will refuse to grant its desires if they are made
P
arrogantly or selfishly. In most cases, the ancestor makes the
LACES OF WORSHIP. Generally West Africans have given
decision concerning his or her own incarnation, while the
more attention to the altar as the locus of the divine than to
living, with the help of various mediums or diviners, attempt
the sanctuary built to shelter it. There are exceptions: in Ni-
to determine the ancestor’s will.
geria, Benin, Ghana, and Mali, there exist religious buildings
in which one part is meant for the public and the rest for
The living interact with ancestors by offering them liba-
protection of cultic materials. (Public here refers to the faith-
tions and sacrifices. Libations generally precede sacrifices and
ful who have been or will be initiated.) Usually admission
constitute an overture to dealings with the ancestors. The
to the public parts of the sanctuary is available to the faithful
sacrifice, which is the high point of the ceremony, actively
who have been introduced to knowledge of the mystery
unites the living, in their quest and anticipation, with the
evoked by the place of worship. The reserved part is only ac-
dead, in their obligation to respond favorably. Dealings be-
cessible to the high dignitaries of the community of the spe-
tween the ancestors and the living should not be seen as one-
cific cult. In practice this separation suggests that religion
sided attempts by weak humans to seek aid from the heaven-
does not merely pose problems of faith and adherence to a
ly powers (as is the case in revelatory religions). These inter-
system of beliefs; more importantly, it raises questions about
actions are, in fact, bilateral obligations: humans need the
knowledge and power. Religion is parceled out in as many
ancestors because of powerlessness and his indigence; ances-
sectors, either exclusive of one another or complementary
tors need to be remembered by humans so they can return
over time, as there are different domains of knowledge.
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WEST AFRICAN RELIGIONS
The linkage between religion and knowledge, particu-
from the profound attachment to land that is often found
larly prominent in West Africa, is not surprising. Indeed, one
throughout Africa.
can say that it constitutes the characteristic trait of sub-
Sanctuaries related to the land have as much, if not
Saharan cultures. The higher one’s position becomes in the
more, variety as those related to water. One must remember
religious hierarchy, the more knowledge one possesses. The
that at least 90 percent of the West African population is
greater one’s knowledge, the more likely one will be invested
composed of sedentary agriculturalists and that for them
with religious power. All this reveals, on the one hand, the
land is the true reservoir of life. Land sanctuaries share one
connection between sacred knowledge and power (including
special feature. They are not temples in the true sense of the
political power)—every sage exercises real power over the
word because the land has no edifice; the land itself is a reli-
community he is part of—and, on the other hand, the ways
gious and sacred monument and thus it would be unseemly
that knowledge is distributed. For example, during initiation
to try to limit it, to pretend to enclose it within walls. The
rites, knowledge is distributed to the adept drop by drop, as
sanctuaries of the earth are everywhere that human beings
if such instillation were the only possible method of instruc-
carry out gestures of deference to the nourishing soil. Moun-
tion. If any other pedagogic method were used, the adept
tains, grottoes, rocks, and stones that strike the religious
would reject the knowledge, much like his body would reject
imagination, pits and crevasses open to the unknown—all
the intrusion of a foreign element such as a different blood
lend themselves admirably to being transformed into places
type. However, there is another reason why knowledge is
of worship. Cultivated fields are particularly designated for
parceled out bit by bit. The adept is tested at each level to
sacralization.
see how he or she reacts to it to ensure that the power that
comes with such knowledge is not misused. In many West
The temples of the air, namely sacred trees and groves,
African societies, for instance, the sacred power to cure afflic-
are the most numerous sites of worship and the closest to the
tion through the manipulation of spiritual powers and mate-
religious affections of West Africans. They are considered to
rial substances is not far removed from the practice of sor-
have an airy nature because they are in harmony with atmo-
spheric changes and with the seasons. There is not a single
cery. Both sorcery and the practice of healing often involve
human community in West Africa that does not have high
the use of similiar techniques and medicines; what distin-
regard for this vegetation. The tree stands as an intermediary
guishes them is the practitioner’s intention to do good or
between the human being and spiritual powers. This media-
evil. Hence, before giving an adept religious knowledge,
tion is often so central that humans are considered to be an
measures must be taken to ensure that he or she will use this
emanation of the vegetation. The Bambara believe in a kind
power for the good of the community. An individual with
of metempsychosis, or transmigration of souls, in which one
sacred knowledge who is deluded by his or her own power,
guidepost in the journey is a tree. One also encounters this
greed, envy, or malice can have disastrous effects upon the
belief among the Fon, for whom certain myths speak of how
community.
men and women descended from the branches of a tree in
Worship sites are numerous and varied and can be clas-
former times. Similarly, West African women desirous of be-
sified according to the four elements: water, earth, air, and
coming pregnant often implore a tree to give them a child.
fire. Throughout West Africa, water inspires feelings of un-
Trees acquire even more intense religious value when nature
certainty, fear, reassurance, and security; most importantly,
integrates them into sacred groves, which are the scenes of
it is seen as the source of life. Each body of water has its own
religious assemblies and initiation rites.
spirit. Metonymically speaking, the body of water is both a
In West Africa, where there are no volcanoes, temples
sort of water god worshiped by riverine peoples and a temple
connected with fire are the most humble, the closest to daily
of water in which the faithful, bearing offerings, immerse
life, and also the most ubiquitous. They are associated with
themselves. For example, the part of the Niger River that
the part of the home in which women prepare food. The fire,
crosses Bambara country is said to be the body of Faro, the
which transforms food, brings light and warmth to its users
water spirit, who is responsible for the fecundity, multiplica-
and mediates between the living and the dead. If the faithful
tion, and proliferation of all living things. Among the Yoruba
lack the resources to provide a sacrificial victim, they can use
of Nigeria it is thought that Yemo:ja, daughter of O:batala and
ashes from the hearth fire as a replacement. The omnipres-
Oduduwa, gave birth to all the waters of the country and that
ence of this temple of fire is matched by the reality of the
she is the patroness of the River Ogun, her favorite sanctuary.
forge in almost all West African groups, even though the pro-
For the Edo of Nigeria, the waters of the regions belong to
fession of blacksmithing is generally considered to be limited
Oba. In Ghana and the Ivory Coast, the rivers, streams, and
to members of a guild. The forge is more than a workshop;
still waters are the property of Tano and Bia. Fresh water,
it is also a place of worship, a shelter in which human justice
by its very nature favorable to life, is humane. Seawater is in-
gives way to the gentleness of heaven. The most typical char-
humane and savage; it needs to be tamed. This negative view
acteristic of the forge lies in the fact that it constitutes a place
of seawater may have been formed during the era of coloniza-
of creation comparable to that held by the creator when the
tion and slavery (both the early Europeans and slave traders
foundations of the world were established. This explains why
arrived by sea); more likely, however, it may simply stem
fire becomes a sanctuary wherein the prayer of an empty
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WEST AFRICAN RELIGIONS
9721
womb beseeching fecundity will, according to the beliefs of
Hence, adherents to West African religions find recourse to
the faithful, surely be answered.
initiatory techniques that view the body as the starting point
Generally speaking, religion in West Africa is men’s
of religious and mystical feelings. The body becomes the au-
business. Nevertheless, women, especially after menopause,
thentic symbol of the elevation of the human being to the
often become ritual specialists (for example, among the
peak of spirituality. Mystical life in African religion does not
Guere, Ubi, and Wobe of the Ivory Coast; the Dogon of
detach humanity from the earth; instead, it permits human
Mali; the Mende of Sierra Leone; and especially, the Yoruba
beings to live and relive indefinitely on earth.
and Igbo of Nigeria). Religious duties, which are numerous
SEE ALSO Akan Religion; Bambara Religion; Diola Religion;
and complex, are ordinarily the responsibility of the eldest
Dogon Religion; Edo Religion; Fon and Ewe Religion;
member of the group. All cultic practices include an oral li-
Fulbe Religion; Igbo Religion; Mawu-Lisa; Tiv Religion;
turgical element that is of central importance because the
Yoruba Religion.
word, invested with the characteristics of both water and
heat, has fertilizing power.
BIBLIOGRAPHY
INITIATION AND SPIRITUAL LIFE. Initiation rites engender
Awolalu, J. O:mo:s:ade. Yoruba Beliefs and Sacrificial Rites. London,
an internal disposition that guarantees a way of life different
1979.
from ordinary existence. This disposition is acquired through
Bellman, Beryl L. Village of Curers and Assassins: On the Production
the development of spiritual techniques that train the body
of Fala Kpelle Cosmological Categories. The Hague, 1975.
and promote a sense of the abolition of finitude.
Bonnet, Doris. “Le Retour de l’Ancêtre.” Journal de la Société des
Africanistes 51 (1981): 133–147.
Initiation rites in West Africa fall into two types. In Ni-
Field, Margaret Joyce. Search for Security: An Ethno-Psychiatric
geria, Benin, Togo, and Ghana (that is, among the Yoruba,
Study of Rural Ghana. London, 1960. A study of religion and
Hausa, Ewe, Fon, Ashanti, and related groups), initiation is
psychology among the Akan peoples, particularly centered
of a type one may term epispanic. Here the initiates attract
on Ashanti shrines and the obosom.
(Gr., epispao¯) the divinity to themselves, and the impact of
Fortes, Meyer. Oedipus and Job in West African Religion. Cam-
the meeting between the human and divine translates into
bridge, U.K., 1983. A reprint of Fortes’s classic 1959 work
what is commonly called possession or trance. The introduc-
on Tallensi religion.
tion to and training for the spiritual life are accomplished ei-
Griaule, Marcel. Conversations with Ogotemmêli. Translated by
ther by individual training (as, for example, among the
Robert Redfield. London, 1965. Dogon religion as interpret-
Ashanti and the eastern Yoruba) or by collective training in
ed by a Dogon sage.
convents, as is the rule among the Ewe, Fon, western Yoruba,
Henderson, Richard N. The King in Every Man: Evolutionary
and Itsha. This form of initiation is available to both men
Trends in Onitsha Ibo Society and Culture. New Haven,
and women. The physical tests that neophytes undergo dur-
Conn., 1972.
ing their initiation have a specific goal, even though the initi-
Horton, Robin. “Destiny and the Unconscious in West Africa.”
ates may not be aware of it. It involves a spiritualization of
Africa 31 (April 1961): 110–116.
the senses, particularly vision, hearing, and taste.
Horton, Robin. “The Kalabari World-View: An Outline and In-
The second type of initiation, termed allotactic (Gr.,
terpretation.” Africa 32 (July 1962): 197–220.
allos, other; taktik¯e, from tassein, to marshal), is common
Nadel, Siegfried Frederick. Nupe Religion: Traditional Beliefs and
from Ghana to Guinea. Here the neophytes go to seek God.
the Influence of Islam in a West African Chiefdom. London,
Clearly the physical tests here are equally rigorous as those
1954.
in epispanic initiation, but what matters above all in allotac-
Parrinder, Geoffrey. West African Religion. 2d ed., rev. London,
tic initiation is the accession of the neophytes to a transform-
1961. A classic on West African religion, focusing primarily
ing knowledge that permits them to get closer to particular
on three groups: the Akan, the Yoruba, and the Ewe.
spiritual beings and even to become a bit like them, in other
Pelton, Robert D. The Trickster in West Africa: A Study of Mythic
words, to become immortal, for only through immortality
Irony and Sacred Delight. Berkeley, Calif., 1980.
do human beings guarantee their chances for reincarnation.
Thomas, Louis-Vincent, and René Luneau. La terre africaine et ses
Such transforming knowledge cannot be gained in several
religions. Paris, 1974.
months or even in several years. Among the Senufo of Mali
Thompson, Robert Farris. African Art in Motion. Los Angeles,
and northern Ivory Coast, initiation into the Poro society
1974. Superb analysis of African dance and art drawn exclu-
lasts more than twenty years. For the Bidjogo of Guinea-
sively from West Africa.
Bissau initiation takes almost the same time. Men and
Thompson, Robert Farris. Flash of the Spirit: African and Afro-
women are segregated in this form of initiation. Allotactic
American Art and Philosophy. New York, 1981. An excellent
initiation clearly demonstrates the leitmotiv of African spiri-
work dealing primarily with the movement of African
thought and art into the New World, using examples from
tuality, the human struggle against total disappearance from
Yoruba, Ejagham, and Mande cultures.
the earth.
Zahan, Dominique. The Religion, Spirituality, and Thought of Tra-
African spirituality demonstrates that human beings are
ditional Africa. Translated by Kate Ezra Martin and Law-
not born spiritual; rather, they must become spiritual.
rence M. Martin. Chicago, 1979.
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9722
WEST SYRIAN CHURCH
New Sources
later study of urbanism, namely geology and geomorphology
Brenner, Louis. “Controlling Knowledge: Religion, Power and
(the study of the origin and development of the earth’s sur-
Schooling in a West African Muslim Society.” Bloomington,
face features). In 1940 Wheatley volunteered for service in
Ind., 2001.
the Royal Air Force (RAF). He served as a navigator, a para-
Fisher, Robert B. “West African Religious Traditions: Focus on
chute instructor in North Africa and Italy, and a trainer for
the Akan of Ghana.” Maryknoll, N.Y., 1998.
British paratroopers preparing for the invasion of France in
Murphy, Joseph M. “Osun across the Waters: A Yoruba Goddess
June 1944. He saw intense combat as a member of Squadron
in Africa and the Americas.” Bloomington, Ind., 2001.
150 of the RAF’s Bomber Command and Pathfinder Group
Stoller, Paul. “Embodying Colonial Memories: Spirit Possession,
205, surviving a crash landing in Iraq as well as forced para-
Power, and the Hauka in West Africa.” New York, 1995.
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ter Haar, Gerrie, ed. “Strangers and Sojourners: Religious Com-
Yugoslavia.
munities in the Diaspora.” Louvain, 1998.
POSTWAR WORK. After Wheatley returned from his war ser-
D
vice, he met Henry Clifford Darby (1909–1992), a distin-
OMINIQUE ZAHAN (1987)
Translated from French by F. A. Leary-Lewis
guished professor of geography, and became involved in
Revised Bibliography
Darby’s historical geography project, which made use of the
1068 Domesday Book of William I, King of England from
1066 to 1087. Wheatley’s interest in local geography and
place names coupled with his knowledge of Latin allowed
WEST SYRIAN CHURCH SEE SYRIAC
him to assist in the reading of the medieval manuscripts that
ORTHODOX CHURCH OF ANTIOCH
Darby was analyzing. Wheatley eventually contributed the
Staffordshire chapter and coauthored the Somerset chapter
in Darby’s book The Domesday Geography of England, which
WHEATLEY, PAUL (1921–1999) was a professor at
was published in 1954. In 1949 Wheatley received the Alex-
the University of Chicago who specialized in comparative ur-
ander von Humboldt Prize and was awarded his bachelor’s
banism and historical urban geography. If ever there was a
degree with first class honors in geography from the Univer-
contemporary scholar outside the field of religious studies it-
sity of Liverpool. He then joined the faculty of University
self who made a persuasive and elegant case for relating the
College, London, where Darby had relocated. In 1952
study of religion to comparative worldviews and complex so-
Wheatley left England for the University of Malaya in Singa-
cial processes, it was Paul Wheatley. His magisterial book
pore (now the National University of Singapore), where he
The Pivot of the Four Quarters: A Preliminary Enquiry into the
first served as the “neophyte colonial lecturer” and later as
Origins and Character of the Ancient Chinese City still stands
lecturer in geography.
as a model for comparative studies of the social and religious
During the next seven years Wheatley traveled exten-
dimensions of traditional urban settlements. The excellence
sively in the Malay Peninsula, did field archaeology, expand-
of this book can be attributed in part to Wheatley’s extraor-
ed his linguistic abilities, taught courses at the university, and
dinary linguistic abilities, his insightful handling of primary
founded the Malayan Journal of Tropical Geography. He also
texts, and his elegant application and testing of his theories
made use of classical Greek, classical Malay, Arabic, and Chi-
on the nature of the city, social stratification, and the reli-
nese sources to prepare two works that served both as source
gious imagination. Wheatley came to this achievement
books and as innovative interpretations of the historical ge-
through his intensive study of historical geography. He was
ography of the region. These were The Golden Khersonese and
the first British geographer to explore sources in Chinese and
Impressions of the Malay Peninsula in Ancient Times (Singa-
Arabic, which he combined with Latin and Greek texts in
pore, 1964). In 1957 Wheatley married Margaret E. Ash-
his early book The Golden Khersonese: An Historical Geogra-
worth, a member of the geography faculty at the University
phy of the Malay Peninsula Before AD 1500.
of Malaya. They moved to the United States in 1958, where
EARLY CAREER. Paul Wheatley was born in 1921 in Glouces-
Wheatley served on the faculty of the University of Califor-
tershire, England. He spent part of his youth in the village
nia at Berkeley until 1966. While helping to raise his two
of Enham (later also named Alamein), a community set aside
sons, Julian and Jonathan, Wheatley became deeply interest-
for families of seriously injured veterans of World War I.
ed in the problem of urban origins. He discovered an intri-
During Wheatley’s youthful excursions around Coatswell
cate set of relationships between the rise of permanent social
and Salisbury, he developed interests in two landscapes: the
stratification and the organizing capabilities of religious
geography of that part of England and the celestial land-
thought as manifested in monumental ceremonial centers.
scapes that he observed during nighttime travels. In his early
He began an intensive analysis of the origins of cities as indi-
schooling he excelled in Latin and Greek; by 1939 to 1940
cated in Chinese sources and expanded his focus to decipher-
he had completed his first college degree in classics (Latin
ing the process of primary urban generation in Mesoamerica,
and Greek, philosophy and religion) in a two-year accelerat-
Mesopotamia, the Indus Valley, Nigeria, Peru, and Egypt.
ed program offered by Kings College, London. Wheatley
MATURE WORK. Wheatley’s most influential monograph
also studied two subjects that became foundational for his
was The Pivot of the Four Quarters: A Preliminary Enquiry
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WHEATLEY, PAUL
9723
into the Origins and Character of the Ancient Chinese City
contributed a prefatory essay to An Historical Atlas of China
(Chicago, 1971). In this study Wheatley sought to under-
(1966). From 1971 until his retirement in 1991, he served
stand the complex forces that led to the genesis of the first
as professor of geography and social thought at the Universi-
cities, especially the factors associated with permanent social
ty of Chicago. During Wheatley’s years on the Chicago fac-
differentiation. In each instance of urban origins, he found
ulty, he was a member of the Committee on Social Thought
that “the earliest foci of power and authority took the form
and its chairman from 1977 to 1991. The novelist Saul Bel-
of ceremonial centers, with religious symbolism imprinted
low was one of the distinguished members of this committee
deeply on their physiognomy and their operation in the
and included a flattering literary portrait of Paul Wheatley
hands of organized priesthoods.” Priestly elites in all seven
in his novel Ravelstein (2000). Wheatley was remarkably pro-
areas of primary generation (northern China, Mesopotamia,
ductive during his Chicago years, publishing on various
Egypt, the Indus Valley, southwestern Nigeria, central Mexi-
questions of urban origins and history in From Court to Capi-
co, and Peru) had developed “greatly amplified ethical sys-
tal: A Tentative Interpretation of the Origins of the Japanese
tems” which were part of a “new instrument for the organiza-
Urban Tradition (1978), Nagara and Commandery: Origins
tion of sacred, economic, social and political space”
of the Southeast Asian Urban Traditions (1983), and the mon-
(p. 305). Wheatley stated concisely that these ceremonial
umental two-volume Melaka: The Transformation of a Malay
centers “functioned as instruments for the dissemination
Capital, c. 1400–1980 (1983), which he edited with Kernial
through all levels of society of beliefs which, in turn, enabled
Singh Sandhu. His editorial collaboration with Sandhu con-
the wielders of political power to justify their goals in terms
tinued in Management of Success: The Moulding of Modern
of the basic values of that society, and to present the realiza-
Singapore (1989). Wheatley’s final book, published posthu-
tion of class-directed aims as the implementation of collec-
mously, was The Places Where Men Pray Together: Cities in
tively desirable policies” (p. 305).
Islamic Lands, Seventh to Tenth Centuries (2001). During
these years he also served on numerous external committees,
Wheatley found the key to the efficacy of these ceremo-
including the Jerusalem Committee, a group that advised
nial centers in a religious mode of thought that he called
Mayor Teddy Kollek (b. 1911) on the future organization
“cosmo-magical symbolism.” This mode of thought “presup-
of the city; the Ford Foundation, on academic fellowships
poses an intimate parallelism between the mathematically ex-
for Vietnamese refugees; and the regional advisory board of
pressible regimes of the heavens, and the biologically deter-
the Southeast Asian Journal of Ethnicity. In addition, Wheat-
mined rhythms of life on earth (as manifested conjointly in
ley served on the editorial boards of Urbanism and Social
the succession of the seasons and the annual cycles of plant
Change, the Journal of Urban History, the Journal of Oriental
regeneration)” (p. 414). In Wheatley’s understanding, there
Studies, and other scholarly periodicals.
were at least three patterns of urban order that emerged from
cosmo-magical thought: the pattern of building monumen-
Wheatley was highly skilled in the use of human lan-
tal capitals around supremely important ritual structures; the
guage, and wrote elegantly and movingly in his essays and
use of cardinal axiality (designing the city with fixed refer-
books about the topics that engaged him. After his death in
ence lines to the four principal points of the compass) to or-
1999, a eulogy about him stated, “Wheatley was a man of
ganize large urban populations, transportation systems and
ideas, of exacting standards and often of forceful expres-
even general systems of market exchange; and the imprinting
sion. . . . Only the grand thesis was good enough for him.
of episodes from the culture’s mythology in the layout and
A belief in the value of a comparative world view and an
ornamentation of major buildings. Wheatley illustrated these
inter-disciplinary approach inspired his lifelong exploration
complex interrelations with the use of maps and narratives,
of urbanism and his conviction that the emergence of the city
showing the ways in which the morphology of specific cere-
was a turning point in the history of human society.”
monial cities influenced the formation of economic and so-
SEE ALSO Chinese Religion, overview article; Cities;
cial order as well as reflecting cosmo-magical thought.
Geography.
Wheatley’s position was and remains a major challenge
to materialist interpretations of the causes and nature of
BIBLIOGRAPHY
urban organization and authority. While several of his major
Wheatley, Paul. The Golden Khersonese: An Historical Geography
of the Malay Peninsula Before
books resulted from intensive analysis of the geographic and
AD 1500. Kuala Lumpur, Ma-
laysia, 1961.
economic, especially exchange patterns of and within urban
centers, Wheatley insisted that the evidence showed repeat-
Wheatley, Paul. “City as Symbol.” Inaugural lecture delivered at
edly that rulers just as often subordinated their technology
University College, London, November 20, 1967. London,
1969.
and economic practices to religious symbolism as the other
way around.
Wheatley, Paul. The Pivot of the Four Quarters: A Preliminary En-
quiry into the Origins and Character of the Ancient Chinese
From 1966 to 1971 Wheatley served on the faculty at
City. Chicago, 1971.
University College, London, where he produced several de-
Wheatley, Paul. From Court to Capital: A Tentative Interpretation
finitive essays in urban studies, including “City as Symbol”
of the Origins of the Japanese Urban Tradition. Chicago,
(1969) and “The Concept of Urbanism” (1972). He also
1978.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9724
WHEEL
Wheatley, Paul. Nagara and Commandery: Origins of the Southeast
most constantly from an array of illnesses: heart, lung, and
Asian Urban Traditions. Chicago, 1983.
stomach ailments, frequent “fainting fits” (sometimes once
Wheatley, Paul. The Places Where Men Pray Together: Cities in Is-
or twice a day), paralytic attacks, pressure on the brain,
lamic Lands, Seventh through the Tenth Centuries. Chicago,
breathing difficulties, and bouts of anxiety and depression.
2001.
At times she feared that Satan and his evil angels were trying
Wheatley, Paul, and Kernial Singh Sandhu, eds. Melaka: The
to kill her. In 1863, only months after using water treatments
Transformation of a Malay Capital, c. 1400–1980. 2 vols.
to nurse her children through a diphtheria epidemic, she re-
New York, 1983.
ceived a special vision on health. Adventists, she learned,
Wheatley, Paul, and Kernial Singh Sandhu, eds. Management of
were to give up eating meat and other stimulating foods,
Success: The Moulding of Modern Singapore. Pasir Panjang,
shun alcohol and tobacco, and avoid drug-dispensing doc-
Singapore, 1989.
tors. When sick, they were to rely solely on nature’s reme-
dies: fresh air, sunshine, rest, exercise, proper diet, and, above
DAVÍD CARRASCO (2005)
all, water. A second vision on health led her in 1866 to estab-
lish the Western Health Reform Institute in Battle Creek,
WHEEL S
the first of a worldwide chain of Adventist sanitariums.
EE CAKRAS; CIRCLE
During the 1870s the Whites spent considerable time
proselytizing on the West Coast. In 1881, James died. Fol-
WHITE, ELLEN GOULD (1826–1915), prophetess
lowing a yearlong depression, Ellen White resumed her min-
and cofounder of the Seventh-day Adventist church. Ellen
istry through missions to Europe (1885–1887) and to Aus-
Gould Harmon was born November 26, 1827, on a farm
tralia and New Zealand (1891–1900). Upon returning to the
near Gorham, Maine. As a child she moved with her family
United States in 1900, she purchased a farmhouse near Saint
to Portland. When she was nine or ten, an angry schoolmate
Helena, California, from whence she continued to guide her
hit her in the face with a rock, knocking her unconscious for
growing church. Although she never assumed formal leader-
several weeks. The accident left her a semi-invalid, unable to
ship of the Adventist organization, White wielded enormous
continue her schooling (except for a brief period at the West-
influence, especially late in her career, in matters relating to
brook Seminary and Female College) and unlikely to fulfill
both doctrine and policy. While in semiretirement, she di-
her ambition of becoming a scholar.
rected a major campaign to build an Adventist sanitarium
“near every large city” and to open a medical school, the Col-
Raised a Methodist, Ellen in 1840 joined the Millerites,
lege of Medical Evangelists (now Loma Linda University),
who believed that Christ would return to earth in 1843 or
in southern California. She died on July 16, 1915, at age
1844. When he failed to appear on October 22, 1844, the
eighty-seven; over 136,000 Seventh-day Adventists mourned
date finally agreed upon, disappointment and confusion
her passing.
swept through the Millerite camp. In December, while pray-
ing with friends for guidance, seventeen-year-old Ellen went
Although better at speaking than writing—her modest
into a trance, the first of many visions during which she
reputation among non-Adventists derived largely from her
claimed to receive divine illumination. In this state God as-
lectures on temperance—Ellen White enjoyed her greatest
sured her that the Millerites’ only mistake lay in confusing
success as an author. Between the late 1840s, when her first
the second coming of Christ with the beginning of the heav-
broadsides appeared, and 1915, she published over a hun-
enly judgment, which had indeed begun on October 22. In
dred books and pamphlets and contributed thousands of ar-
1846 Ellen was shown the importance of observing the sev-
ticles to church periodicals. Since her death the Ellen G.
enth-day sabbath. In both instances her visions supported
White Estate has brought out dozens of additional books,
doctrines that others were already teaching, a pattern that
compiled from her letters, sermons, and articles. Few subjects
came to characterize her role as a religious leader.
escaped her attention. Among her most notable works were
three sets of books on biblical history and eschatology: Spiri-
In 1846 Ellen married James White, who became her
tual Gifts (1858–1864), Spirit of Prophecy (1870–1884), and
editor, publisher, and manager. For several years they trav-
the “Conflict of the Ages Series” (1888–1917), which in-
eled throughout the Northeast preaching their sabbatarian
cluded The Great Controversy between Christ and Satan, her
message. When children began arriving, Ellen reluctantly left
major eschatological work. Her health writings began with
them with friends. In 1852 the weary, impoverished couple
a tract on the perils of masturbation, An Appeal to Mothers
settled in Rochester, New York, where they collected their
(1864), and culminated with the widely circulated Ministry
children about them and James acquired a printing press.
of Healing (1905). In Education (1903), she emphasizes “the
After three discouraging years, the Whites moved to Battle
harmonious development of the physical, the mental, and
Creek, Michigan, where in the early 1860s they formally cre-
the spiritual powers.” Between 1855 and 1909 she published
ated the Seventh-day Adventist church, then numbering
thirty-seven volumes of Testimonies for the Church, in which
about 3,500 members.
she relayed counsel that she had received in visions. The most
Health concerns dominated Ellen White’s life during
popular of her books was Steps to Christ (1892), a brief devo-
the 1860s. Since her childhood accident she had suffered al-
tional work that sold in the millions.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WHITE BUFFALO CALF WOMAN
9725
Since early in Ellen White’s career critics have alleged
Rites to the Lakota people. The Lakota consider her extreme-
that she sometimes contradicted herself, failed to acknowl-
ly holy. Some regard her as the reappearance of Wohˇpe (Fall-
edge—and on occasion denied—her indebtedness to other
ing Star or Beautiful Woman) who, like Pte-san win-yan, em-
authors, and allowed her testimonies to be manipulated by
bodies the ideals of Lakota womanhood. White Buffalo Calf
interested parties close to her. In response, she insisted on
Woman is one of many female sacred powers in Native
the consistency, originality, and independence of her in-
American myth and ritual, including Corn Woman (Chero-
spired writings. “I do not write one article in the paper ex-
kee), Changing Woman (Navajo), White Painted Woman
pressing merely my own ideas. They are what God has
(Apache), Our Grandmother (Shawnee), and Thought
opened before me in vision—the precious rays of light shin-
Woman (Keres).
ing from the throne” (Testimonies for the Church, vol. 5,
Some tribal histories indicate that Pte-san win-yan ar-
p. 67). In recent years scholars have uncovered evidence that
rived among the Lakota in the late 1700s during their diffi-
she borrowed extensively from other authors and that her lit-
cult transition from the Great Lakes to the Great Plains. Buf-
erary assistants provided more than routine editorial and sec-
falo were integral to Lakota life on the plains, providing
retarial services.
everything the people needed for survival. According to writ-
Although Ellen White preferred to style herself as “the
ten accounts of Lakota oral tradition, White Buffalo Calf
Lord’s messenger” rather than as a prophetess, she classed
Woman appeared to the Lakota long ago when the people
herself with the biblical writers. “In ancient times God spoke
were very hungry. Two men who were scouting for food one
to men by the mouth of prophets and apostles,” she wrote
day noticed a beautiful woman approaching them from a dis-
in 1876. “In these days he speaks to them by the Testimonies
tance. She wore a dress of fine white buckskin and carried
of his Spirit” an unambiguous reference to her own work
a bundle on her back. As she drew closer, one of the hunters
(Testimonies, vol. 4, p. 148). Many early Adventists, includ-
felt desire for her, but the other scout cautioned him, recog-
ing her own husband, resisted efforts to equate her writings
nizing that she was sacred or wakan. As the desirous scout
with the Bible and to make acceptance of her inspiration a
reached for her, he and the woman were enveloped in a swirl-
“test of fellowship.” Nevertheless, by the early twentieth cen-
ing cloud which lifted to reveal a pile of bones beside the sa-
tury Adventist churches were “disfellowshipping” members
cred woman. She then directed the remaining scout to return
who questioned her gift, and were relying on her views to
to the camp and instruct the people to prepare a large tipi
determine the correct reading of scripture. Among the faith-
for her arrival. The sacred woman appeared the following
ful the very phrase “Spirit of Prophecy” became synonymous
day, singing as she entered the camp and then the tipi:
with Ellen White and her writings, which they regarded as
With visible breath I am walking.
authoritative not only in theology but in science, medicine,
A voice I am sending as I walk.
and history as well.
In a sacred manner I am walking.
SEE ALSO Seventh-day Adventism.
With visible tracks I am walking.
In a sacred manner I am walking.
B
(DeMallie, p. 284)
IBLIOGRAPHY
To date, no full-scale biography of Ellen White has appeared. Of
Sent from the buffalo, she gave the Lakota the White Buffalo
the several autobiographical accounts, the most complete is
Calf Pipe Bundle and taught them how to pray with the Sa-
Life Sketches of Ellen G. White (Mountain View, Calif.,
cred Pipe, Ptehincala hu cannunpa. Through the Sacred Pipe,
1915), the last part of which was compiled by assistants. In
humans became related to and at one with the entire cosmos.
1981 Arthur L. White, a grandson of the prophetess,
brought out the first installment (volume 5, covering the
She instructed the people on how to live in good relation
years 1900–1905) of a projected six-volume official biogra-
with one another, and she taught them the Seven Sacred
phy, Ellen G. White (Washington, D. C., 1981–), which,
Rites that accompany the Pipe. Finally, she pledged to return
though unabashedly apologetic, presents considerable new
to the Lakota in the future. As she left the camp, she stopped,
detail. My own work Prophetess of Health: A Study of Ellen
lay down, and rolled over, becoming a black buffalo. Stop-
G. White (New York, 1976) offers a nonapologetic interpre-
ping a second time, she changed into a red buffalo. The third
tation of White’s health-related activities. For guidance in
time she was transformed into a yellow buckskin buffalo; and
using White’s own writings, there is a splendid three-volume
finally, the fourth time, before walking out of sight, she be-
Comprehensive Index to the Writings of Ellen G. White
came a white buffalo. The Sacred Pipe is now in the posses-
(Mountain View, Calif., 1962–1963).
sion of Arvol Looking Horse, Nineteenth-Generation Keep-
RONALD L. NUMBERS (1987)
er of the White Buffalo Calf Pipe Bundle.
As Lakota mythology suggests, White Buffalo Calf
Woman plays an important role in Lakota ritual. The Seven
WHITE BUFFALO CALF WOMAN is a central
Sacred Rites, which she either brought to the people or mod-
figure in Lakota Indian history and contemporary life.
ified through the addition of the Sacred Pipe, include cere-
Known in the Lakota language as Pte-san win-yan, she
monies for purifying the body and spirit (inika(tm)e), com-
brought the Sacred Buffalo Calf Pipe and the Seven Sacred
monly known as the sweat lodge; dancing looking at the sun,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9726
WHITEFIELD, GEORGE
or the Sun Dance (wiwanyag wachipi); crying for a vision,
WHITEFIELD, GEORGE (1714–1770), English
or the vision quest (hanbleceyapi); making of relatives
evangelist and itinerant revivalist in America. Born in hum-
(hunkapi); throwing of the ball (tapa wanka yap); preparing
ble circumstances in Gloucester, England, Whitefield re-
a girl for womanhood (i(nati awichalowan); and keeping of
ceived his bachelor of arts degree from Oxford in 1736, the
the spirit (wana(tm)i gluhapi). The Sacred Pipe is integral to
same year in which Bishop Martin Benson ordained him as
each of these rites and to the annual ceremonial cycle as a
deacon in the Church of England. Associated with John and
whole, which begins in early spring when the sun enters the
Charles Wesley in an effort to revive a sedate and passionless
Lakota constellation that implies the Pipe, thereby igniting
Anglicanism, Whitefield followed with keen interest the mis-
the celestial Sacred Pipe and renewing life on earth. White
sionary labors of the Wesley brothers in the newly founded
Buffalo Calf Woman is particularly crucial to the Sun Dance
colony of Georgia in North America. After nearly three years
and girls’ puberty ceremonies, wherein a woman is the em-
of preaching in the New World, the Wesleys returned to En-
bodiment of Pte-san win-yan, bringing the Sacred Pipe to the
gland discouraged and dismayed by the enormity of the reli-
Sun Dance arena in one rite and instructing the girl on La-
gious challenge abroad. Neither they nor Whitefield’s own
kota women’s codes of conduct in the other.
admirers, however, could discourage the twenty-three-year-
Many events seemingly threatened the interrelatedness
old Whitefield from setting out for Georgia on the first of
of the Lakota and the buffalo: the outlawing of Lakota cere-
seven voyages to America.
monies in the nineteenth century, the imposition of Chris-
After an absence of less than one year, Whitefield re-
tianity, the prohibition against traditional buffalo hunting,
turned to England late in 1738 to receive his ordination as
the decimation of the buffalo herds by non-Indians, and acts
priest, to strengthen his ties with the trustees of the Georgia
of genocide against the Lakota people. However, White Buf-
colony, and to learn that England’s hierarchy looked askance
falo Calf Woman and the buffalo in general remain the cen-
at his cavalier attitude toward canon law and the liturgical
ter of Lakota cultural survival. In fact, the birth of several rare
form of the national church. No less an authority than Lon-
white buffalos in the 1990s signaled to some Lakotas the re-
don’s bishop, Edmund Gibson, published in 1739 a pastoral
turn of Pte-san win-yan. Lakotas are working to protect and
letter condemning “enthusiasm,” a dangerous zeal associated
restore buffalo herds and their natural habitats and to revital-
with young Methodism in general, and with young White-
ize and strengthen Lakota ceremonies. The White Buffalo
field in particular. For evidence that Whitefield claimed a
Calf Woman Society has been established to support women
special and direct guidance from the Holy Spirit, Bishop
victimized by domestic violence. In addition, Arvol Looking
Gibson turned to the young zealot’s first journal, written
Horse has emerged as a highly visible religious leader among
from December 1737 to May 1738, in which “enthusiasm”
the Lakota. He and others have led many Big Foot Memorial
Rides to help heal the wounds of the 1890 Wounded Knee
seemed so conveniently and convincingly represented.
Massacre and to foster leadership among Lakota youth.
Whitefield responded to this and to many other charges con-
tained in the letter: that he preached extemporaneously in
SEE ALSO Gender and Religion, article on Gender and Na-
the open fields, that he criticized the national clergy, and that
tive American Religious Tradition; Lakota Religious Tradi-
he claimed to “propagate a new Gospel, as unknown to the
tions; North American Indians, article on Indians of the
generality of ministers and people”—all this, said the bishop,
Plains.
in what is surely a Christian country already. Even as White-
field sought to defend himself against the bishop’s attack, he
BIBLIOGRAPHY
found pulpits in England closed to him and the clergy there
Brown, Joseph Epes, recorder and editor. The Sacred Pipe: Black
growing increasingly wary of him. Overtures from the Geor-
Elk’s Account of the Seven Rites of the Oglala Sioux (1953).
gia trustees enticed him once more, as he was now offered
Baltimore, Md., 1971.
a pastoral charge in Savannah, together with a promise of five
DeMallie, Raymond J., ed. The Sixth Grandfather: Black Elk’s
hundred acres of land for a proposed orphanage. Two weeks
Teachings Given to John G. Neihardt. Lincoln, Nebr., 1984.
after the Gibson letter was published, Whitefield was on his
DeMallie, Raymond J., and Douglas R. Parks, eds. Sioux Indian
way back to America.
Religion: Tradition and Innovation. Norman, Okla., 1987.
This second visit, lasting from November 1739 to Janu-
Goodman, Ronald. Lakota Star Knowledge: Studies in Lakota Stel-
ary 1741, was Whitefield’s most successful evangelical tour
lar Theology. 2d ed. Rosebud, S.Dak., 1992.
of the American colonies. Wherever he went up and down
Lame Deer, John (Fire), and Richard Erdoes. Lame Deer, Seeker
the Atlantic coast, his reputation as a dramatic, divine mes-
of Visions. New York, 1972.
senger preceded him. Enormous crowds gathered in eager
St. Pierre, Mark, and Tilda Long Soldier. Walking in the Sacred
anticipation, in churches or outdoors, in town squares or
Manner: Healers, Dreamers, and Pipe Carriers: Medicine
country meadows. Calvinist in his own theological stance,
Women of the Plains Indians. New York, 1995.
Whitefield found his greatest reception from similarly ori-
Walker, James R. Lakota Belief and Ritual. Edited by Raymond
ented denominations: Congregationalists, Presbyterians,
J. DeMallie and Elaine A. Jahner. Lincoln, Nebr., 1980.
Dutch Reformed, and (later) Baptists. While the first Great
MARY C. CHURCHILL (2005)
Awakening could certainly have occurred without him, it is
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WHITEHEAD, ALFRED NORTH
9727
difficult to imagine that burst of intercolonial and interde-
of Science and Technology in Kensington. In 1924, at the
nominational pietism arising so swiftly and to such heights
age of sixty-three, Whitehead moved to Harvard University,
apart from the labors of this thundering, persuasive, and tire-
where he taught philosophy until 1936. The death of his son
less traveler.
Eric in World War I is reported to have deepened White-
Even as Bishop Gibson found in Whitefield’s own writ-
head’s religious interests.
ings his best evidence for the evangelist’s excesses, so critics
Whitehead did not make any major contribution to
of revivalism in America rifled through his published jour-
mathematics as such. His early writings were chiefly on the
nals for the ammunition so amply supplied there. White-
philosophy of mathematics (Treatise of Universal Algebra,
field, for his part, repeatedly and needlessly alienated those
1898) and logic (with Bertrand Russell, Principia Mathema-
who stopped short of uncritical adulation and applause. And
tica, 1910–1913). Later he involved himself increasingly in
although he eventually moderated his censorious tone (and
the rethinking of the natural world required by develop-
even more important, stopped publishing his journals), dam-
ments in physics, publishing An Enquiry Concerning the Prin-
age was done to the evangelical cause on both sides of the
ciples of Natural Knowledge (1919), The Concept of Nature
Atlantic Ocean. Whitefield also damaged his relationship
(1920), and The Principle of Relativity (1922). His writings
with the Wesleys by publishing an attack in 1741 upon the
also expressed still broader interests, as, for example, in The
Arminianism evident in John Wesley’s sermon “Free Grace.”
Organization of Thought (1922), which was largely included
Still, by the thousands the people came to hear and to
with other writings in The Aims of Education (1929). After
believe, in Ireland, Scotland, Wales, and England as well as
moving to Harvard he developed a full-fledged cosmology
throughout the American colonies. For an entire generation
in such works as Science and the Modern World (1925), Reli-
Whitefield not only created an evangelical Atlantic commu-
gion in the Making (1926), Symbolism, Its Meaning and Effect
nity, he embodied it. Any pious project that required broad
(1927), The Function of Reason (1929), Process and Reality
support found George Whitefield either assisting or directing
(1929), Adventures of Ideas (1933), and Modes of Thought
the effort. He raised funds for Princeton University, helped
(1938).
Dartmouth emerge as a school open to Native Americans,
Whitehead’s cosmology may be understood best by con-
promoted union in England among Calvinist Methodists,
trasting it with the doctrine of mechanism. The world ap-
pleaded for more support of the Bethesda (Georgia) orphan-
pears to contain both living, self-activating entities, such as
age, took up collections for victims of natural disasters in Eu-
birds and dogs, and inanimate, passive objects, such as stones
rope or elsewhere, and sustained the hopes of hundreds of
and drops of water. Mechanism took the latter as fundamen-
thousands that a great and sweeping revival of piety would
tal and analyzed everything into inanimate and passive units.
enliven and awaken all of Christendom.
In classical atomism the ultimate entities are indestructible
In 1770 Whitefield made his seventh and final trip to
bits of matter. Contact imparts motion, but otherwise the
America. After preaching on Saturday, September 29, to an
atoms do not affect one another. Whitehead described his
impromptu crowd gathered in the fields of Exeter, New
position as a philosophy of organism, arguing that not only
Hampshire, he urged his horse on to Newburyport, Massa-
living cells but also molecules and subatomic entities are in-
chusetts. The next morning at six o’clock, he died. He lies
ternally interconnected with their environments.
buried beneath the pulpit in the town’s Presbyterian church.
All philosophies must explain both enduring things and
events. Most Western philosophies have taken enduring
BIBLIOGRAPHY
things as basic and have explained events as the interaction
Two recent scholarly biographies elevate Whitefield studies to a
of these. Mechanists see events as changing spatial configura-
higher plauteau: Harry S. Stout, The Divine Dramatist:
George Whitefield and the Rise of Modern Evangelicalism
tions of unchanging material substances. Whitehead pro-
(Grand Rapids, Mich., 1991); and Frank Lambert, Pedlar in
posed that events are fundamental and that the relatively un-
Divinity: George Whitefield and the Transatlantic Revivals,
changing entities are “societies” of events exhibiting
1737–1770 (Princeton, N. J., 1994).
constancy of pattern.
EDWIN S. GAUSTAD (1987 AND 2005)
A particular problem for mechanism is conscious experi-
ence. Some mechanists hold that this lacks full-fledged reali-
ty. Others accept a dualism of mind and matter. Whitehead
WHITEHEAD, ALFRED NORTH
rejected both positions, holding that an instance of human
(1861–1947),
experience is an organic event and that it provides the model
English mathematician and philosopher, much of whose in-
for discerning the basic structure of all individualized events.
fluence has been on theology. Whitehead grew up in a vicar-
age in the south of England and studied at Trinity College,
Whitehead believed that cosmology and religion are
Cambridge, where he subsequently became a fellow and
bound closely together, whether or not the cosmology is the-
taught mathematics. In 1890 he married Evelyn Wade. The
istic. Some who respond religiously to Whitehead’s vision of
couple had three children, Eric, North, and Jessie. After
the world want to separate it from talk of God, either because
1914 Whitehead taught mathematics at the Imperial College
they are offended by such talk or because they are committed
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to other doctrines of God. Whitehead, on the other hand,
among Catholics and Jews as well. There is also increasing
believed that his cosmology was incomplete without God, al-
interest in Europe, Asia, and Latin America. His influence
though the God of organic events is quite different from that
is institutionalized in the Society for the Study of Process
of the world machine. Instead of imposing laws of motion,
Philosophies, the European Society for Process Thought, the
God is the source of novelty, purpose, and freedom. God
Japan Society for Whiteheadian and Process Thought, the
radically transcends each creature, but it is the divine pres-
Center for a Post-Modern World in Santa Barbara, and
ence that directs and enables each to reach toward richness
the Center for Process Studies in Claremont, California, and
in its own immediacy and in those future events to which
its journal, Process Studies.
it contributes. This cosmic urge to life is called by Whitehead
the “primordial nature” of God.
BIBLIOGRAPHY
Cobb, John B., Jr., and David R. Griffin. Process Theology: An In-
Whitehead holds that God is not an exception to the
troductory Exposition. Philadelphia, 1976.
principle of interrelatedness of actual things. Just as God is
effective in the world of temporal events, so temporal events
Leclerc, Ivor. Whitehead’s Metaphysics: An Introductory Exposition.
New York, 1958.
in turn enter into the divine life. What perishes in the world
is everlasting in God. This aspect of God Whitehead calls
Lowe, Victor. Understanding Whitehead. Baltimore, 1962.
God’s “consequent nature.” Apart from the consequent na-
JOHN B. COBB, JR. (1987)
ture of God the utter transitoriness of events would undercut
the human sense of meaning and importance.
Whitehead described God as lure for adventure and
WICCA. Wicca originated in 1940s England as an at-
ideal companion in polemical contrast to a supernatural will
tempt to recreate what was believed to be an ancient religious
untouched by the suffering of creatures. His doctrine also
system indigenous to Britain and Europe, characterized by
differed systematically from the understanding of God as
the veneration of nature, polytheism, and the use of magic
being itself developed especially by Thomas Aquinas. Since
and ritual. It was heavily influenced by the occult revival of
the ideas of sovereign will and being itself have shaped much
the late nineteenth century, including secret, magical socie-
of Christian theology, some have denied that Whitehead’s
ties such as the Hermetic Order of the Golden Dawn (estab-
doctrine can be accepted by Christians. Others have been at-
lished in 1888), the notorious magician Aleister Crowley
tracted to Whitehead’s idea of a conscious, all-loving, all-
(1875–1947), Freemasonry, and Spiritualism. The rediscov-
knowing, everlasting actuality from whom creatures derive
ery of classical ideas of nature and deity in Romantic litera-
all that is good. His image of God as “the fellow sufferer who
ture and archaeology provided additional sources, as did
understands” has gained increasing acceptance.
British folklorist and Egyptologist Margaret Murray’s
Whitehead’s thought played an important role in the
(1862–1963) “anthropological” study of witchcraft in Eu-
Divinity School of the University of Chicago from the late
rope, The Witch-Cult in Western Europe (1921).
1920s. Charles Hartshorne systematically developed White-
These threads were woven into early Wicca by Gerald
head’s dipolar theism. Elsewhere, however, Whitehead’s in-
Brosseau Gardner (1884–1964), a British civil servant who
fluence was sharply circumscribed by dominant intellectual
had spent much of his working life in the Far East and had
trends. Analytic philosophy and positivistic science rejected
a lifelong passion for folklore and archaeology, visiting many
the cosmological enterprise. Neo-Thomist Catholics reem-
sites of archaeological significance on travels to the Near
phasized the idea of God as being itself. Neoorthodox Protes-
East. Gardner returned to England when he retired in 1936,
tants stressed God’s sovereign will. However, beginning in
living in London and the New Forest before moving to the
the mid-1960s, analytic philosophy and positivistic science
Isle of Man in 1954. Once back in England, Gardner, al-
lost their hegemony; Vatican II, the writings of Teilhard de
ready a Freemason, joined the Folklore Society, the Co-
Chardin, and the rise of liberation theology generated a dy-
Masons, the Druid Order, and the Rosicrucian Fellowship
namic openness among Roman Catholics; and a somewhat
of Crotona. This latter group, he claimed, contained a hid-
chaotic pluralism replaced the neoorthodox consensus
den, inner group of hereditary witches who initiated him in
among Protestants. In this new context Whitehead’s influ-
1939. They also allegedly allowed Gardner to publish their
ence has grown among philosophers, scientists, and human-
rituals in fictional form in his novel High Magic’s Aid (1949),
ists, as well as among theologians. His Christian followers
which he wrote under the pseudonym Scire. Gardner was
employed his conceptuality in reformulating many Christian
not able to publish more open accounts of witchcraft under
doctrines. They led in discussions of problems of religion
his real name until the 1736 Witchcraft Act was repealed in
and science, especially with regard to ecology. They found
1951 and replaced with the Fraudulent Mediums Act, which
allies among feminists and points of contact with Teilhardi-
gave freedom for individuals to practice witchcraft as long
ans and liberation theologians. They have helped shape inter-
as no harm was done to person or property. Released from
religious dialogue.
a law that subjected any person alleged to have magical pow-
Although most of Whitehead’s influence has been
ers to prosecution, Gardner wrote Witchcraft Today (1954),
among North American Protestants, he has a following
which contains an introduction by Margaret Murray, fol-
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lowed by The Meaning of Witchcraft (1959), taking both
ber of books on witchcraft, including Lid Off the Cauldron
himself and witchcraft into the public spotlight.
(1981) and her autobiography, One Witch’s World (1998),
published as High Priestess: The Life and Times of Patricia
In Witchcraft Today Gardner set out his belief that
Crowther (2000) in the United States. In the early twenty-
witchcraft was not only the original indigenous religion of
first century, she continued to run a coven in Sheffield, and
Britain, dating from the Stone Age, but that it had survived
it was an ex-member of her coven, Pat Kopanski, who was
the persecutions of the Great Witch Hunt in early modern
instrumental in the initiation into Wicca of Alex Sanders
Europe, continuing in secret but now threatened with ex-
(1926–1988), who developed a second branch of Wicca in
tinction. These claims followed closely Murray’s thesis that
the 1960s.
an old religion involving worship of a horned god represent-
ing the fertility of nature had survived persecution and exist-
Sanders was a resident of Manchester who claimed a
ed throughout western Europe. Murray argued that the
witch ancestress from Snowdonia, in North Wales. His
witch-cult was organized in covens that met according to the
branch of Wicca was based on Gardnerian lines, but Alexan-
phases of the moon and the changing seasons, conducting
drian Wicca, as it came to be known, was more heavily influ-
rituals that involved dancing, feasting, sacrifices, and ritual-
enced by ceremonial, ritual magic—Sanders worked for the
ized sex in honor of the horned god. Later, in The God of
John Rylands library in Manchester, where he read classical
the Witches (1933), Murray traced the development of this
texts on ritual magic, and he had been trained as a medium
vegetation god and introduced the idea of a fertility goddess
through visits to a Spiritualist church with his mother during
into the cult.
childhood. In 1961 Sanders allegedly wrote to local Wiccans
whom he had seen on television, but they took a dislike to
Gardner’s absolute belief in and perpetuation of Mur-
him, and it was apparently not until 1963 that he was initiat-
ray’s argument led many early Wiccans to believe that they
ed into Wicca by a priestess in Derbyshire. Sanders went on
were continuing this ancient tradition of witchcraft, al-
to act as high priest to a coven in Nottinghamshire, but the
though scholars had refuted the validity of her use of trial
group dissolved in 1964, and he then met the seventeen-
records since The Witch Cult was first published and dis-
year-old Arline Maxine Morris (b. 1946). They began run-
missed most of her evidence over time. Most, though not all,
ning a coven together in 1965, were discovered by a local
Wiccans today acknowledge that there is little evidence for
newspaper, and went on to manipulate the media to such an
a continuous, pre-Christian witchcraft tradition indigenous
extent that they became the most famous witches in the
to western Europe, but Gardner’s aim of reviving what he
world by 1966. Such media attention attracted many people
believed to be a dying religion appears to have been fulfilled.
and led to a whole network of covens springing up around
His numerous media appearances brought Wicca to public
them, although longer-established Gardnerian Wiccans de-
attention throughout the 1950s, during which time he en-
nounced Alex as a charlatan. Like Gardner, Sanders sought
couraged people to set up covens operating according to the
publicity for Wicca, often of a sensational nature, and by the
outlines in his books and initiated many people into Wicca.
1970s he had become known as the King of the Witches.
One of these was Doreen Valiente (1922–1999), one of the
key figures in modern Wicca. She worked with Gerald Gard-
In 1967 Alex and Maxine Sanders moved to London,
ner as his high priestess and revised the Book of Shadows,
and in 1969 Alex Sanders was sensationally publicized in a
a book of rituals, information, and lore for which he claimed
newspaper article. This article led to many media appear-
ancient provenance, which she felt to be too influenced by
ances, a romanticized biography, King of the Witches, by June
the writings of Aleister Crowley. Valiente eventually left his
Johns (1969), and a film, Legend of the Witches (1969), as a
coven in 1957, after falling out with him over ever-increasing
result of which Alexandrian Wicca grew exponentially. In
publicity seeking, and periodically withdrew from the public
1973 the relationship between Alex and Maxine broke down,
face of Wicca throughout her life. She was nevertheless con-
and they divorced in 1982 but remained friends. While Max-
sistent in her support for what she termed the old pagan reli-
ine continued to run the coven, Alex retired from the lime-
gions: in 1964 she was president of the Witchcraft Research
light to Sussex, where he continued to teach Wicca until his
Association, she was a founding member of the Pagan Front
death from lung cancer on Beltane Eve 1988. He was also
in 1971, and in November 1998 she spoke at the annual
a prolific initiator, and many covens in Germany, the Neth-
Pagan Federation conference in London. Her life within
erlands, and elsewhere in northern Europe sprang from visits
Wicca, witchcraft, and paganism is documented in many of
to him during this period.
her books, including The Rebirth of Witchcraft (1989),
Witchcraft for Tomorrow (1978), and Witchcraft: A Tradition
A number of the Sanderses’ initiates—particularly Stew-
Renewed (1990, with Evan Jones).
art Farrar (1916–2000), Janet Farrar, and Vivianne Crow-
ley—have been responsible for writing extremely influential
Another key figure is Patricia Crowther (b. 1932), who
books on Wicca. Stewart met Alex and Maxine Sanders while
was initiated by Gerald Gardner in 1960 and established co-
working as a journalist in 1969 and was initiated by Maxine
vens in Yorkshire and Lancashire. She was an actress and
in 1970. He and Janet ran their own coven in London, mar-
dancer whose husband, Arnold Crowther, was an old friend
ried in 1974, and subsequently moved to Ireland in 1976.
of Gerald Gardner. Patricia Crowther is the author of a num-
Here, they continued to train and initiate people in Wicca
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and became prolific Wiccan authors whose many books in-
Coven, running a shop called The Feminist Wicca in Cali-
clude What Witches Do: A Modern Coven Revealed (1971),
fornia, and self-publishing The Feminist Book of Light and
Eight Sabbats for Witches (1981), The Witches’ Way (1984),
Shadows (1978). The book was a reworking of available
The Witches’ Goddess (1987), The Witches’ God (1989), Spells
Gardnerian Wicca, which excluded all mention of men and
and How They Work (1990), and, with Gavin Bone, The
male deities and included her own rituals, spells, and lore.
Pagan Path (1995) and The Healing Craft (1999). The Witch-
It was later expanded and published as The Holy Book of
es’ Way contains the bulk of the contemporary Gardnerian
Women’s Mysteries in 1986.
rituals and was published with the active help of Doreen
Starhawk (Miriam Simos) (b. 1951) is one of the most
Valiente, who wrote most of them and had herself made a
prominent feminist pagan activists in the United States. Her
large amount of material available in her 1978 book, Witch-
feminist activism in the 1970s led her to the Goddess move-
craft for Tomorrow. It thus made the core ritual format and
ment, and she studied feminist witchcraft with Budapest and
texts of Gardnerian Wicca available to all. After Stewart’s
Faery Witchcraft with Victor Anderson. After practicing as
death, Janet married Gavin Bone, and they continue to initi-
a solitary, Starhawk formed Compost, her first coven, from
ate, write, and speak at pagan conferences.
participants in an evening class on witchcraft and then a sec-
Wiccan priestess, psychologist, and university lecturer
ond, Honeysuckle, for women only. She was elected presi-
Vivianne Crowley was initiated into both Alexandrian and
dent of the Covenant of the Goddess in 1976–1977, pub-
Gardnerian Wicca, and in 1979 she founded a Wiccan coven
lished her first book, The Spiral Dance, in 1979, and was one
that combined the two traditions. In 1988 she founded the
of the founders of the Reclaiming Collective in San Francisco
Wicca Study Group along with her husband, Chris, and it
in 1980. The Spiral Dance has proved to be an ever-popular
is now Europe’s largest Wiccan teaching organization. She
volume since it was first published in 1979, selling over
is a member of the Pagan Federation council, serving as hon-
100,000 copies in its first ten years of publication. The book
orary secretary (1988–1994), prison chaplaincy coordinator
is based on Anderson’s Faery tradition but incorporates
(1991–1995), and interfaith coordinator (1994–1996).
strictly feminist principles into modern witchcraft, principles
Crowley has a doctorate in psychology and has trained in
that are expanded in her later books Truth or Dare (1987)
transpersonal counseling with the Centre for Transpersonal
and Dreaming the Dark (1988). Starhawk combines nature
Psychology in London. Her books include the best-selling
worship, politics, activism, psychology, and goddess worship
Wicca: the Old Religion in the New Millennium (1989; 1996),
in an attempt to heal spiritual and political divisions in soci-
Phoenix from the Flame: Pagan Spirituality in the Western
ety and individuals. Such themes come out even more
World (1994), Principles of Paganism (1996), Principles of
strongly in her two novels, The Fifth Sacred Thing (1993)
Wicca (1997), and A Woman’s Guide to the Earth Traditions
and Walking to Mercury (1997). European Wiccan attitudes
(2001).
towards Starhawk’s redirection of witchcraft toward political
activism tend to be cautious. Recently, Starhawk has actively
Wicca is not, however, confined to northwestern Eu-
reclaimed her Jewish roots as well as being a witch, an explo-
rope. It has become a global phenomenon and can be found
ration that has led to her sometimes referring to herself as
in most countries populated by people of European descent,
a “Jewitch.”
including the United States, Canada, Australia, New Zea-
The religion described by Gardner and developed since
land, and South Africa. It has spread through such people
the 1950s positions nature as central, through deities repre-
as Ray Buckland, an initiate of Gerald Gardner, who subse-
sentative of nature and rituals associated with seasonal
quently emigrated to the United States in 1967, taking
change, and through the growing concern for the environ-
Gardnerian Wicca with him. Buckland later became disillu-
ment since the 1970s. Although some versions of feminist
sioned with the perceived hierarchy in Gardnerian Wicca
Wicca focus exclusively on the divine female, perceptions of
and went on to form a more egalitarian tradition of Wicca,
deity in Wicca are directly linked to nature and are generally
which he called Seax, or Saxon Wica [sic]. He is the author
regarded as empowering for both men and women, since
of several do-it-yourself guides to Wicca, including The Tree:
they include both goddesses and gods. For example, The
Complete Book of Saxon Witchcraft (1974). The explosion in
Great Charge, rewritten by Doreen Valiente from earlier ver-
how-to books on Wicca since the 1980s and, more recently,
sions, focuses specifically on the goddess as the embodiment
internet sites has become the main means by which Wicca
of nature, and is one of Wicca’s most well-known liturgical
has spread and grown, evolving and at times mutating quite
texts. It describes the goddess as “the beauty of the green
dramatically.
earth, the white moon among the stars, the mystery of the
During the late 1970s and 1980s, for example, a further
waters” and as “the soul of nature who gives life to the uni-
important development in Wicca took place as the feminist
verse.” Her counterpart is Lord of the Greenwood, Sun
consciousness movement influenced the emergence of femi-
King, Corn King, Leader of the Wild Hunt, and Lord of
nist Wicca and witchcraft in North America. The Hungari-
Death, a god intimately connected with nature represented
an-born American feminist activist Zsuzsanna Budapest was
through the seasonal cycle of festivals.
one of the prime movers behind the development of feminist
Each year most Wiccans celebrate eight festivals, known
witchcraft, forming the women-only Susan B. Anthony
as sabbats; these make up a ritual cycle known as the Wheel
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of the Year. Four main rituals are celebrated at the four sea-
adapted by Wiccans in North America, for example, while
sonal festivals described by Murray as the witches’ sabbats
many European Wiccans turn to Saxon, Celtic, or Germanic
and based on the agricultural year. These are Candlemas on
traditions, seeking inspiration from the supposed indigenous
February 1, May Day on May 1, Lammas on August 1, and
traditions of northern Europe. The classical pagan cultures
Hallowe’en on October 31. During the 1980s these festivals
of Greece, Egypt, and Rome are also mined for inspiration.
became Celticized as a result of the Farrar’s relocation to Ire-
Feminist witchcraft has had a great impact on Wicca in
land and North American interest in Celtic ancestry; they
North America, which has then spread to New Zealand and
thus tend now to be known as Imbolc, Beltane, Lughnasadh,
Australia, but has been less influential in Britain, where the
and Samhain respectively. The four other festivals that make
Gardnerian and Alexandrian traditions remain strong. Nev-
up the Wheel are astronomically fixed: the Winter and Sum-
ertheless, the multitude of North American Wiccan deriva-
mer Solstices around December 21 and June 21, and the
tions—including Starhawk’s Reclaiming, Faery Wicca,
Spring and Autumn Equinoxes around March 21 and Sep-
Dianic Wicca, and Seax Wica—have crossed back to Europe,
tember 21. The Winter Solstice is often called Yule and, par-
and Starhawk’s version in particular has grown in popularity
ticularly in North America, the Summer Solstice tends to be
because of its stress on political and environmental action.
called Litha, with the equinoxes known as Ostara (Spring)
Wicca has no centralized, institutional structure, and
and Mabon (Autumn).
Wiccans have only a few beliefs to which they all adhere.
At each of the festivals, deities are addressed in aspects
These include the Wiccan Rede or Law—“Do what thou
appropriate to the season. For example, at Hallowe’en or
wilt an it harm none”—and the Law of Threefold Return,
Samhain, gods and goddesses associated with death and the
which states that whatever a person does, for good or ill, will
underworld such as Hekate, Hades, Rhiannon, or Anubis
return to them threefold. The lack of any central organiza-
might be addressed, as Wiccans celebrate death as part of the
tional structure allows for an enormous level of variety, and
cycle of life and seek to prepare themselves for the dark win-
Wicca at the beginning of the twenty-first century looks like-
ter months ahead. The Wiccan sabbats are intended to deep-
ly to retain its complexity and differentiate further as it con-
en the participants’ understanding of the cycle of life, death,
tinues to spread and grow.
and rebirth as revealed in the changes evident in nature, for
SEE ALSO Crowley, Aleister; Freemasons; Neopaganism; Ro-
deities, humans, and the natural world are all seen as inter-
sicrucians; Spiritualism.
connected. For this reason many Wiccans living in the
Southern Hemisphere have reversed the festivals. For exam-
BIBLIOGRAPHY
ple, Summer Solstice rituals take place on December 21 to
Adler, Margot. Drawing Down the Moon: Witches, Druids, God-
celebrate the fullness of life reflected in nature at that time
dess-Worshippers, and Other Pagans in America Today. 2d ed.
of the year in such countries as in Australia, New Zealand,
Boston, 1986. A comprehensive study of neopaganism in
and South Africa.
North America in the early 1980s.
Most Wiccans live in urban areas, and rituals that cele-
Crowley, Vivianne. Wicca: The Old Religion in the New Millenni-
brate nature and venerate nature deities help them to feel
um. London, 1996. Provides an account of the combined Al-
exandrian/Gardnerian tradition, with a strong Jungian
more in touch with the natural world. This, along with a rise
flavor.
in active concern for the environment since the 1970s, has
been a major reason for the growth in popularity of Wicca
Gardner, Gerald B. Witchcraft Today. London, 1954.
and Neopaganism in general throughout the latter half of the
Gardner, Gerald B. The Meaning of Witchcraft. London, 1959.
twentieth century and into the twenty-first. However, Wic-
The second of two fact-based accounts of Wicca by its
cans demonstrate a range of attitudes toward protecting the
founder.
natural world, from radical environmentalism and direct
Greenwood, Susan. Witchcraft, Magic and the Otherworld: An An-
protest to more abstract views derived from the idealized na-
thropology. Oxford, 2000. An anthropological study of mod-
ture of Romanticism or from Western esotericism. In the lat-
ern magic as practiced by British pagans.
ter, nature is a reflection of a greater divine reality, being at
Hanegraaff, Wouter J. New Age Religion and Western Culture: Es-
once both an intermediary between humanity and divinity
otericism in the Mirror of Secular Thought. New York, 1998.
and being imbued with divinity itself. Thus, environmental
A comprehensive critical examination of the links between
New Age and the Western Esoteric Traditions.
activism does not necessarily follow from a ritual or spiritual
engagement with nature, although this is often the case in
Harvey, Graham. Listening People, Speaking Earth: Contemporary
North American Wicca as practiced and taught by Starhawk,
Paganism. London, 1997. A broad introduction to the range
for example. Nature, and Wiccans’ understandings of it, are
of modern pagan traditions and their expression.
extremely complex; one cannot assume that Wicca and en-
Hutton, Ronald. The Triumph of the Moon: A History of Modern
vironmentalism go hand in hand.
Pagan Witchcraft. Oxford, 1999. The first scholarly history
of Wicca and its development since the mid-nineteenth cen-
Such complexity is evident in the diversity of Wiccan
tury.
traditions that have emerged around the world. Practices
Luhrmann, Tanya M. Persuasions of the Witches’ Craft: Ritual
borrowed from Native Americans have been adopted and
Magic in Contemporary England. Basingstoke, 1994. An eth-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9732
WIDENGREN, GEO
nographic account of ritual magic groups in London in the
usually much more accurate, insightful, and innovative than
early 1980s, which explores the nature of belief.
that of most of his predecessors. After publishing his first
Murray, Margaret A. The Witch Cult in Western Europe: A Study
monographs, Widengren became inspired to synthesize the
in Anthropology. Oxford, 1921. A key text in the develop-
philological, historical, archaeological, and ethnological
ment of Wicca, which directly influenced Gerald Gardner.
studies pertinent to the Near and Middle East using the phe-
Pearson, Joanne E., Richard H. Roberts, and Geoffrey Samuel,
nomenological method—involving description, arrange-
eds. Nature Religion Today: Paganism in the Modern World.
ment, interpretation and typology of historical data—that he
Edinburgh, 1998. An examination of paganism as “nature
applied in his imposing treatise Religionens värld (World of
religion,” with contributions from scholars in a wide range
religion; Swedish edition 1945, German revised translation
of disciplines.
1969). If, for instance, the formula Hochgottglaube (Faith in
Pearson, Joanne E. A Popular Dictionary of Paganism. London,
a high God) as a recurrent pattern in Near Eastern religions
2002. A short-entry dictionary encompassing terms and
depends at least partially on the impact of the Germanic eth-
ideas commonly found within paganism and providing in-
nologic school (as postulated by Wilhelm Schmidt and his
formation on key figures and historical developments.
followers of the Vienna school), Widengren illustrates the
Pearson, Joanne E., ed. Belief Beyond Boundaries: Wicca, Celtic
hypothesis by a more comprehensive and insightful usage of
Spirituality and the New Age. Aldershot, 2002. A textbook ex-
the sources.
ploring forms of spirituality including paganism, Celtic spiri-
As Jacques Duchesne-Guillemin wrote in his 1996 obit-
tuality, the appropriation of Native Indian peoples’ practices,
uary, Widengren had a comprehensive knowledge of all the
and New Age.
religions and literatures of the ancient Near and Middle East.
Starhawk. The Spiral Dance: A Rebirth of the Ancient Religion of
His academic expertise encompassed the whole territory con-
the Great Goddess. New York, 1979. A classic text on feminist
quered by Alexander the Great, from Greece on the west to
Faery Wicca.
the eastern border of Iran and Central Asia, for over a thou-
JOANNE E. PEARSON (2005)
sand years. Widengren’s oeuvre must therefore be viewed as
sustaining the Swedish school of history of religions, located
mainly in Uppsala (see Widengren, 1953; and Carl-Martin
Edsman, 2001), although he could sometimes be polemic,
WIDENGREN, GEO. One of the most famous histo-
as were his fellow renowned representatives of the Uppsala
rians of religions of the twentieth century, Geo Widengren
school, Stig Wikander and Carl-Martin Edsman.
(1907–1996) was born on April 24, 1907, in Stockholm,
Sweden. From his early youth, he devoted his entire life to
Widengren’s series of monographs titled King and Sav-
conducting research and teaching in the universities of Swe-
iour (Parts I-V, 1945–55) represents probably the best exam-
den. He studied Iranian and Semitic languages and religions
ple of his fine mastery of sources and method. Writing about
under the supervision of Henrik Samuel Nyberg (1889–
a major theme in such an extensive cultural geography as that
1974), the patron of the Uppsala Oriental school for many
of the “Heavenly Book,” for instance, he reviewed religious
decades. Immediately after graduating in 1936, Widengren
concepts and symbols from Accadian, Arabic, Aramaic
published his Ph.D. thesis under the title The Accadian and
(Mandaic, Samaritan, Syriac), Armenian, Greek, Hebrew,
Hebrew Psalms of Lamentation as Religious Documents. His
Iranian, Sumerian, and Ugaritic vocabularies, but never lost
most important book from his early career, however, is Hoch-
sight of the local oral traditions that are so influential to the
gottglaube im alten Iran, one of the most influential mono-
formation of a religious corpus.
graphs of the Swedish school of Iranian studies. Widengren
Widengren also wrote extensively on Gnosticism (au-
was appointed professor of the history of religions at the Uni-
thoring various books and many inspiring articles despite his
versity of Uppsala in 1940, a post he held until 1973. During
avowed distance from the new approaches adopted by schol-
his tenure at the University, Widengren supervised many dis-
ars after the publication of the Coptic editorial tractates),
sertations, including Feuerpriester im Kleinasien und Iran
Manicheism (including a short but valuable encompassing
(1943, published 1946), written by his younger colleague,
survey), and Mandeism. His main contribution to the latter
Stig Wikander (1908–1983).
field, published in 1982, discussed all the favorite motifs of
In his early writings, Widengren was influenced not
the German and Nordic Religionsgeschichtliche Schule related
only by the works of scholars such as Nyberg and Tor An-
to astronomical symbolism, apocalypticism, the destiny of
drae, but also by Richard Reitzenstein and Raffaele Pettaz-
the soul after death, the influence of Mesopotamian and Ira-
zoni. Consequently, his books include themes, motifs, and
nian motifs in Mediterranean religions of antiquity and Mid-
methodological assumptions that often appear in the influ-
dle Ages, and special topics such as the origin and diffusion
ential paradigms of the history of religions in the interwar
of The Hymn of the Pearl or the vividly disputed shamanic
period. His strongest influence came from Nyberg; like him,
patterns in Zoroastrianism. Widengren’s long-lasting famil-
his mentor specialized in several philological fields and wrote
iarity with several ancient and early medieval Iranian civiliza-
critical appraisals of textual sources pertaining to both the Se-
tions allowed him to study the cultural ties between the Is-
mitic and Iranian religions. Widengren’s work, however, was
lamic and Iranian beliefs as represented in motifs such as the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WIDENGREN, GEO
9733
“tree of life” or the “heavenly ascension” of Muh:ammad,
proceedings, thus helping to ensure international recognition
(Widengren, 1950 and 1951). For a time, he explored the
of the Swedish school of religious studies.
relevance of Jungian psychology to the study of religions
During the last twenty years of his life, Widengren re-
(Widengren, 1967), but he never participated in the Ascona
fined some previously developed themes, including the role
Eranos meetings, nor contributed to the Eranos Jahrbücher.
of Zoroastrianism under the Sassanids and Syriac religious
Instead of assuming a nonhistorical description of religion
literature. His successor in the chair of Uppsala, the Egyptol-
after studying ancient documents, Widengren expressed his
ogist Jan Bergman, edited a double-volume Festschrift, Ex
immense erudition by outlining an evolution of ideas and by
Orbi Religionum. Studia Geo Widengen oblata, and dedicated
linking his conclusions to historical events. His book
it to Widengren in 1972 to commemorate his sixty-fifth
Iranisch-semitische Kulturbegegnung in parthischer Zeit (1960)
birthday. Having received worldwide acclaim from his fellow
remains a seminal study, and his many articles on sacral king-
historians, Widengren died on January 28, 1996. Unfortu-
ship were planned to comprise a great autonomous book,
nately, however, no comprehensive record of his publications
never published.
exists.
Religious scholars in the 1960s critiqued these themes,
but Widengren continued to defend the importance of Irani-
BIBLIOGRAPHY
an influence throughout his career (see Widengren et al.,
Books and Selected Articles of Geo Widengren
1995). In Europe, as in North America, his view supported
The Accadian and Hebrew Psalms of Lamentation as Religious Docu-
a pan-Iranist model of historical diffusion. In the twenty-first
ments: A Comparative Study. Diss. Uppsala, Sweden, 1936.
century, however, religious scholars have largely refuted his
Hochgottglaube im alten Iran. Eine religions-phänomenologische Un-
vision of ancient Iran as the source of many ancient and
tersuchung. Uppsala-Leipzig, 1938.
modern religious motifs.
The Great Vohu Manah and the Apostle of God. Uppsala-Leipzig,
1945.
Monographs like Widengren’s Mani and Manicheism
Religionens värld. Religionsfenomenologiska studier och översikter.
proved his ability to elegantly master in a rather small space
Stockholm, 1945 (German translation, 1969).
the complex problem of the Manichean relationship to Zo-
roastrianism, Judaism, and Christianity, including develop-
Religionens Ursprung. En kort framställning av de evolutionistiska re-
ligionsteorierna och kritiken mot dessa. Stockholm, 1946 (2d
ing a political and historical synopsis of Iran under Shapur.
ed. Stockholm, 1973).
Together with his Italian and Dutch colleagues Raffaele
Mesopotamian Elements in Manicheism (King and Saviour II).
Pettazzoni, Gerardus van der Leeuw, and C. J. Bleeker, Wi-
Uppsala-Leipzig, 1946.
dengren founded the International Association of the Histo-
The Ascension of the Apostle and the Heavenly Book (King and Sav-
ry of Religions (IAHR), and he participated in the first
iour III). Uppsala-Leipzig, 1950.
IAHR congress, held in 1950 in Amsterdam. He also helped
The King and the Tree of Life in Ancient New Eastern Religion (King
establish the international journal of the IAHR, Numen.
and Saviour IV). Uppsala-Wiesbaden, 1951.
First published in 1954, the journal quickly developed into
“Iranischer Hintergrund der Gnosis.” Zeitschrift für Religions- und
one of the major periodicals in the field of religious studies.
Geistesgeschichte 20 (1952): 97–114.
In this journal, Widengren published a long article (which
“Die Religionswissenschaftliche Forschungen in Skandinavien in
scholars continue to consult) pertaining to the state and fu-
der letzten zwanzig Jahren.” Zeitschrift für Religion und
ture tasks of Iranian religious history (Stand und Aufgaben
Geistesgeschichte 5 (1953): 1–30.
der iranischen Religionsgeschichte, 1954 and 1955).
Muhammad, the Apostle of God, and his Ascension (King and Sav-
Contributing to the initiative of Erik Gren and of other
iour V). Uppsala-Wiesbaden, 1955.
colleagues in close connection with the Nordic School of
Sakrales Königtum im Alten Testament und im Judentum. Stuttgart,
Oriental and Religious Studies, including Alfred Haldar,
1955.
Ivan Engnell, Nils Simonsson, and Stig Wikander, Widen-
Stand und Aufgaben der iranischen Religionsgeschichte. Leiden,
gren assumed the role of co-editor of Orientalia Suecana,
1955. (Previously published in Numen 1 (1954): 16–83 and
which soon became a major scholarly organ and promoter
2 (1955): 47–134.)
of research. His erudite skills and intellectual stamina were
“Recherches sur le féodalisme iranien.” Orientalia Suecana 5
represented in the journal by his rare and illuminating
(1956): 70–172.
studies such as his micro-monograph on clowns, harlequins
“Quelques rapports entre Juifs et Iraniens à l’époque des Parthes.”
and dervishes and their habits in the ancient and medieval
Vetus Testamentum, Suppl. IV (1957): 197–241.
near and middle east.
Iranisch-semitische Kulturbegegnung in parthischer Zeit. Cologne,
Widengren served as the president of the IAHR from
1960.
1960 to 1970. He presided over the Twelfth Congress of the
“The Fate of the Soul after Death.” OS 9 (1960): 102–106.
International Association for the History of Religions in
Iranische Geisteswelt. Baden-Baden, 1961.
Stockholm in August 1970, at which time he resigned his
Mani und der Manichäismus. Stuttgart, 1961 (English translation
post. Widengren also worked as one of the editors of those
by Charles Kessler; London, 1965).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9734
WIKANDER, STIG
“The Principle of Evil in Eastern Religions.” In Das Böse, foreword
Apocalyptique iranienne et dualisme qoumrânien. Paris, 1995. (Wi-
by Carl Gustav Jung. Zürich, 1961. (Translated into English
dengren contributed a general introduction and the article
by Ralph Manheim and Hildegard Nagel as “Studies in Jun-
“Les quatre âges du monde.”)
gian Thought,” edited by James Hillman. Evanston, Ill.,
Contributions on Geo Widengren, the Swedish School of
1967).
History of Religions, and Current Exegesis
Die Religionen Irans, Die Religionen der Menschheit Band 14. Stutt-
Ardvisson, Stefan. Ariska Idoler. Den indoeuropeiska mytologin som
gart, 1965.
vetenskap och ideologi. Stockholm, 2001.
Religionsphänomenologie. Berlin, 1969.
Bergman, Jan, et al., eds. Ex Orbe Religionum. Studia Geo Widen-
Der Feudalismus im alten Iran. Cologne, 1969.
gren oblata. 2 vols. Leiden, 1972. Includes a complete bibli-
ography of Widengren through 1972.
“The Death of Gayo¯mart.” Myths and Symbols: Studies in Honor
of Mircea Eliade, pp. 179–193. Chicago, 1969.
Duchesne-Guillemin, Jacques. “Geo Widengren (1907–1996).”
Studia Iranica 25 (1996): 263–72. Includes a selected bibli-
“The Establishement of the Sassanian Dynasty in the Light of the
ography focusing on Widengren’s Iranian studies.
New Evidence.” In Atti del Convegno internazionale sul tema
‘La Persia nel Medioevo’ (31 March–5 April, 1970): 711–82.
Edsman, Carl-Martin. “Ein halbes Jahrhundert Uppsala-Schule.”
In Festschrift für Anders Hultga˚rd, pp. 194–209. Berlin,
Editor, with C. Jouco Bleeker. History of Religions. 2 vols. Leiden,
2001.
1972.
Eliade, Mircea, and Raffaele Pettazzoni. L’histoire des religions a-t-
“La méthode comparative: entre philologie et phénoménologie.”
elle un sens? Correspondence 1926–1959. Paris, 1994.
In Problems and Methods in History of Religions, edited by
Filoramo, Giovanni. “Geo Widengren e la fenomenologia storica
Ugo Bianchi, C. Jouco Bleeker, and Alessandro Bausani,
della religione.” In Fenomenologia della religione, edited by
pp. 5–14. Leiden, 1972.
Geo Widengren, pp. 13–62. Bologna, 1984.
The Gnostic Attitude. Translated by Birger A. Pearson. Santa Bar-
Gnoli, Gherardo. “Geo Widengren.” East and West (1996):
bara, Calif., 1973.
495–497.
Editor, with C. Jouco Bleeker and Eric J. Sharpe. Proceedings of
Hultga˚rd, Anders. “In Memoriam, Geo Widengren.” Orientalia
the XIIth International Congress of the International Associa-
Suecana 43–44 (1994–1995): 7–9.
tion for the History of Religions. Leiden, 1975.
Kahle, Sigrid. H.S. Nyberg: en vetenskapsman biografi. Stockholm,
“Iran, der große Gegner Rom: Königsgewalt, Feudalismus, Mili-
Sweden, 1991.
tärwesen.” In Aufstieg und Niedergang der römischen Welt
(ANRW) II.9.1 (1976), pp. 219–306.
Pearson, Birger A., ed. Religious Syncretism in Antiquity: Essays in
Conversation with Geo Widengren. Institute of Religious
Editor. Der Manichäismus. Wege der Forschung Band 168.
Studies, University of California, 1972. Missoula, Mont.,
Darmstadt, 2d ed. 1977.
1975.
Editor. Proceedings of the International Colloquium on Gnosticism,
Timus, Mihaela, and Eugen Ciurtin, eds. “The Unpublished Cor-
Stockholm, August 20–25, 1973. Stockholm, 1977.
respondence between Mircea Eliade and Stig Wikander.” Ar-
Editor. “Der Manichäismus. Kurzgefasste Geschichte der Pro-
chaeus. Études d’Histoire des Religions (Bucharest), 4 (2000),
blemforschung.” In Gnosis. Festschrift für Hans Jonas, edited
fasc. 3, p. 157–185, fasc. 4, p. 179–211; 5 (2001), fasc. 1–2,
by Barbara Aland et al., pp. 278–315. Göttingen, 1978.
p. 75–119; 6 (2002), p. 325–394.
“Révélation et prédication dans les G¯ıtha¯s.” In Iranica, edited by
EUGEN CIURTIN (2005)
Gherardo Gnoli and Adriano V. Rossi, pp. 339–364. Na-
ples, 1979.
Der Mandäismus. 2d ed. Wege der Forschung Band 167. Darm-
WIKANDER, STIG. Oscar Stig Wikander (1908–
stadt, 1982.
1983) was born in Nörrtalje, a small town close to Stock-
“Leitende Ideen und Quellen der iranischen Apokalyptik.” In
holm, Sweden, on August 27, 1908. He entered the Univer-
Apocalypticism in the Mediterranean World and the Near East.
sity of Uppsala in 1925, majoring in classical and oriental
Proceedings of the International Colloquium on Apocalypti-
languages. Wikander’s mentor in Asian studies was the great
cism, Uppsala (August 12–17, 1979), edited by David Hell-
holm, pp. 77–162. Tübingen, Germany, 1983.
Iranologist and Semitist Henrik Samuel Nyberg, whose prin-
cipal ideas, expressed in the synthesis Irans forntida religionen
“Bardesanes von Edessa und der syrisch-mesopotamische Gnostiz-
ismus.” In The Many and the One. Essays on Religion in the
(1937), exemplify the Uppsalian school’s specific contribu-
Graeco-Roman World, presented to H. Ludin Jansen, edited by
tion to religious studies. In 1931, Wikander became a mem-
P. Borgen, pp. 153–181. Trondheim, 1985.
ber of the prestigious Société Asiatique in Paris. He also stud-
“Aramaica et Syriaca II.” Orientalia Suecana 33–35 (1984–1986):
ied at the University of Copenhagen under the guidance of
479–86. A sharp critique, but not so convincingly argued,
Arthur Christensen, where he delivered on February 24,
of Carl-Martin Edsman’s 1940 Ph.D. thesis, Le baptême de
1936, a paper entitled “Karnamak-i-Artaxer och den iranska
feu (Uppsala-Leipzig).
historietradition” (Karnamak-i-Artaxer and the Iranian his-
“On Some Astrological Correspondence in the Writings of Pure
torical tradition). In 1938 Wikander defended his Ph.D. the-
Brethren.” In Orientalia Iosephi Tucci memoriae dicata, vol.
sis on the Aryan Männerbund, under the supervision of Ny-
3, edited by Gherardo Gnoli and Lionello Lanciotti,
berg, but was awarded only a medium qualification: med
pp. 1551–1559. Rome, 1988.
beröm godkänd (cum laudatur approbatur).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WIKANDER, STIG
9735
In Lund in 1943 Wikander submitted another paper,
ideas concerning the high gods, Wikander considered the
Feuerpriester in Kleinasien and Iran (The Fire Priests in Asia
political role of Arian warrior bands to be deeper than that
Minor and Iran), under the guidance of his colleague, Geo
of primitive African secret communities, emphasizing in this
Widengren, which he hoped would establish his academic
way the superiority of Arian structures.
career. This paper was published with the same title in 1946.
Apart from his book on Va¯yu, whom he treated as a
While writing Der arische Männerbund (The Aryan warrior
high god of the war, Wikander continued to examine the
bands) and before the beginning of World War II, Wikander
paradigm of warrior bands and masculine society, but with
built strong ties with the German academic community, in
a different theoretical approach. The conclusion of his con-
particular with Otto Höfler and Walther Wüst from Mu-
troversial “Études sur les mystères de Mithras” (1950), meant
nich. Wikander’s private correspondence as well as his arti-
to criticize Franz Cumont’s theory of the Iranian origin of
cles published in Swedish journals before the war provide
the Western Mithraic cults, suggests that this Western phe-
concrete testimony on his ambiguous position on the Nazi
nomenon could have had its origin among warrior bands
political, as well as academic, situation. In February 1944 he
from the Balkans that worshipped the god Sabazios. The ex-
left for the Eastern Front (Greece and Turkey), enrolling in
istence of an Iranian influence could be certified in the Bal-
the Swedish Red Cross organization. After teaching Iranian
kans by the common symbol of the Thracian or Danubian
languages at the University of Lund from 1941 to 1953, he
cavalier. Wikander’s article on Indo-Iranian twin-gods, pub-
was appointed professor of Sanskrit and Indo-European lan-
lished as a tribute to Georges Dumézil, points out how the
guages at the University of Uppsala. Wikander held this posi-
main attributes of Nakula and Sahadeva received, from
tion until late 1974. He died on December 20, 1983, in
R:gveda to Maha¯bha¯rata, new warlike connotations. Finally,
Uppsala, after suffering during the last years of his life from
at the Congress of Mithraic Studies (Teheran, 1975), Wi-
the painful loss of his mental clarity.
kander presented the Avestan text Mihr Yasht as indicating
During his life Wikander published numerous articles,
a purely masculine society, comparable to the Roman society
but only three books: Der arische Männerbund (1938); Va¯yu:
of mysteries and following the general pattern of the archaic
Texte und Untersuchungen (1941), and Feuerpriester in
Männerbund, but from a phenomenological, not historical
Kleinasien und Iran (1946). They made him known as an
or sociological, point of view.
eminent Iranist, although he was a controversial representa-
Wikander conceived his other two books, Va¯yu and
tive of the Uppsalian school. Even though he published no
Feuerpriester in Kleinasien und Iran, as complementary and
further books after World War II, these three works repre-
circumscribed to the same purpose: to broaden the recon-
sent a common methodology: a historical and even social re-
struction of the morphology of the socio-religious obser-
construction on the basis of predominantly philological data.
vances of ancient Indo-Iranians, centered on the cults devot-
In these works, Wikander embraced Nyberg’s distinction be-
ed to the high gods Mithra and Va¯yu-Anahita. Though this
tween Mithragemeinde and Gathasgemeinde, the general the-
general theory is considered outdated, Wikander’s work on
ory of a pre-Zoroastrian religion, and he used it as a basis for
fire-priests can still be used as an introduction to the cults
a philological analysis aimed at reconstructing the social in-
related to Anahita, being valuable for the multiplicity of
stitution and religious cults of the pre-Zoroastrian (Indo-
sources (Greek, Latin, Byzantine, and Arabic) upon which
Iranian or Arian) warrior communities, whose principles
Wikander built his arguments.
were very different from the moral Zoroastrian rules. Wi-
kander aimed to prove that such warrior organizations had
Almost all of these theories have been criticized or re-
an important social, political, and religious role within Arian
jected, including the relevance of the high gods for the an-
society. He argued that analysis of these structures should be
cient Iranian area, the discontinuity between Indo-Iranian
the main focus of research into Indo-Iranian religions. At the
preexistent religious forms and Zoroastrian reform, the con-
same time Wikander supported Widengren’s theory about
sistency of a particular cult specific to masculine societies de-
the high gods of ancient Iran presented in Hochgottglaube im
voted to the Va¯yu-Anahita gods, and so on. In addition, Wi-
alten Iran (1938).
kander’s philological interpretation of key terms, such as the
Vedic maryá, the Old Iranian mairya-, and the Middle Irani-
Wikander’s 1938 thesis had been preceded by various
an m¯erak (or m¯erag), which he thought proved the existence
ethnological and anthropological investigations undertaken
of warrior bands, seems doubtful. After World War II, Wi-
during the nineteenth and early twentieth centuries (i.e., the
kander abandoned the philological perspective of socio-
work of such scholars as Leo Bittremieux, Leo Frobenius,
religious reconstruction. On this point, he faced the same
Heinrich Schurtz, and Hutton Webster), most of them con-
theoretical difficulties as Dumézil (at least before his Nais-
cerned with African secret societies. Though benefiting from
sance d’archanges, 1945) in presuming to be able to recon-
many of these works Wikander was inspired mainly by Otto
struct, on the basis of mere textual evidence, the three func-
Höfler’s Kultische Geheimbünde der Germanen (1934). Both
tions as social estates, real institutions of the ancient Indo-
Wikander and Widengren took into consideration the rele-
Europeans—that is, the sacerdotium, the caste of warriors,
vance of primitive African materials; while Widengren found
and the caste of growers and breeders (bra¯hman:a, ks:atriya,
identical structures between African and ancient Iranian
and vai´sya). However, by revising his methodology toward
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9736
WIKANDER, STIG
a more structural approach, Wikander could begin a fruitful
gious observances of contemporary Kurdish communities
dialogue with Dumézil.
and Old Iranian ones. Many of Wikander’s studies on Kurd-
ish folklore remain unpublished.
In an article first published in the Swedish journal Reli-
gion och Bibel under the title “Pa¯n:d:ava-sagan och
There are many unpublished manuscripts in Wi-
Maha¯bha¯ratas mytiska förutsättningar” (“The legend of the
kander’s archive at Uppsala University Library. The most rel-
Pa¯n:d:ava and the mythical substructure of Maha¯bha¯rata,”
evant for the history of religions are the Haskell Lectures
1947) and later only partially translated by Dumézil in his
(“The Ideology of the National Epic,” “Heroic Age or Myth-
Jupiter, Mars, Quirinus (1941), Wikander proposed the prin-
ic Age?” “Problems of Indian Epics,” “Problems of Iranian
ciple of homogeneity and coherence from old Vedic theology
Epics,” “From Myth to History,” and “The Indo-European
to the epic construction of Maha¯bha¯rata. By assuming
Eschatology”), held in Chicago at the invitation of Eliade.
Dumézil’s theory of trifunctional partition, Wikander at-
These lectures show the influence of Eliade’s work (in partic-
tempted to demonstrate that the five principal actors in
ular his Le mythe de l’éternel retour [1949] and parts of Aspects
Maha¯bha¯rata (Pa¯n:d:avas Yudhis:t:ira, Arjuna and Bh¯ıma, and
du mythe [1963]) on Wikander’s thought (especially regard-
Nakula and Sahadeva) are the exact epic transposition of the
ing the relation between myth and history). Another impor-
trifunctional Vedic gods, namely Mitra and Varun:a, Indra,
tant manuscript entitled “Den ariska romantiken” (The
and the twin-gods Nasatyas. A second important article,
Arian Romanticism) is a sort of history of nineteenth-century
published in Nouvelle Clio, “Sur le fonds commun indo-
European oriental studies, with special attention given to
iranien des épopées de la Perse et de l’Inde” (1949), shows
Swedish authors. Wikander mainly analyzed the European
the extent to which Wikander preserved the relevance of the
adoption of the term Arian and the ideological development
hypothesis of the common Indo-Iranian mythology, but
of its meaning according to English, French, German, and
from a new, Indo-European, comparative perspective. In this
Italian Romantic and post-Romantic writers.
field, Wikander made a major contribution with his article
In 1947, Wikander and the Swedish linguist Bertil Mal-
“Germanische und indo-iranische Eschatologie” (1960), in
mberg founded the journal Studia Linguistica in Lund. Wi-
which he emphasized the structural, mythological correlation
kander also planned to publish with Kasten Rönnow a series
between the Indo-Iranian and German-Scandinavian epic
called Quæstiones indo-iranicæ, but only one work was even-
from an eschatological point of view. He expanded this view
tually published—Wikander’s book on Va¯yu. For several
of Indo-Iranian eschatology in one of his six 1967 Haskell
years he served on the advisory board for the Uppsalian jour-
Lectures, “Indo-European Eschatology.”
nal for Asian studies, Orientalia Suecana. In 1974 the presi-
Few aspects of Wikander’s work were sympathetic to
dent of the Society for Mithraic Studies, Harold W. Bailey,
the Religionsgeschichtliche Schule, as was certainly the case
invited him to join the advisory board of the Journal for
with his compatriot, Widengren. One could invoke Wi-
Mithraic Studies. He also served with Franz Altheim,
kander’s criticism of Cumont’s theory about the Iranian ori-
Dumézil, and Eliade on the scientific committee of Mankind
gin of the Western Mithraic cult or his general suspicion of
Quarterly during the first years of its publication.
the fervent pan-Iranian theories of Michael Rostovtzeff or
Wikander took part in a number of congresses, includ-
Lars-Ivan Ringbom. More eloquent is a short passage from
ing the International Congress for Oriental Studies (Paris,
“The Indo-European Eschatology”: “I am not qualified to
1948; Munich, 1957), the IAHR congresses (Amsterdam,
take up those problems about Iranian influence on the reli-
1950; Marburg, 1960), the first International Congress for
gions of the Bible and the religions of the Greco-Roman syn-
Sanskrit Studies (New Delhi, 1972), and the second Interna-
cretism. But, I cannot refrain from regretting that the discus-
tional Congress of Mithraic Studies (Teheran, 1975). He
sion follows an all too old and antiquated pattern.”
also served as visiting professor at Columbia University in
During the last period of his life Wikander turned his
New York (1959–1960), at Colegio de México (spring-
attention mainly to the phenomenon of Gnosticism. He
summer, 1967), and at the University of Chicago (fall-winter
published four articles on Gnostic symbols in the work of
1967).
Erik Johan Stagnelius, the famous Romantic poet of Sweden.
In conclusion, Wikander’s academic works reveal a sur-
Wikander’s “Ingmar Bergman’s Mythic Ironies” on the
prisingly complex personality, whose place in the framework
Gnostic symbolism in some of Bergman’s films, belongs to
of the history of religions should be fully reconsidered. Until
the same area of interest. It was based on a conference enti-
then, the correspondence between Wikander and Eliade
tled “Bergman, a Gnostic?” held in Chicago in 1967. Wi-
proves it to be extensive.
kander was also interested in Mircea Eliade’s scholarly works
on religious symbolism (in particular for their examination
SEE ALSO Indo-European Religions; Mithraism.
of the transition from archaic to modern societies). In addi-
tion, Wikander worked on projects concerning the epic liter-
BIBLIOGRAPHY
ature of the Kurds, which he analyzed while traveling in Syria
As of 2004 no monograph had been published on the life and
and Lebanon. He transcribed and translated several epic texts
work of Stig Wikander, in part because Wikander left few
in an attempt to reveal the correspondence between the reli-
autobiographical traces. The Eliade-Wikander correspon-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WILLIAM OF OCKHAM
9737
dence, discovered in 2001, brings forth, to the best of our
Wikander, Stig. “Nakula et Sahadeva.” Orientalia suecana 6
knowledge, the most comprehensive biographical documen-
(1957): 66–96.
tation published so far on Wikander.
Wikander, Stig. “Germanische und indo-iranische Eschatologie.”
Arvidsson, Stefan. Ariska Idoler: Den indoeuropeiska mytologin som
Kairos 2 (1960): 81–88.
vetenskap och ideologi. Stockholm, 2001.
Wikander, Stig. “Kurdish Tales on Animals.” Edited by Marita
De Jong, Albert. Traditions of the Magi: Zoroastrianism in Greek
Wikander and Jan Stolpe. Orientalia suecana 51–52 (2002–
and Latin Literature. Leiden, 1997.
2003): 429–435.
Dumézil, Georges. Mythe et épopée. 3 vols. Paris, 1986.
MIHAELA TIMUS (2005)
Hiltebeitel, Alf. The Ritual of Battle: Krishna in the Maha¯bha¯rata.
Albany, N.Y., 1990.
Kahle, Sigrid. H. S. Nyberg: En vetenskapsmans biografi. Stock-
holm, 1991.
WILA¯YAH SEE WALA¯YAH
Lincoln, Bruce. “Warriors and Non-Herdsmen: A Response to
Mary Boyce.” In Death, War, Sacrifice: Studies in Ideology
and Practice, pp. 147–166. Chicago, 1991.
Littleton, C. Scott. The New Comparative Mythology: An Anthro-
WILLIAM OF OCKHAM (1280?–1349?), English
pological Assessment of the Theories of Georges Dumézil. 3d ed.
philosopher and theologian. William of Ockham was born
Berkeley, 1982.
between 1280 and 1285 at Ockham in Surrey, England. He
Nyberg, H. S. Irans forntida religioner. Stockholm, 1937. Trans-
entered the Franciscan order and studied at the Franciscan
lated as Die Religionen des alten Iran. Leipzig, 1938; 2d ed.,
house in Oxford but without taking his doctorate; hence his
Osnabrück, 1966.
title of “Venerable Inceptor,” which indicated that he had
Timus, Mihaela. “La bibliographie annotée de Stig Wikander.”
not received a degree.
Stvdia Asiatica: Revue internationale d’études asiatiques 1
Ockham’s career is divided into two phases. During the
(2000): 209–234.
first phase he wrote his major theological, philosophical, and
Timus, Mihaela. “Addendum II: Other unpublished letters sent
logical works; the most important were his Commentary on
or received by Stig Wikander.” Archœvs: Études d’histoire des
the Sentences and his Sum of Logic. The second phase began
religions 6 (2002): 383–394.
when in 1328 he fled from the papal court at Avignon with
Timus, Mihaela, ed. The Unpublished Correspondence Eliade-
the general of the Franciscan order, Michael of Cesena, to
Wikander. Iassy, Romania, 2004.
the German emperor Ludwig of Bavaria, at Munich. Ludwig
Timus, Mihaela, and Eugin Ciurtin. “The Unpublished Corre-
had become the adversary of John XXII, and Ockham joined
spondence between Mircea Eliade and Stig Wikander
the other Franciscan dissidents there who had quarreled with
(1948–1977).” Archævs: Études d’histoire des religions 3/4
(2000): 157–185, 179–211; 5 (2001): 75–119; 6 (2002):
the pope over his denial of the Franciscan claim to be follow-
325–362.
ing Christ’s life of absolute poverty. Ockham, who had origi-
nally been summoned to Avignon to answer accusations of
Waldmann, Helmut. Heilgeschichtlich verfasste Theologie und
Männerbünde: Die Grundlagen des gnostischen Weltbildes. Tü-
error in some of his theological and philosophical doctrines,
bingen, Germany, 1994.
spent the remainder of his life polemicizing against papal
Widengren, Geo. Hochgottglaube im alten Iran. Uppsala, Sweden,
claims to absolute jurisdiction in temporal and spiritual mat-
1938.
ters. He died at Munich, probably in 1349.
Wikander, Stig. Der arische Männerbund: Studien zur indo-
Ockham was the most influential thinker of the later
iranischen Sprach- und Religionsgeschichte. Lund, Sweden,
Middle Ages. Philosophically, he was the first to found his
1938.
outlook upon the discrepancy between the individual nature
Wikander, Stig. Va¯yu: Texte und Untersuchungen zur indo-
of all created being and the universal nature of the concepts
iranischen Religionsgeschichte. Lund, Sweden, 1941.
and terms constituting our proper knowledge. Since, he said,
Wikander, Stig. Feuerpriester in Kleinasien und Iran. Lund, Swe-
only individuals were real, all universal and general notions
den, 1946.
only had real, as opposed to conceptual or grammatical,
Wikander, Stig. “Pa¯n:d:avasagan och Maha¯bha¯ratas mystika förut-
meaning if they referred to real individual things. In contrast
sättningar.” Religion och Bibel 6 (1947): 27–39.
to the overwhelming weight of medieval tradition, Ockham
Wikander, Stig. “Sur le fonds commun indo-iranien des épopées
held that there were no such things as universal natures or
de la Perse et de l’Inde.” La Nouvelle Clio 1–2 (1949): 310–
essences. Instead, therefore, of seeking to explain the individ-
329.
ual as the particularization of the universal, as in the state-
Wikander, Stig. “Études sur les mystères de Mithras.” Vetenskaps
ment that the individual man Socrates is the expression of
Societetens i Lund A˚rsbok (1951): 37–56.
the essence humanity, or that a white object is the manifesta-
Wikander, Stig. “Histoire des Ouranides.” Cahiers du sud 36
tion of the quality whiteness, Ockham inverted the order and
(1952): 9–17.
sought to explain how the mind arrives at the universal con-
Wikander, Stig. “Mithra en vieux-perse.” Orientalia suecana 1
cept of humanity or whiteness from exclusive experience of
(1952): 66–68.
individual men or white objects. He did so psychologically,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9738
WILLIAMS, ROGER
logically, and grammatically by seeking to show how the
dom from created forms, many of their successors gave the
mind forms concepts and what their relation is to the terms
notion much wider application, which virtually denuded sac-
and propositions in which knowledge of them is expressed.
ramental grace of its intrinsic efficacy. The effect was to rein-
He thereby gave a new direction to philosophical inquiry,
force the tendency in the religious outlook of the later Mid-
which effectively denied an independent place to meta-
dle Ages to make God’s will the sole arbiter in individual
physics.
justification and predestination. It had as its accompaniment
a corresponding stress upon individual religious experience
Theologically, the effect was to undermine the bases for
based upon faith as the foundation of all theological dis-
a natural theology, since whatever lay outside intuitive expe-
course and alone bringing certainty in a contingent universe.
rience of individual things lacked evidential status. Not only
did that exclude proofs, as opposed to persuasions, for God’s
The extent of Ockham’s influence during the four-
existence, but it confined theological discourse to the eluci-
teenth and fifteenth centuries can be seen in the dominance
dation of the meaning of the articles of faith rather than pro-
of the so-called nominalist school that developed first at Paris
viding rational support for their truth. Their truth was a mat-
University and then spread to the new universities founded
ter of belief. And central to belief was the Christian’s
throughout the German-speaking lands. Its hallmarks were
recognition of God’s omnipotence. By Ockham’s time, the
precisely an emphasis upon God’s absolute power and there-
fore on the immediacy of God’s will in deciding whom to
affirmation of God’s omnipotence had assumed a new im-
justify and accept for eternal life. With Ockham’s attack
portance, partly at least in response to the determinism of
upon the concept of the pope’s plenitude of power, and his
Greek and Arabic philosophy. It had come to be expressed
insistence upon the sole authority of faith residing in every
in the distinction between God’s ordained power (potentia
believer to decide questions of doctrine, he did perhaps more
ordinata), the power by which he governed the workings of
than any other single thinker to transform the philosophical
the universe he had created, and his absolute power (potentia
and theological outlook of the later Middle Ages.
absoluta), which denoted his omnipotence taken solely in it-
self without relation to any order, and so is limited by noth-
SEE ALSO Nominalism.
ing other than logical self-contradiction, which would have
impaired it.
BIBLIOGRAPHY
It was Ockham who more than anyone gave this distinc-
Authoritative accounts of Ockham’s philosophy can be found in
Marilyn McCord Adams’s William Ockham, 2 vols. (Notre
tion the currency which it acquired in the middle of the four-
Dame, Ind., 1987), Léon Baudry’s Guillaume d’Occam
teenth century. He applied it to restate the accepted Chris-
(Paris, 1949), Philotheus Boehner’s Collected Articles on Ock-
tian truth that God could do directly (or indeed differently
ham, edited by Eligius Buytaert (New York, 1958), Jürgen
or not at all) what, ordinarily, by his ordained power, he did
Miethke’s Ockhams Weg zur Sozialphilosophie (Berlin, 1969),
by secondary causes. Ockham was thereby reaffirming God’s
Paul Vignaux’s article “Occam” in Dictionaire de théologie
role as the direct ruler as well as creator of the universe. What
catholique (Paris, 1931), and my own William of Ockham:
was novel was the range and frequency of Ockham’s applica-
The Metamorphosis of Scholastic Discourse (Manchester,
tion of God’s omnipotence to virtually every aspect of cre-
1975).
ation: nature, knowledge, and matters of belief. Thus God
GORDON LEFF (1987 AND 2005)
himself could directly cause or conserve an effect that nor-
mally had a natural cause: the Eucharist, for example, where
the appearance of the elements of the bread and wine could
remain after consecration without any longer existing as
WILLIAMS, ROGER (1603–1683), English and
physical substances. Similarly, absolutely, God could cause
American Puritan minister and prophet of religious liberty,
direct intuitive knowledge of an object that was not immedi-
founder of Rhode Island. Born in London, Roger Williams
ately present to the knower. He could do so, not by creating
was the son of Alice and James Williams, a merchant tailor.
an illusion that what appeared to exist did not really exist,
Of his early education little is known, but his ability at short-
but by himself directly conserving knowledge of an object
hand probably attracted the attention of Sir Edward Coke,
that was real but not present, such as someone seen in Ox-
then lord chief justice, who enabled him to attend Charter-
ford who was at Rome. Theologically, the implications were
house School, from whence he won a scholarship to Cam-
perhaps most far-reaching of all—and here Ockham was fol-
bridge (B.A., 1627). After several years’ further study in di-
lowing Duns Scotus—by substituting God’s immediate
vinity at that Puritan stronghold, Williams became chaplain
agency for the agency of the church, above all in directly ac-
in the household of Sir William Masham, and he married
cepting individuals for eternal life without the requisites of
Mary Barnard, who was to bear him six children. As a con-
sacramental grace. God was thereby rewarding an individual
vinced Puritan at the time when Bishop William Laud was
action or will and not the preceding grace that ordinarily an
vigorously opposing the movement, he found it advisable to
individual had first to receive as the condition of the reward.
join the great migration to New England in December 1630.
Although neither Duns Scotus nor Ockham went beyond
Called to serve the church at Boston, Williams refused
stating such a conclusion as the consequence of God’s free-
to accept the post because the Massachusetts Bay Puritans
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WILLIAMS, ROGER
9739
had not fully broken with the Church of England or rejected
emphasized the authority of the Bible as the means by which
legal religious establishment, and Williams was by then a
the spirit of God speaks, interpreting many of its passages in
thorough Separatist. Instead, he ministered for several years
typological and millenarian ways. His greatest divergence
at Plymouth Colony, where the Separatist element was
with other Puritans was over the doctrine of the church. He
stronger, and undertook missionary work among the Algon-
sharply differentiated the pure church from the secular
quin Indians, learning their language. Williams returned to
world, but he had difficulty identifying it amid the warring
Massachusetts Bay Colony in 1633, however, accepting a call
sects of his time. Briefly in 1639 he believed that the Baptists
to the church at Salem. But he angered colonial leaders by
came the closest to his ideal of the church. Williams was bap-
insisting that the churches profess separation, by claiming
tized by affusion (pouring), baptized others, and participated
that the royal charter did not provide a valid title to the land,
in the founding of the first Baptist church in America at
by denying that the unregenerate could take an oath of loyal-
Providence. He soon left the congregation, however, and be-
ty (which for him was an act of worship), and by arguing that
came known as a “seeker,” but was not a member of any
magistrates could not punish breaches of the first command-
Seeker group, although he was acquainted with the Calvinist
ments (which deal with religious obligations), but only of
Seekers in England in the early 1650s.
those that deal with moral or civil matters. Brought to trial
Williams became convinced that the apostasy of the
in October 1635, he was banished. Williams fled southward,
churches since Constantine had engulfed Christendom and
purchased land from the Indians, and founded Providence,
that until God raised up new apostles the true church could
Rhode Island, in 1636. In a departure new in Christian civi-
not be discerned. Meanwhile, God called “prophets in sack-
lization, no church was established in the new colony—
cloth” to preach and witness to the truth, but not to gather
religious liberty was for all, even those with whom Williams
churches. As a “prophet in sackcloth” Williams ministered
was in sharp theological disagreement.
among both English and Indians, but he remained highly
Williams earned his living by farming and (until 1651)
critical of Christendom in all its forms, as well as of clergy
who earned their livings by ministering. he believed that the
trading with Indians at a lonely outpost on Narragansett Bay.
truly faithful must be prepared for misunderstanding and
His knowledge of Indian ways and his friendship with them
persecution, having as their sole defense the sword of the
permitted him to mediate among them, as well as between
spirit—the word of God. Magistrates have no competence
them and the English, on many occasions. His skill prevent-
in matters of religion, he insisted, for their rule extends only
ed what could have been a powerful Indian alliance against
to civil matters.
the colonies in 1637. His political abilities were also exer-
cised in helping to keep order among the growing towns of
Although Williams believed ardently in religious free-
Rhode Island. To secure a charter so that Rhode Island
dom, he was not a tolerant man; he could attack vigorously
would not be swallowed up by Massachusetts Bay Colony,
with tongue and pen (though never by force) those with
he journeyed to England in 1643–1644. He became known
whom he disagreed in matters of theology and biblical inter-
to the rising Puritan leadership through such writings as A
pretation. He was deeply opposed to George Fox and the
Key into the Language of America (1643) and The Bloudy Te-
Quakers; as a Calvinist he objected to their separation of
nent of Persecution, for Cause of Conscience (1644), a hastily
Word and Spirit, as well as to what was for him their inade-
written but forceful scriptural argument for religious free-
quate Christology. He hoped to debate Fox when the latter
dom. Successful in obtaining the charter, Williams returned
was in Rhode Island in 1672, but had to settle for sharp ex-
home, but political changes soon jeopardized that achieve-
changes with other Quaker leaders, about which he wrote in
ment. he sold his trading post to finance a return to England
his most polemical work, George Fox Digg’d out of His Bur-
(1651–1654), where he associated with such powerful fig-
rowes (Boston, 1676).
ures as John Milton and Oliver Cromwell. Again he pub-
Williams’s role as a pioneer of religious liberty and the
lished extensively, notably The Bloody Tenent Yet More
separation of church and state has been rightly celebrated as
Bloody, Experiments of Spiritual Life and Health, and The
his major contribution; the twentieth-century renaissance in
Hireling Ministry None of Christs, all in 1652. Called home
Puritan studies has made clear how deeply his work was root-
by political turmoil and family need, he left John Clarke of
ed in his religious commitments.
Newport to complete the diplomatic mission; Clarke re-
mained until 1663, finally securing a permanent charter for
BIBLIOGRAPHY
Rhode Island from the Restoration government. Meanwhile
Almost all of Williams’s extant writings are in The Complete Writ-
Williams served three years as president of the colony he had
ings of Roger Williams, 7 vols. (New York, 1963); the first six
founded.
volumes are reprints of nineteenth-century editions, but the
seventh adds tracts not included in previous collections and
Williams’s deepest concern throughout his life was with
was edited by Perry Miller with an interpretive introduction.
matters of religion, the central theme of his extensive writ-
Miller had previously written Roger Williams: His Contribu-
ings. He remained faithful to common Puritan presupposi-
tion to the American Tradition (1953; reprint, New York,
tions but doggedly pursued their implications to radical con-
1966), which includes brief, modernized passages from Wil-
clusions few could accept. A Calvinist in theology, he
liams’s major works. A well-delineated interpretation of Wil-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9740
WILLIBRORD
liams’s thought, based on his writings, is Edmund S. Mor-
William Levison’s England and the Continent in the Eighth
gan’s Roger Williams: The Church and the State (New York,
Century (Oxford, 1946), pp. 1–69, is authoritative. Refer-
1967). A thoughtful treatment that includes informed atten-
ence may be made also to Alexander J. Grieve’s Willibrord,
tion to the English as well as to the American locales of Wil-
Missionary in the Netherlands (Westminster, 1923) and to
liams’s life is John Garrett’s Roger Williams: Witness beyond
The Anglo-Saxon Missionaries in Germany, edited and trans-
Christendom, 1603–1683 (New York, 1970). A study of his
lated by Charles H. Talbot (New York, 1954).
religious and biblical views is W. Clark Gilpin’s The Mille-
STEPHEN C. NEILL (1987)
narian Piety of Roger Williams (Chicago, 1979).
ROBERT T. HANDY (1987)
WINE SEE BEVERAGES; EUCHARIST
WILLIBRORD (658–739), pioneer of the English mis-
sionaries who crossed the seas to proclaim the gospel to the
non-Christian peoples of the continent of Europe. Born in
WINTER SOLSTICE SONGS. In Europe the cele-
Northumbria, Willibrord as a boy came under the influence
bration of the winter solstice, the longest night of the year,
of the great Wilfrid, archbishop of York. From 678 to 690
is a heritage that goes back to prehistoric times. The classical
he was in Ireland, and while there he became filled with the
Greek and Latin authors, as well as the fathers of the church,
desire, which never left him, to preach the gospel to non-
attest to the fact that the festivities centered around the win-
Christians.
ter solstice in antiquity perpetuated traditions still more an-
cient that were deeply rooted in folk practice. Despite re-
In 690 Willibrord went to Friesland in the Netherlands,
gional differences in the evolution of these feasts and in their
which became his home for forty-nine years. This part of Eu-
cultural significance, they all included elements of sun wor-
rope was in a state of great disorder from which it was emerg-
ship, revels, masquerades, and divination since the winter
ing through the rise of Carolingian power, destined to reach
solstice was considered to be a time of great importance. The
its climax in the empire of Charlemagne. Pepin I gave Willi-
fertility of the fields, the reproduction of the cattle, the health
brord the land near Utrecht on which later Willibrord was
of the people, and the conclusion of marriages in the coming
to build his cathedral. In 695 he was consecrated archbishop
year were all deemed to depend on the observance of the sol-
by the pope, who intended to establish Utrecht as a regular
stice rituals.
province of the church with archbishop and diocesan bish-
ops. This goal was never attained, and after the death of Wil-
The celebration of the winter solstice also included the
librord, Utrecht gradually lost its importance.
singing of special songs. Unfortunately, very little is known
about the songs performed during the cycle of the Roman
None of the correspondence of Willibrord has survived,
imperial feasts, the Saturnalia, the Dies Natalis Solis Invicti
and we have hardly anything from his hand. This makes it
(the birthday of the Iranian god Mithra), and the Calendae
difficult to get a clear idea of his personality and his work.
Ianuari, which occasioned the exchange of congratulations
He seems to have been characterized not so much by bril-
and the start of the new administrative year. All that has
liance as by steadfast continuance in the work that he had
come down to the present day are the texts of certain con-
set himself to do. It is clear that his aims were greater than
gratulation formulas. From Augustine one learns that in the
his achievements. He penetrated Denmark and brought back
fifth century
thirty boys who presumably were to be trained as missiona-
CE, on the day of such feasts, songs that from
the Christian point of view were “most vain and filthy” were
ries to their own people, but nothing came of this. It is not
still performed. In comparison with the celebration of the
clear whether he ever consecrated other bishops. He did,
winter solstice in northern Europe, however, the Roman
however, in 698 found the Monastery of Echternach in Lux-
feasts, through their insertion into the official calendar and
embourg, which later became a great center of missionary
through their fusion with elements imported from different
work.
provinces of the empire, may be considered a relatively late
Willibrord opened a door to the evangelists of the rising
cultural synthesis.
English church, worked out a model of what a missionary
The winter solstice feasts celebrated in northern Europe
should be, and set an example followed by many successors.
display different features and have a much more archaic char-
The churches in the Netherlands are right in regarding him
acter. Nearly all records of the winter solstice feasts in this
as the apostle of Frisia and the founder of the church in their
area relate only to the Germanic peoples. Nevertheless, this
land.
article shall try to demonstrate, most of these customs and
beliefs can also be found in the folk traditions of eastern Eu-
BIBLIOGRAPHY
rope.
The two lives of Willibrord by Alcuin (735–804), Vita sancti Wil-
librordi, “Monumenta Alcuiniana,” vol. 6, are hagiographi-
According to Latin historians and church chronicles, as
cal, full of stories of miracles, and inadequate from the point
well as evidence derived from the laws and capitularies pro-
of view of historical detail and reliability. Of modern works,
hibiting pagan practices and early Anglo-Saxon and northern
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WINTER SOLSTICE SONGS
9741
European literature such as the Icelandic sagas, the Germanic
superior peasant class continued to live in relative isolation,
midwinter Yule feast celebrated the reappearance of the sun
under conditions that were in many ways archaic. Owing
and had a marked funeral character. It was commonly be-
partly to this gap in socio-historical evolution, elements of
lieved that the spirits of the dead were most haunting during
the sun worship referred to among the Germanic peoples in
the period of the winter solstice. They would return to their
the sixth and seventh centuries can still be found in eastern
former dwelling places in order to participate in the feasting,
European folklore. The survival here of winter solstice tradi-
and unless they were treated with due honor, they would do
tions is also to be explained by the fact that in this area the
harm to the living. On the other hand, the welcoming of the
fight against pagan customs was far less methodical than in
spirits, who were impersonated with masks, was believed to
the west. Lacking adequate theological training, the village
insure peace, health, prosperity, and fertility in the coming
priests of eastern Europe were not intransigent adversaries of
year.
paganism; they themselves sometimes contributed uninten-
tionally to the survival of pagan customs or to their symbiosis
Despite the relative richness of data about the mytholo-
with Christianity.
gy and customs of the Germanic peoples, precise informa-
tion about the specific myths, tales, or songs that were per-
The eastern European solstice songs, performed by or-
formed during the Yule feast is lacking. Sources that mention
ganized groups of adults during the winter holy days, resem-
the performance of Icelandic sagas on Yuletide are not really
ble Christmas carols in the time of their performance and in
an exception. The Icelandic sagas, however, cannot be con-
some minor parallels in subject matter. Unlike Christmas
sidered specialized songs of the winter solstice since they were
carols, however, which circulated mainly in manuscript and
also performed on other occasions, such as weddings and
in printed editions, the eastern European songs belonged to
night gatherings. It must also be borne in mind that the Ice-
oral tradition. At their core, they preserved pagan rituals and
landic sagas, although partly based on older oral literature,
myths that are integrated into a rich complex of folk customs
were composed during the twelfth and thirteenth centuries
of eastern Europe.
and thus cannot properly be included among the pagan folk
Circulating in impoverished form among the Poles, By-
traditions of the winter solstice.
lorussians, Moravians, and Serbians, and still in use in certain
Through missionary propaganda and the skillful strate-
districts of Greece, the repertoire of winter solstice songs of
gy of the church, these traditions were partly obliterated and
eastern Europe is rich and well preserved among the Ukraini-
partly assimilated into the patterns of Christian ideology.
ans, Bulgarians, and especially among the Romanians. The
The winter holy days of the church were originally based on
composer and ethnomusicologist Béla Bartók, who collected
the calendar of the later Roman empire. While ostensibly ex-
Romanian folklore from before World War I, noted that
pelling pagan winter customs, the winter holy days actually
“among all the eastern European peoples, the Romanians
adopted some of them under Christian cover, first those of
have preserved best till this day these partly ancient songs of
the Mediterranean area, then some of the ancient winter sol-
the winter solstice” (Bartok, 1968, p. xxviii).
stice traditions of the Germanic peoples. Thus in the sounds
It can be demonstrated on linguistic grounds that the
of modern hibernal holy days one can still hear the echoes
terms designating the winter repertoire in eastern Europe
of the pagan celebrations of the winter solstice.
(i.e., the Ukrainian koliada or koliadka, the Belorussian
But the link that still connects the ancient winter sol-
kaliada, the Bulgarian koleda, and the Romanian colinda or
stice celebration to the present day must be sought in the tra-
corinda) are all derived from the Latin calendae. When one
ditions of the peasantry. If in the urban world the church
adds to this the fact that early Christian documents, as well
succeeded in gradually assimilating pagan customs, wiping
as archaeological evidence, prove that the Roman winter
out their memory and finally supplanting them, its success
feasts enjoyed great popularity in the Eastern Roman Em-
among the peasants came later and was less definitive. Judg-
pire, one can conclude that the folk terminology designating
ing by the repeated admonitions that medieval priests ad-
the eastern European repertoire of winter solstice songs al-
dressed to the country folk, it seems clear that the peasants
most certainly referred originally to the Calendae Ianuari.
continued to cling to the pagan customs of the winter sol-
However, whether or not the eastern European songs them-
stice, especially in northern Europe, where conversion to
selves derived from the Roman winter feasts may be decided
Christianity came late. Some of these customs still linger in
only by an analysis of the genre at the level of ritual acts and
the folk traditions of the Germanic peoples: To this day, the
at the level of verbal expression.
peasants of those countries attribute magical powers to the
The performance of the eastern European repertoire of
ashes of the old “Yule log” burned on Christmas and to
solstice songs, which this article shall conventionally call
the bread especially baked for this holy day.
“winter carols,” is governed by unwritten regulations and oc-
It is not by chance that only in eastern Europe is found
casionally shows traces of rituals, representations, and beliefs
a living folk tradition that in part continues the ancient
of mythological origin. Because of the present-day decline in
pagan winter solstice traditions. In this outlying region of the
the performance of the winter carol, in what follows this arti-
continent, at the turn of the twentieth century, and in some
cle shall take into consideration not only contemporary evi-
areas even until the onset of World War I, the numerically
dence but also certain data concerning regulations and beliefs
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9742
WINTER SOLSTICE SONGS
that were obtained from the older generation of carolers or
Caroling often entails more than simply singing songs.
that were recorded in archives.
In certain districts of eastern Europe the caroling is accompa-
nied by the noise of bells, drums, or trumpets, probably
Owing not only to local circumstances but also to the
aimed at neutralizing the influence of the spirits of the dead,
multiform, diffuse character of the myth itself, the perfor-
who are widely believed to be especially dangerous during the
mance of winter carols differs not only from people to people
winter solstice. The Hutzuls, a Ukrainian ethnic group living
but very frequently from district to district inside the borders
in the northeastern Carpathian Mountains, associate carol-
of the same country. Thus while this article shall insist on
ing closely with dance and perform hieratic dances while
the commonality of the custom among the Ukrainians, Ro-
singing the carols. In certain districts of Romania young car-
manians, and Bulgarians, the writer shall also point out cer-
olers would dance with girls after singing the carols in order
tain local peculiarities that eventually could contribute to
to bestow upon them joy and good health. In some areas car-
clarifying the significance of the winter carol.
oling has also been associated with masks. In various districts
As mentioned above, the winter carols are performed
of Romania, for instance, the dance of the Turka or the Stag
during the period of the Christian holy days. According to
(both zoomorphic masks) is performed while, or after, a cer-
certain witnesses, this period was once dedicated exclusively
tain carol is sung.
to winter carols, the performance of other songs being for-
In Bulgaria, Romania, and the Ukraine, the actual per-
bidden. In the past, various benefits were attributed to the
formance of the winter carols takes place on the night of
performance of winter carols during the traditional period:
Christmas Eve, on Christmas Day, and sometimes on New
an increase of the wheat and hemp harvest, welfare and
Year’s Day as well. In certain regions of Romania, groups of
health, the fecundity of the cattle. On the other hand, the
carolers sing a special carol at dawn while facing in the direc-
performance of the carols at other times could harm the har-
tion of the rising sun. The carols may be performed while
vest and impair the health of children. Such opposing ef-
standing by a window outside a house, in the house itself,
fects—beneficial and harmful—occasioned by the obser-
or on the road as the carolers go from house to house. By
vance or neglect of the time period prescribed by tradition
custom the carolers must perform their carols at all the hous-
bears witness to the sacred character of the carols.
es of the village, and in turn the people must welcome and
According to tradition, winter carols are performed by
reward them. The most common gift is a pastry especially
groups of varying composition and organization. Widely dis-
baked for Christmas. It is believed that by eating morsels of
tributed and well structured among the Bulgarians, Roma-
this cake or, alternatively, by burying it in the ground or
nians, and Ukranians are groups composed of young men,
feeding it to cattle, one can ensure the good health of one’s
and this may be considered the predominant traditional
children and animals, as well as increase the fertility of the
type. Some of the traditional rules connected with this type
fields. Possibly related to Mediterranean and Near Eastern
of group emphasize the ritual character of the caroling. Thus
vegetation rituals is a custom recorded at the beginning of
among the Bulgarians, illegitimate children and those having
the twentieth century in certain districts of Romania: At the
a physical defect were not permitted to join the group of
time the young men’s group is disbanded, a simulation of
young men. Archival records and frequent references in the
the death and resurrection of one of the carolers is enacted.
carols to “lads” and “youngsters” show that in the past, at
Finally, at the end of the holiday period, the carolers hold
least in certain districts of Romania, caroling was the exclu-
a banquet to which they invite the girls of the village.
sive prerogative of young unmarried men. In certain districts
Winter carols are classified in different ways. Some are
of Romania, during the winter holy days, the young men of
named in accordance with the time or place of their perfor-
the group were obliged to live together in one dwelling and
mance, for example, “Carol at Night,” “Carol at Dawn,”
avoid sexual relations with women. During the same period,
“Carol at the Window.” Most of the titles refer to the person
young carolers were permitted to behave rather wildly, even
addressed, such as “Carol for a Girl,” “Carol for a Young
to cause minor damage, without being punished.
Man,” “Carol for a Widow.” Very often the titles refer to the
Today the group of young carolers includes married as
profession of the addressee: “Carol for a Shepherd,” “Carol
well as unmarried men. The organization of such groups
for a Plowman,” “Carol for a Midwife,” “Carol for a Priest,”
starts at the beginning of the Christmas fast (November 15)
and so forth. Here and there, in houses where a member of
or at the latest a couple of days before Christmas. On this
the family has died, the carolers sing a special piece called
occasion different duties are assigned to the members of the
“Carol for the Dead.” Such titles, which have become rare
group. Among the Bulgarians, Romanians, and Ukrainians,
in modern times, derive from an earlier period when the car-
it is standard to elect a chief invested with absolute authority
ols were connected with funeral rituals. While some of the
over the group and to name a young caroler whose task will
winter solstice rituals were intended to repel the spirits of the
be to carry the presents that are given as rewards to the carol-
dead, others were aimed at winning their good will by invit-
ers. Among the Ukrainians, the local priest traditionally arbi-
ing them to join the feasts and honoring them with songs,
trated the election of the chief, and the carolers carried the
offerings, and banquets. The belief that during the period be-
cross with them.
tween December 24 and January 6 the souls of the dead
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WINTER SOLSTICE SONGS
9743
come out of their graves and haunt the living is widespread
Another category of winter carols, very possibly pro-
in eastern Europe. In order to appease them, both Slavic peo-
duced by peasant women, may be connected to feminine
ples and the Romanians used to leave a table laden with food
rites. In Romania until World War I a female folk society,
and drink on the night of December 23.
called Ceata Fetelor, preserved traces of initiation rites for
girls, practiced matchmaking charms, and was deeply in-
Despite the Latin etymology of the terms designating
volved in caroling. Apparently similar societies once existed
the eastern European winter carol, the analysis of beliefs and
among other east European peoples as well. Of course, only
rituals that underlie the performance of the genre does not
some of the carols dedicated to unmarried women may be
support the hypothesis of a Roman origin of the custom. It
associated with feminine rites. Most of the Romanian,
may be assumed that the substratum of the winter carol pre-
Ukrainian, and Bulgarian carols in this category bear the
cedes the romanization of the Thracian populations of east-
mark of the traditions and history peculiar to each of these
ern Europe. The regulations regarding the organization of
peoples. Common to all three is the well-known allegory of
young men’s groups, as well as other related features, suggest
the wedding, which presents the bridegroom in the form of
the preservation of vestiges of puberty rituals. Most of the
a hunter who pursues a deer.
rituals and beliefs associated with the gift of the cake to the
carolers, as well as certain remnants of sun worship (e.g.,
The Romanian and Bulgarian repertoires contain a large
“Carol at Dawn”), seem to belong to a much more archaic
number of carols that deal with hunting. Usually dedicated
stratum than do the Roman winter feasts, and they bear
to young men, these carols were no doubt originally connect-
striking resemblances to the northern European celebration
ed with puberty rites. The ritual significance of the hunt as
of winter solstice. One may deduce that the introduction of
a task preliminary to marriage can still be discerned in the
Roman winter festivals would not have entailed the abolition
carols that culminate with the killing of the game. As a rule,
of the local festivals. The coincidence of data and certain
the victim is an edible wild animal, very often a stag, and the
analogies between the two traditions (revels and masquer-
young man plays the part of an accomplished hunter. In a
ades) could not but favor the perpetuation of the local folk
further extension of meaning, the hunter is frequently called
tradition under the emblem of the conquerors. The Romans,
the bridegroom, and the hunt is sometimes viewed as a pre-
for their part, were adept at assimilating foreign customs, rit-
liminary condition for marriages. Particularly relevant for the
uals, and gods through their well-known system of inter-
relation between the hunt and marriage is the ending of this
pretatio Romana. It seems very probable that, due to the po-
type of carol: In its death agony, the wounded animal an-
litical and cultural prestige of the imperial winter festivals,
nounces the impending marriage of the hunter. It follows
local customs relating to the winter solstice, as well as rituals
that the young man hunts as a candidate for marriage and
performed at other periods of the year (such as the agrarian
that the shooting of the game makes him eligible as a bride-
rituals performed on the vernal equinox, the old New Year),
groom.
came to be focused around the new Roman New Year.
In a distinct group of carols, the hunter-quarry relation
The foregoing considerations can be extended through
is associated with the miracle of metamorphosis. The hunter
an analysis of the actual repertoire of the winter carols them-
is confronted by an ambiguous character whose human or
selves, their fundamental types and motifs. Here one en-
social identity is hidden behind the outer form of a wild ani-
counters the same problems that are involved in the descrip-
mal, usually a stag. The creature’s ambiguity is manifest from
tion of the practice of caroling but now at the linguistic level
the very beginning: The stag has white or golden horns (col-
of the carol itself.
ors with a well-known ritual significance); it laughs, sings,
and openly defies the hunter. At the revelation of the ani-
Students of the winter carols generally divide them into
mal’s hidden identity, which entails the recognition of its
two groups: secular and religious. In doing so they mean to
prestige and authority, the hunter silently gives up the hunt,
distinguish between winter carols that were not influenced
sometimes breaking his bow into pieces. Here the hunt be-
by the church and those in which Christian characters or ref-
comes the scene of a young man’s encounter with the sacred.
erences do appear. A good number of both secular and reli-
There is undoubtedly a relation between such metamor-
gious carols contain properly mythological materials, such as
phoses described in the hunting carols, the dances with zoo-
the types of carols that present a non-Christian myth of cre-
morphic masks that sometimes accompany caroling, and the
ation in Christian dress. One type of carol, for example, tells
confrontations with disguised characters that often take place
how, at the beginning of the world, Judas plunged the uni-
in puberty rites.
verse into darkness by stealing the sun and the moon. Saint
John or Saint Elijah then brought the celestial bodies back
In addition to carols focused on hunters, shepherds have
and thus dispersed the darkness. Another type relates how
produced a repertoire of carols of their own. Many of these
God created the world by placing the sky on four silver pil-
are clearly related to rites intended to encourage the growth
lars. Despite the references to saints or to God, the versions
of the shepherd’s flock. Others have a cryptic character. For
of creation disclosed by the winter carol have nothing in
instance, in “Mioritza, the Clairvoyant Lamb,” a carol
common with the biblical account in Genesis and obviously
known only to the Romanians, a shepherd is ritually con-
convey pagan myths about the foundation of the world.
demned to death for reasons that remain obscure.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9744
WINTER SOLSTICE SONGS
While the exact ritual significance of some of the carols
ed with a human being or a dragon. Unlike the animals in
sung within the restricted circle of the shepherds remains un-
the carols that feature the metamorphosis of the hunter’s
clear, the significance of caroling within the context of the
prey, however, these creatures do not pretend to have a hid-
more ample agrarian rituals is more explicit. This is especially
den identity, and consequently they are neither spared nor
true of the Bulgarian, Romanian, and Ukrainian carols.
feared. They are characterized by the harmful role they play.
These carols tell how God, the saints, or the carolers them-
They are considered malefactors not so much because they
selves sprinkle the courtyards and fields with water in order
steal to eat but because of the damage they do. The fish is
to increase the harvest. Quite often, the carol text preserves
blamed less for stealing apples than for spoiling them, and
not only the ritual formula but a descriptive trace of the ritu-
the lion is deemed guilty not only for plundering the vine-
al actions as well:
yard but also of ravaging it.
Water in his mouth he has taken.
Although it is possible to draw a parallel between the
The cornfield he has sprinkled.
wild behavior ascribed to these creatures and the disorders
And thus he spake:
permitted to neophytes in a puberty ritual, it is nevertheless
“Wheat, grow you up to my belt
evident that the relations between the harmful animals and
And you, hemp, up to my armpits.”
the hunter described in this category of carols overstep the
bounds of the ritual. While the hero continues to play the
In the Romanian and Bulgarian repertoires one frequently
part of the hunter, he is at the same time represented as
encounters references to the sun, the sister of the sun, and
the owner of a house or a vineyard or as the protector of an
sometimes to the daughter of the sun. Such personifications
apple tree. Crossing the borderline that separates what is wild
are typical of the sun worship that is proper to cultivators and
from what is cultivated, the harmful animals endanger the
seem to have been connected with the winter solstice celebra-
interests of the farmers. The ritual matrix of the hunting
tion. In certain Romanian winter carols, the sun is presented
carol is reduced to an empty shell in order to make way for
as descending from the sky with a sickle under its arm or as
the message of an agrarian society. The young hero has not
the owner of a ship that harbors the soul of the deceased.
dropped the emblem of the hunter; he has nonetheless be-
Some of the refrains of the Romanian winter carols refer to
come a manifest representative of the farmers’ interests.
the sun, its rays, or the dawn, and in certain contexts the sun
is referred to as “sacred.” It would be impossible to distin-
It was not only the agrarian mentality that brought
guish a category of carols exclusively on the basis of refer-
about change in the winter carol but other factors as well;
ences to the sun or to agricultural rituals. Rather, one finds
first among these was the influence of Christianity, which
such references scattered throughout carols of all sorts—
took several forms. It is probable that the earliest direct influ-
hunting carols as well as those influenced by Christianity. It
ence of the new faith was the introduction of Christian re-
is clear that the point of view and the mentality of an agrarian
frains into the carols. One of the oldest of these is the “halle-
society are predominant in the winter carol and that it is still
lujah,” which one finds preserved in a corrupted form. In a
rooted in prehistory. Nevertheless, an analysis of hunting
more indirect way, Christianity served as a vehicle for con-
carols reveals that many motifs that were passed down from
veying legends and beliefs from the Mediterranean and Near
prehistory were reinterpreted to reflect interests of herdsmen
East to eastern Europe. For instance, the story found in an
and plowmen.
apocryphal gospel, which tells of the Mother of God asking
a palm tree to lend her its shade, reappears in a winter carol,
Even the archaic Romanian carol about the hunters who
where the palm tree has become the poplar and fir common
were turned into stags, a carol that served Béla Bartók in
to eastern Europe. Such apocryphal legends form the basis
1930 as the libretto of his Cantata Profana, did not escape
of many of the carols.
the influence of herdsmen and plowmen. All the versions tell
of an old man who, in teaching his sons to hunt, neglected
Only a part of the corpus of religious carols was inspired
other professions:
by Christian apocrypha spread through the Slavonic-
Byzantine church. Many others combine Christian themes
And he taught them not
with the local folk culture of eastern Europe. Here the dis-
Any kind of trade:
tinction between religious carols and secular carols breaks
Neither husbandry
down. Symbolic of this lack of a clear boundary is a magnifi-
Nor herding of cattle
cent robe, described in the carols as adorned with the heaven-
Only [taught them] hunting.
ly bodies, which may be worn in turn by God himself, by
From the perspective of herdsmen and plowmen, hunting as
Jesus, by a shepherd, or by the boy who, in the carol, is cho-
an exclusive profession becomes a culpable activity.
sen as chief of the army. Similarly, the fusion of Christian
motifs with older beliefs could result in surprising, hybrid
Another important change can be seen in another set of
characters. Judas, for instance, may be equated with a subter-
carols in which the hunter is confronted with strange ani-
ranean demon, with a serpent, or with an aquatic monster.
mals: Not only miraculous stags but also fish that jump out
of the sea in order to graze on flowers or pick apples, or
One occasionally encounters carols that betray a degree
(among the Romanians) a lion endowed with horns or equat-
of tension between Christianity and the folk mythology.
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WINTER SOLSTICE SONGS
9745
Thus in some of the hunting carols a stag pretends at first
In practice, the carol is always addressed to a specific
to be Saint John, and then denies it and reveals itself to be
person, and the name of this person is usually assigned to the
a sacred beast that measures the earth and the sky. In a large
hero in the carol. Thus the hero who shoots the stag or cap-
number of the carols, however, there is no such tension. Jesus
tures the lion in the carol is symbolically identified with the
is depicted dancing with the sister of the sun, Saint Nicholas
person at whose house the carol is performed. A happy end-
saves the ships of the sun from sinking, and the birth of Jesus
ing is dictated by the logic of the ritual: In order to confirm
is announced by a fairy. In the mild climate of folk Christian-
and support the wish expressed in the congratulation formu-
ity, which survived until quite late in eastern Europe, the as-
la, the hero, identified with the addressee, must attain victory
sociation of the saints with mythological characters was nei-
and receive its rewards. It is to be noted that today this ritual
ther resented nor felt to be inappropriate or desecrating.
symbolism is perceived as a mere stylistic device, however,
One of the most straightforward forms of interaction
or as an homage paid to the host.
between Christianity and folk motifs was the simple substi-
There are, of course, exceptions to the aforementioned
tution of Christian saints for earlier mythological figures. At
canons. Some of these are the result of the carols’ different
a deeper level, however, the Christian ideas of sin and pun-
ritual functions. As noted, the winter carol can also have a
ishment could occasionally give a new meaning to both the
funerary function. In the carols for the dead the rule of the
motivation and the denouement of the original myth.
happy ending must naturally be canceled. Other exceptions
Judging by a textual analysis of the carols and related
are to be explained on the basis of the process of a carol’s
documents, it appears that the process of the christianization
composition. Compiled in stages and from different sources,
of the carols has intensified in the last three or four centuries
a carol sometimes includes characters or sequences incongru-
as a consequence of the increased influence of the church.
ous with the canons of the genre. The saints, for instance,
Yet one can detect in the carol repertoire an old Christian
cannot be identified with the addressee of the carol and con-
nucleus. The fact that some of the “religious” types conform
sequently cannot take on their names. Various devices are
well to the patterns of the genre and bear folk titles apparent-
employed to circumvent such difficulties. Thus in various
ly proves their penetration into the winter carol’s repertoire
Christian carols, in order to comply with the canons of the
at an early date. Among these old Christian carols we may
genre and at the same time avoid desecrating the sacred char-
mention the type that represents Jesus surrounded by sheep,
acter of the saints, a human character is introduced—usually
a type eventually inspired by the early Christian symbol of
“the Good Man”—who receives the name of the addressee.
the good shepherd, and those that tell of a monastery by the
The vision presented by the winter carol is one in which
sea or describe the Mother of God with the baby Jesus in her
harmony and peace reign over the world. The heroes appear
arms.
in a halo of happiness, beauty, and glory, and conflicts are
What one might call the “poetics” of the genre of the
attenuated or resolved. Even tragic endings are accompanied
winter carol is in fact an ensemble of canons closely connect-
by serene images: In “Mioritza, the Clairvoyant Lamb” the
ed with the ritual function that the winter carol is intended
moon keeps watch over the corpse of the slain shepherd, and
to serve. Each carol consists of two parts: a first part that is
according to a winter carol on the theme of the foundation
sung, and that includes one or more descriptive or narrative
sacrifice, the baby of the immured victim is not abandoned
sequences, and a second part that is spoken, and that includes
but is nursed by full-uddered deer that descend from the
a congratulation formula.
mountains.
Although relatively concise and placed at the end of the
The sparkling festive atmosphere peculiar to the winter
carol, the congratulation formula was of the utmost impor-
carol is enhanced by a profusion of gold and white (both
tance. In a context where ritual formulas were believed to
originally magical colors) that pour over the most humble
have concrete effects, the wish expressed through the con-
objects and turn them into sources of light and wonder. The
gratulation formula was not intended as the mere expression
broom, for instance, is made of gold, as is the spindle and
of a desire but as a means of influencing reality.
the cradle, while the sea and the heath are all white.
The first part of the carol is in a sense the incarnation
Typical of the winter carol is its refrain. Although part
of the wish expressed in the congratulation formula. Thus,
of the refrains that survive are preserved in distorted versions,
the carol’s descriptions and narratives present a series of
one occasionally detects certain analogies with the invoca-
models, which may be ritual, social, heroic, professional,
tions. The refrains, as well as the versification in general, are
moral, or physical. Like the fairy tale, the winter carol con-
closely intertwined with the melody, which, by itself, de-
veys the singer or listener into a world where dreams come
serves the highest interest of the specialist.
true. But contrary to the fairy tale, which projects the wish
into the realm of fiction and places the events in a remote
From a stylistic point of view one may distinguish two
age, the winter carol presents one with a concrete and imme-
types of carols: the Ukrainian type, which has a pronounced
diate model of an ideal of life or behavior, an ideal that is
descriptive character and long final formulas, and the Roma-
supposed to be realized through the compulsory influence at-
nian-Bulgarian type, which includes epic segments and closes
tributed to the congratulation formula.
with concise formulas. The stylistic and typological analogies
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9746
WINTI
between the Romanian and Bulgarian repertoires suggest
BIBLIOGRAPHY
that the basic form of the eastern European winter carol was
Bartók, Béla. “Melodien der rumänischen Colinda (Weihnachts-
the creation of the Thracians, on either side of the Danube.
lieder).” In Ethnomusikologische Schriften Faksimile Nach-
The fact that a number of mythological carols are common
drücke, vol. 4. Budapest, 1968.
to the Ukrainians, Romanians, and Bulgarians suggests that
Bartók, Béla. Rumanian Folk Music, vol. 4, Carols and Christmas
the Slavs took the custom of the carol from the Thracians
Songs (Colinde). Edited by Benjamin Suchoff. The Hague,
at an early date, enriched it with their own traditions, and
1975.
dispersed it over a wide area. The rich and original character
Bïrlea, Ovidiu. “Colindatul ïn Transilvania.” In Anuarul
of the Romanian repertoire recommends it as the best source
Muzeului etnografic al Transilvaniei pe anii 1965–1967. Cluj,
for study of the genre.
Romania, 1969. One of the most valuable contributions to
the literature.
This general survey of the complex elements involved
Brailoiu, Constantin. “Sur une ballade roumaine (La Mioritza).”
in the performance and texts of the eastern European winter
In Problèmes d’ethnomusicologie. Geneva, 1973.
carol requires that certain distinctions be made. Thus one
Bratulescu, Monica. Colinda Româneasca. Bucharest, 1981. The
may conclude that if the Christian influence is rather insig-
most complete work on the subject. Offers a typological and
nificant at the level of the customary practices associated with
bibliographic index with important sections translated into
the carol, it cannot be neglected at the level of the text. With-
English.
out shattering the mythological basis of the genre, the church
Caraman, Petru. Colindatul la Români: Slavi si alte popoare. Bu-
succeeded in giving a Christian hue to a portion of the winter
charest, 1983.
carol repertoire and, here and there, exerting an even strong-
Dragoi, Sabin V. 303 colinde cu text si melodie. Craiova, Romania,
er influence. The part played by the congratulation formulas
1925.
in the structure of the carols may be seen as an echo of the
Eliade, Mircea. Zalmoxis, the Vanishing God: Comparative Studies
Roman custom of exchanging congratulations on the occa-
in the Religions and Folklore of Dacia and Eastern Europe. Chi-
sion of the Calendae Ianuari. But in the empire’s eastern
cago, 1972.
provinces, the Roman New Year provided only a new label
Usener, Hermann. Das Weihnachtsfest. Bonn, 1889.
and framework for the well-rooted autochthonous celebra-
tion of the winter solstice.
MONICA BRA˘TULESCU (1987)
Judging by certain aspects of the custom, and by refer-
ences within the texts, the eastern European winter songs
WINTI SEE AFRO-SURINAMESE RELIGIONS
seem to have served as incantations directed against the evil
influences of the dead and to have included elements of sun
worship. Viewed from this perspective, the eastern European
carol still displays its link with the ancient rituals of the win-
WISDOM. The term wisdom has been used with a great
ter solstice, but it has a diffuse ritual character. It incorporat-
variety of meanings in the course of history. A survey quickly
ed not only the winter solstice rituals but also rituals of pu-
shows that every culture has or has had its ideal of wisdom
berty, agrarian rituals of the vernal equinox, and the rituals
and recorded it in oral or written sapiential literature. In par-
and myths of the New Year.
ticular, the relation, both historical and systematic, between
wisdom on the one hand and religion and philosophy on the
In the folk traditions of eastern Europe the winter carol
other, varies a great deal. This article can give only a limited
represents one of the oldest cultural strata. In it are found
selection from the broad range of sapiential traditions and
the vestiges of prehistoric rituals and cosmogonic myths, and
ideas.
this fact alone makes it important to the history of religions,
GENERAL TERMINOLOGY. As far as we can judge from the
ethnology, ethnomusicology, and linguistics. But the winter
terms used and their history, wisdom was originally a practi-
carol is more than a fossilized genre that provides data for
cal matter, namely “insight” into certain connections existing
the reconstruction of an earlier age. It has conveyed elements
in human life and in the world and modes of behavior de-
of myth and ritual that express fundamental experiences of
rived from this insight and put into the service of instruction
humankind and thus still appeal to the contemporary reader.
and education. The Indo-European root of the word wisdom,
Moreover, the eastern European winter carol contains more
*ueid-, connotes “perceiving, seeing” (compare Greek idein,
than ancient myths and rituals; over the centuries, it has inte-
“idea,” and Latin videre, “to see”). The German language has
grated a vast range of motifs into a complex synthesis. It may
preserved the ancient connection between Weisheit
be fairly judged to be one of the purest voices that, emerging
(“wisdom”), Wissen (“knowledge”), and Wissenschaft
from the depths of magical belief, ever reached the heights
(“science”). A person’s wisdom depends on what he or she
of poetry. Had it not been embedded in provincial lan-
has seen and thereby come to know. It is therefore a practical
guages, the eastern European winter solstice song would have
knowledge, the primordial shaper of human behavior toward
long ago joined the choir of those perennial songs inspired
the environing world (to the extent that this knowledge re-
by faith that delight and strengthen the spirit of humankind.
sists the pressures for immediate action). The same practical
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WISDOM
9747
element is manifest in other cultures as well. Thus the He-
Pythagoras and was then taken over by Plato and Aristotle,
brew h:okhmah has to do with “skill, ability” (h:km); the Akka-
who gave it its normative meaning. It is clear that the projec-
dian némequ with “dexterity and skill”; Greek sophia with
tion of the Platonic conception of philosophy and science
“cleverness” or “skill” in any of the arts or professions of life
back onto Pythagoras meant a reinterpretation of the latter’s
(carpentry, medicine, poetry, music, etc.). The Akkadian
simple, prescientific notion of wisdom. Pythagoras was un-
word for a teacher of wisdom or learned person, ummanu,
doubtedly a teacher of wisdom, not a scientist or mathemati-
was borrowed from Sumerian and originally meant “master
cian in the later sense of these words; his explanation of the
craftsman.” The cultivation and transmission of cumulative
cosmos had at its center a number symbolism that could not
experience in coping intellectually with the world was done
yet be called scientific, since in it number, ritual, and doc-
mainly in schools that were the seedbeds of literary culture
trine of the soul still formed a unity (Burkert, 1972). In any
and the forerunners of the later “schools of wisdom” or uni-
case, philosophy retained its practical meaning of “way of life”
versities. Oral tradition was likewise controlled by specific
down through the centuries and has not lost it even today.
groups that were responsible for the maintenance of
Ancient Greek wisdom, documented in gnomic poetry (He-
tradition.
siod, Mimnermos, Solon, Phocylides, Theognis), with its
WISDOM, RELIGION, AND PHILOSOPHY. If religion can be
simple key idea of “moderation” (m¯eden agan) or “fitness of
broadly conceived as a way of coping, theoretically and prac-
act to time and situation” (kairon gno¯thi), found its extreme
tically, with the problems of the world, nature, and society,
application in the so-called Sophists, who converted wisdom
then wisdom is one part of this effort. In fact, wisdom and
(sophia) into practical rationality and thereby brought its
the various contents of the religions have historically been
dangers to light for the first time. In contrast to the Sophists,
closely connected. Wisdom was regarded as an area of reli-
Socrates avoided the concept of wisdom and reserved this
gious tradition and derived its authority from its relation to
quality for God alone (Plato, Apology 20–22). For Plato wis-
particular gods (especially the sun, as in Mesopotamia and
dom was the supreme virtue (Republic 441c–d). Aristotle dis-
Egypt) or religious principles (e.g., concepts of world order,
tinguished between the practical wisdom of everyday life
such as the ancient Egyptian maat). In this form, wisdom
(phron¯esis) and speculative wisdom (sophia), which concerns
contributed to the development of theological thought and
itself with “first things” (Nicomachean Ethics 4.5.2, 15.1.5).
is part of its history (“priestly wisdom”). Particular divinities
The distinction marked the transition to systematic wisdom,
were venerated in cult and magic (the two are difficult to dis-
or philosophy. Nonetheless, in the history of philosophy its
tinguish) as protectors or representatives of religious knowl-
ancient root—“wisdom for living”—has repeatedly surfaced;
edge (Ea and Marduk in Babylonia, Ptah in Egypt). The le-
in particular it has found ever new expression in ethical sys-
gitimation of wisdom by more or less religious figures, such
tems and endeavors (e.g., those of Spinoza, Kant, Fichte, and
as kings, teachers, and priests, belongs in the same context.
Schopenhauer). In his Wörterbuch der Philosophie ([1910–
We know instances of wisdom being personified as a divine
hypostasis (e.g., in Buddhism, Judaism, gnosticism, Zoroas-
1911] 1980, vol. 1, p. 446), Fritz Mauthner formulates the
trianism). In many religions wisdom is an attribute of the di-
difference between wisdom and practical “prudence,” and
vinities; in monotheistic religions it is an attribute of the su-
between wisdom and philosophy or science with their goal
preme God. The wisdom of God transcends that of human
of theoretical knowledge, as follows:
beings and makes it pale into insignificance; in Christianity
In my opinion, wisdom seems to mean not only that
the wisdom of God even turns human wisdom into folly (see
those who have this quality, possession, or way of think-
below). This Christian revaluation of the value set upon wis-
ing are able on every occasion to act or think with rare
dom in antiquity did not, however, lead to an abandonment
prudence in pursuing their theoretical or practical goals;
of wisdom but to its relativization and to a radical transfor-
it means that in addition they are able to judge the value
mation of the whole concept.
of the theoretical and practical goals in question. It also
means perhaps that such persons act according to their
This more or less positive relation between wisdom and
judgments. Schopenhauer was certainly a philosopher
religion is only one side of the coin. Just as often, wisdom
but hardly a wise man. Montaigne was a wise man but
went its own way alongside official religion; it was even, as
not really a philosopher. We think of Socrates as being
in the ancient Middle East, in tension or conflict with it. To
both wise man and philosopher.
the extent that this was true, it was a profane, secular way
of coping with the world that avoided or excluded any appeal
PROBLEMS OF A TYPOLOGY. Since it is not possible at present
to traditional religious entities (gods, cult, priests). It thus
(or ever, in my opinion) to write a history of the various ideas
paved the way for philosophical and ultimately also for scien-
of wisdom, scholars have quickly settled for providing at least
tific thinking (see the etymological connection mentioned
a typology of the concepts of wisdom. Wisdom has taken
earlier between the German words for wisdom and science).
these broad forms: an anthropological ability to cope with
This development is most easily seen among the Greeks,
life (the oldest and most widespread form); a rational system
where the concept of philosophy, or “love of wisdom,” took
(interpretation of the cosmos, philosophy, beginnings of sci-
shape. According to tradition (Diogenes Laertius, 1.12; Cic-
ence); and a personification, hypostasis, goddess, or attribute
ero, Tusculanae Disputationes 5.3.8) the term went back to
of God.
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WISDOM
Any attempt at greater detail becomes mired in the
be explained by evolution (from an original common posses-
problems of the given historical context. It is possible, for ex-
sion) or by diffusion (through spread and borrowing) cannot
ample, with Edward Conze to compare the Buddhist
be further answered. There are many arguments for the sec-
(Maha¯ya¯na) Prajñapa¯ramita¯ (“perfect wisdom”) with the fig-
ond hypothesis, but the first theory can also be helpful in ex-
ure of Sophia in early Judaism and to find surprising similari-
amining many cultures. In any case, both forms of develop-
ties (Conze, 1968, pp. 207–209). There are even chronologi-
ment can be seen at work in the course of history (the ancient
cal correspondences: the hypostatization of both ideas of
Near East is a classic example of the borrowing of wisdom
wisdom began about 200 BCE and yielded similar concep-
traditions). The important thing, however, is what particular
tions. Yet differences of content are unmistakable:
cultures, literatures, and religions did with the common trea-
Prajñapa¯ramita¯ is a personification of Buddhist insight into
sury of wisdom; these results are attractively multifaceted and
the “emptiness” of the world and has no connection with an
pluralistic.
idea of God; the Jewish Sophia became a divine hypostasis
THE MANY FORMS OF WISDOM. Space allows only a limited
that can also be mediator of creation and identifiable with
survey of some of the principal forms taken by ideas of wis-
the Law (Torah). The situation is the same with parallels be-
dom. The emphasis will be on the ancient Near East, which
tween Egyptian, Mesopotamian, and Iranian ideas of wis-
decisively molded the image of wisdom (transmitted through
dom, each of which retains its own special character and can-
the biblical heritage). Only a brief glance can be taken at
not be wholly assimilated to the others and made to coincide
India and East Asia, which developed an independent form
with them. By and large, the only common element is the
of wisdom that has influenced the culture and life of these
shift in the thematization of wisdom from an anthropologi-
peoples down to our own day.
cal skill to a central religious figure or person who mediates
wisdom. In this shift wisdom changes from subject to object;
Mesopotamia (Sumer and Babylonia). The Near East
an anthropological capacity for insight becomes a form of
possessed expressions of wisdom at a very early date, al-
revelation about the cosmos or God. The content of wisdom
though these did not lead later on to a unitary concept of
as insight into the coherence of the world and life takes on
wisdom. The dominant element in this wisdom was skilled
a religious and, to some extent, esoteric character (as in the
proficiency in insightful understanding of the world, human
Wisdom of Solomon, gnosticism, and Maha¯ya¯na Buddhism).
beings, and society. No one doubted the divine origin of wis-
This development did not occur wherever ideas of wisdom
dom, even if an increasing awareness of the difference be-
existed (thus except for Israel and Iran it did not occur in
tween divine and human wisdom manifested itself in later
the Near East or in Greece). It looks as if a necessary condi-
literature and led to a crisis in the wisdom tradition. The
tion of this development is the existence of a canonical litera-
basic idea of the wisdom tradition was what scholars have
ture that accepts the idea of wisdom. “Revelation” is identi-
named the “act-consequence connection,” that is, the early
fied with wisdom inasmuch as wisdom becomes the content
insight that specific actions have or can have specific conse-
of revelation and as a result either heightens the importance
quences in the lives of human beings. People attempted to
of canonicity or permits an extension of canonicity (as, for
find rules of behavior by observing their human environ-
example, in the Prajñapa¯ramita¯ literature or the gnostic
ment, but they did not advance as far as systematic reflection
writings).
or even develop an ethic of behavior (this step was left for
the Greeks and the Chinese). Their observations, handed
This literary documentation for the idea of wisdom
down in the form of aphorisms, provided valuable counsel
makes possible some typological classifications that should
for kings, officials, and scribes. The storehouse for this wis-
not be overlooked. Thus the “typical” wisdom genre is the
dom was the school, and its teachers were the scribes, who
gno¯me (Lat., sententia), that is, the tersely formulated “sen-
were therefore regarded as wise beyond others. Wisdom de-
tence” or maxim, or, more generally, the proverb. The oldest
rived its authority from its being traced back to divinities (es-
collections of wisdom traditions are collections of proverbs
pecially Utu, Shamash, Ninurta, Enki, Inanna) or prehistoric
that can be developed into literary works on the theme of
wise men (Shuruppak, Gilgamesh). Because of its origin and
wisdom or can at least supply material for such (“teachings,”
approach this wisdom had a eudaimonistic and at times even
“disputations,” dialogues). Omens, riddles, fables, parables,
a mantic character, but in the late period it turned pessimistic
and metaphors are also frequently storehouses of wisdom.
and skeptical. The dogma of the act-consequence connection
Wisdom is thus not limited to a particular literary form, al-
to a great extent prevented the raising of new questions;
though it is closely linked with the proverb and maxim. Its
when these were finally asked they led to a helpless skepti-
origin in the oral tradition of the preliterary period of history
cism (the problem of Job, the suffering just man; the prob-
can be demonstrated only through inference from the pres-
lem of a just world order). Modesty, uprightness, consider-
ence of such traditions among contemporary nonliterate
ation for others (love of neighbor), and deliberation were the
peoples. There is hardly a people that does not possess some
principal virtues; their cultivation brought life, happiness,
stock of wisdom traditions; this stock is the source of wisdom
children (sons), and God’s providential care.
in the original sense of the term. Its beginnings are lost in
the darkness of prehistory. The question whether the often
The decisive force in the development of ancient Meso-
asserted “international” character of wisdom literature is to
potamian wisdom was that of the Sumerians. The Akkadians
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WISDOM
9749
for their part mainly translated, transmitted, and interpreted,
cial relationships or it already connected consequences with
while adding a few new forms of their own (Wisdom of Ahi-
specific actions that were either recommended or disap-
kar, omen literature). The beginnings of wisdom are to be
proved. Unlike the Mesopotamians, the ancient Egyptians
found in the early “lists” or “inventories” in which language
developed the concept of a cosmic order (maat) that became
was used as a means of “inventorying” the world and thus
basic to the idea of wisdom. The goddess Maat was a daugh-
to some extent ordering or systematizing it. This kind of wis-
ter of Re, the sun god, and symbolized truth, justice, and
dom has therefore been called “list wisdom” and understood
order in cosmos and society. The pharaoh was her represen-
as a first approach to scientific effort (Soden, 1936). More
tative on earth. The wise had to act like Maat; agreement
developed approaches led from a simple listing of objects to
with her bestowed success, disagreement brought punish-
an appraisal of them; this has come down to us in the form
ment (unhappiness). Subordination to Maat was therefore
of disputations (literature of disputes over relative values).
the mark of the wise. Wisdom supplied the needed rules,
This kind of wisdom has been described as “value wisdom”
which were based on tradition and experience (which includ-
(Hans Heinrich Schmid, Wesen und Geschichte der Weisheit,
ed successive reinterpretations). Examples of wisdom or, as
Berlin, 1966). The rise of proverbs relating to occurrences
Egyptologists prefer to say, of “counsels” or “instructions,”
in nature and society brought for the first time the formula-
go back to about 2800 BCE. Only the names of the earliest
tion of simple factual situations (called therefore the “wis-
have come down to us (Instructions of Imhotep, Instructions
dom of events”). This stage paved the way for wisdom say-
of Djedefhor). The Instruction of Ptahhotep is the oldest sur-
ings in the narrower sense. The latter emerged from
viving document of this genre (fifth dynasty). It is filled with
observation of human behavior (initially without thematiz-
optimism about the order (maat) that exists and is known
ing the act-consequence connection), first in proverbs and
and with an unbroken confidence in the act-consequence
then clearly in various “counsels,” which unfortunately have
connection. Modesty, uprightness, self-control, subordina-
come down to us only in fragmentary form (Counsels of Shu-
tion, silence, are virtues of the wise. The idea of the silent
ruppak, Counsels of Wisdom). Wisdom gradually made its way
sage influenced Egyptian biographical literature. Citations
into various other genres; meanwhile links were also estab-
from the wisdom literature can be demonstrated in numer-
lished between wisdom and ideas of a socio-ethical and legal
ous inscriptions.
kind from royal and legal texts (e.g., conceptions of protect-
ing the weak, widows, and orphans; doing good and hating
Most of the remaining “instructions” are from the Mid-
evil; practicing righteousness). Wisdom thus sought to for-
dle Kingdom (c. 2135–1660 BCE) and are “tendentious writ-
mulate and thereby give insight into the basic rules governing
ings” that discuss problems of wisdom and are therefore also
the cosmos. The gods had established a just world order; it
called “disputation literature.” Among them are the Instruc-
was for human beings to learn this order and act accordingly.
tion for Merikare (tenth dynasty), in which the first mention
The challenge to this outlook by, for example, historical
is made of the judgment of the dead; the Instruction of King
events led to a crisis of wisdom, since the act-consequence
Amenemhet to His Son Sesostris (twelfth dynasty), which was
connection came into question and the theme of the “suffer-
probably a model for Proverbs 22:17–24:22, although the
ing just man” became topical. This was the subject of the
former is more pessimistic and materialistic; and the Instruc-
“Job poems,” which followed the “complaint and response
tion of Cheti, Son of Duauf, a piece of publicity for the civil
paradigm” (ersha-hunga). To this genre belong the following:
service. The threat to the old order shows through in the Ad-
Sumerian Job, the Poem of the Righteous Sufferer (also called
monitions of an Egyptian Sage and the Protest of the Eloquent
I Will Praise the Lord of Wisdom [Ludlul bel nemeqi], from
Peasant.
its opening words), the Babylonian Theodicy, and the satirical
To the period of the New Kingdom (c. 1570–1085 BCE)
Dialogue of a Master and Slave (or Dialogue of Pessimism),
belong the Instruction of Ani (eighteenth dynasty), which de-
which probably does not belong to the wisdom literature but
fends traditional authority against criticism, and the Instruc-
is nonetheless very informative in regard to it. The conclu-
tion of Amenemope (twenty-second dynasty), which is strong-
sion reached in these works is that God’s action is inscrutable
ly pietistic and calls for humility toward the hidden rule of
and his wisdom different from that of human beings. The
the sun god. From the late period (first millennium CE) we
act-consequence connection is pushed into the background
have only the very homespun Instruction of the Papyros Ins-
but not abandoned, since insight into the order governing
inger and the instruction of a certain Ankhsheshonk. Charac-
the world is denied to human beings. In all this we can see
teristic of later wisdom (from the eighteenth dynasty on) is
wisdom in the process of leaving our earth and becoming a
the realization, in Egypt no less than in Babylonia, of the
supratemporal system and part of the divine world (to which
limitations of human knowledge and the freedom of the di-
in fact it had always belonged).
vinity; this meant that the act-consequence connection,
Egypt. Unlike Mesopotamia, Egypt did not have a “list
though weakened, was not completely abandoned, but was
wisdom” as a preliminary stage of wisdom; instead the sapi-
considered to reside in the impenetrable recesses of the god-
ential saying (maxim) served as the starting point of a wis-
head. Authority, tradition, humility, circumspection, and si-
dom literature (the various “counsels”). The sapiential saying
lence continued to be themes of wisdom. In fact, in the late
either contained a simple statement about the world and so-
period wisdom and piety came to be more closely identified.
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WISDOM
Maat yielded to the godhead (Re). Devout individuals had
world, an appeal is made at this point to the inscrutability
as their partner no longer Maat but God; God became the
of God (see Jb. 40), a solution that is accepted in later Juda-
guarantor of the act-consequence connection, which was
ism. At the same time, however, a return to the ancient, au-
hidden from the devout but which they nonetheless humbly
thentic concept of wisdom is urged (Jb. 38–39): understand-
accepted as existing. Wisdom now consisted in this knowl-
ing of the world consists in the acknowledgement of its given
edge of God and his free will, a knowledge that was familiar
order, even though insight into it is limited. The most radical
to the Bible and probably exerted an influence on it. For that
break with the wisdom tradition comes in the Hellenistic pe-
matter, a monotheistic or henoheistic current runs through
riod in the person of Qohelet (the purported author of Eccle-
the entire wisdom literature.
siastes), who abandons the act-consequence connection as a
means of insight, is skeptical about an order in the world,
Ancient Israel, Judaism. Israelite wisdom literature
and demonstrates the meaninglessness of human existence.
(Proverbs, Job, Ecclesiastes) underwent developments compa-
Wisdom is no longer available in this world (see also Jb. 28).
rable to those in Babylonia and Egypt. In its earliest, preexilic
Reverence is still shown toward creation and its distant cre-
form, wisdom is here, as in the ancient Near East generally,
ator, but the “historicality of human existence” and its transi-
not specifically religious but focused on the act-consequence
tory character are thematized for the first time. Qohelet of-
connection in the cosmos and in individual lives (see Prv.
fers no solution for the crisis; the world and human beings
22:13–23:11). It is not opposed to faith in Yahveh but on
remain unintelligible.
the other hand has only peripheral contacts with it (see Prv.
This situation, which we meet only in the Bible, had
16:1–22, 16:28–29). Yahveh, like the ancient Near Eastern
consequences that probably led to the disintegration of the
and Egyptian sun god, is guarantor of the cosmic order that
biblical worldview in gnosticism. But Jewish apocalypticism
governs the lives of human beings. Wisdom is primarily con-
too had some of its roots in wisdom: the removal of wisdom
cerned with this-worldly questions affecting the order and se-
from the world led to an eschatological hope; the introduc-
curity of human life; observation and insight into what goes
tion of dualism into the cosmos (see above) led to the apoca-
on in the world and society play their part here. From a liter-
lyptic doctrine of the two kingdoms; historical events had de-
ary standpoint the proverb or maxim is the basic form of
prived the scribes, who were the transmitters of wisdom, of
transmission (Proverbs, Ecclesiastes; later on, the Book of Ben
their ancient theater of operations, the royal court, and they
Sira and the Wisdom of Solomon). Ascription to Solomon
dreamed of its future restoration. Gnosis and apocalyptic
(c. 970 BCE) has a historical basis to the extent that interna-
were connected.
tional communication (especially with Egypt) flourished
during that period (see the First Book of Kings 5:9–14). From
Hellenistic influence probably played a part also in the
that time on in Israel, as elsewhere, the “wise man” (ish
complete transformation of the figure of wisdom
h:akham) had his place alongside the priest and the prophet,
(H:okhmah). It becomes a suprahuman, otherworldly per-
and the area of tradition with which he dealt soon became
sonage, a divine hypostasis (Prv. 8:22–31; Ben Sira 4:11–19,
one of the most important in Israelite literature (see Ben Sira
24:3–22; Wis. 6–9), a mediator of revelation and creation
24:3–7).
(Prv. 3:19, Ben Sira 24:3); it is even identified with the
Torah, or Law, as the content of the word of God (Ben Sira
In its historical development this literature reflects shift-
24:8, 24:23; 1 Bar. 3:9–4:4). It takes on the traits of a god-
ing approaches to wisdom until the latter’s crisis and disinte-
dess (perhaps Isis Panthea) and, as Lady Wisdom, becomes
gration (Job, Ecclesiastes). To begin with, ancient wisdom is
the antagonist of Lady Folly, another personification, mod-
increasingly theologized, that is, connected with the Yahvis-
eled on Aphrodite or Astarte (Prv. 7:9–13, 9:1–18). “Kin-
tic faith, but also systematized or dogmatized and reduced
ship” with her, such as the just or the wise have, bestows im-
to a series of anthropological contrasts (see Prv. 10–15). The
mortality (Wis. 6:17) and even makes one like God (Wis.
wise and the foolish are turned into contrasting types, as are
6:18). This shift from a horizontal role, as an anthropological
the devout and the ungodly, the sensible and the ignorant,
skill in understanding of the world, to a vertical role leads
and so on. The act-consequence connection changes (in the
in the Wisdom of Solomon (first century BCE) and then espe-
post-exilic period) to a connection between behavior and its
cially in the work of Philo Judaeus (first century CE) to the
results (Prv. 10:30, 11:3–4). Corresponding dualistic traits
idea of wisdom (Gr., sophia) as an otherworldly figure acces-
make their appearance as human beings are divided into the
sible only through esoteric “knowledge.” Communication
just and the wicked, and the cosmos into good and evil, just
with this distant heavenly wisdom is accomplished in the
and unjust. Wisdom itself withdraws into heaven and is per-
philosophy of Philo through the Logos (the divine intelligi-
sonified (see below). The ancient program of wisdom, which
ble word), which represents “wisdom close to us.” Sophia is
urged insight into human beings and the world through ob-
thus accessible only through revelation and knowledge of the
servation and its application, comes under the control of
Logos. It is no longer available in this world, but has van-
strict monotheism and the doctrine of creation, both of
ished from it (Ethiopic Apocalypse of Enoch 42:1–8, 4 Ezr.
which leave little room for independent human thought. As
5:9–10, Syriac Apocalypse of Baruch 48:36). At this point the
a result, the crisis of dogmatized wisdom becomes radical and
way is already being paved for the gnostic conception of
leads in the Book of Job to its rejection. As in the Babylonian
wisdom.
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9751
CHRISTIANITY AND GNOSIS. Early Christianity accepted the
counts and original (Nag Hammadi) texts, Sophia is a com-
early Jewish conception of wisdom at various levels. On the
panion of the most high God; more precisely, she is the
one hand, the early Jesus tradition (the purported source of
feminine aspect of his first manifestation or emanation,
the sayings of Jesus, known as the Q source) took over the
whose masculine aspect or consort may be identified with the
ancient Israelite proverbial wisdom (explicit reference is
Primal Man, the Son of man, or Christ (Seth). A second,
made to Solomon in Mt. 12:42, Lk. 11:31); on the other
lesser Sophia must also be included in the series of “syzygies”
hand, Jesus himself is understood as the embodiment of wis-
(paired aeons) that derive from the first pair. Other pas-
dom (Lk. 7:35 and parallels; cf. Mt. 23:34–36 with Lk.
sages— and these are in the majority—describe Sophia vari-
11:49). He is “filled with wisdom” from his childhood (Lk.
ously as one of the final aeons: the one that, as mother of
2:40, 2:52) and surpasses even Solomon in this respect (Mt.
the demiurge (Ialdabaoth), is indirectly involved in the fate
12:42, Lk. 11:31). His deeds and teachings demonstrate his
of the created world. But she is simultaneously active in the
wisdom (Mk. 6:2, Mt. 13:54). Scholars therefore speak of a
work of redemption, repairing the harm done by the loss of
“wisdom-Christology” as one of the earliest forms of christo-
the spark of light, inasmuch as Sophia herself, split into two
logical statement. In the letters of Paul wisdom plays an im-
parts—an upper and a lower, a greater and a lesser, a part
portant role in his dispute with the community in Corinth
of life and a part of death, of truth and of lie, or simply as
(1 and 2 Corinthians), where a wisdom that was probably al-
Sophia and Achamoth (the Aramaic word for “wisdom”)—
ready interpreted in a Gnostic manner was being preached
suffers in an exemplary fashion the fate of the fall and re-
and was finding expression in ecstatic utterances (revela-
demption. This version is characteristic of the so-called Bar-
tions). In response, Paul conceives the momentous idea that
belo Gnostics and of the Valentinians; it is also attributed
Christian wisdom, represented by the Redeemer, is foolish-
to the Cainites and the Ophites, as well as to the Sethians.
ness (mo¯ria) to the world, this wisdom being the cross that
Several texts from Nag Hammadi also belong here (e.g.,
as sign of the “weakness of God” (1 Cor. 1:25) is the very
Apocryphon of John, Hypostasis of the Archons, Gospel of the
sign of his “strength.” God has destroyed “the wisdom of the
Egyptians, Trimorphic Protennoia). Gnostic wisdom (sophia)
wise” and turned it into “foolishness” (1 Cor. 1:18–22,
serves to express many sides of gnostic thought. It serves as
2:6–8). In the presence of the true wisdom of God, which
an image of the self-estrangement of God in emanation and
has been revealed in Christ, the traditional wisdom of this
reflection; thus it represents the feminine aspect in God,
world has been reduced to naught, but at the same time it
while leaving his perfect unity undiminished. But Wisdom
has also been fulfilled. Those who believe in Christ possess
is also (as aeon) the consort of the Savior and is intimately
“the power of God and the wisdom of God” (1 Cor. 1:24,
connected with both demiurgic (cosmological) and soterio-
1:30, 2:10–12, 3:18). Old Testamental and Jewish wisdom
logical processes. This has nothing to do with feminist ideas;
literature of two centuries before the common era is here
behind it, rather, stands the heritage of the Jewish wisdom
given a completely new interpretation and thereby rescued
tradition in its later form.
from the crisis into which it had fallen; on the other hand,
limits are also set for any future Christian conception of wis-
Iran and Zoroastrianism. It is often forgotten that Iran
dom. The critical acceptance of ancient wisdom traditions
too has produced an extensive wisdom literature that goes by
and the ambivalent response of Christian theology to philos-
the Middle Persian name of handarz (early New Persian, an-
ophy both have their roots here (see Thomas Aquinas on the
darz), meaning “advice, instruction.” This too has been
one side and Martin Luther on the other). Meanwhile, as the
handed down in various forms of gnomai. It is preserved only
Letter of James in particular shows, the principle is still ac-
in Middle Persian, but it doubtless had Avestan (Old Irani-
cepted that wisdom shows its truth in ethico-moral practice:
an) precursores (such as the now lost Barish nask). At the cen-
Christian life is wisdom made manifest (Jas. 3:13–17; cf. Jas.
ter of this literature is “wisdom” (MPers., khrad, or xrat),
1:5). The ancient idea of wisdom is thus revived here; it be-
whose representatives or transmitters were kings of the pre-
comes a Christian virtue for coping with life.
historic period (e.g., Jam, O
¯ shnar) and the Sasanid period
(e.g., Chosrau I), viziers (e.g., Wazurgmihr ¯ı Bokhtaga¯n),
In my opinion, Gnosticism has its roots in those parts
and priests (e.g., A¯durbad ¯ı Mahraspanda¯n). Here again col-
of early Jewish sapiential teaching that, like Ecclesiastes, chal-
lection and transmission were the work of priestly schools or
lenged the traditional picture of the world. Independently of
the (fire) temples. Since thought, along with speech and ac-
this heritage from tradition and the history of ideas, Gnostic
tion, played a dominant role in Zoroastrianism, great atten-
literature too continues to present wisdom in the guise of
tion was paid to the teaching of religious knowledge. This
transmitted sayings, for the most part in Christian form
knowledge was identified with wisdom. But in fact the
(from the Nag Hammadi corpus, the Gospel of Thomas and
“knowledge” in question was not only religious, theological,
the Gospel of Philip; see also Silvanus and the Sentences of Sex-
and cultic. Iran had either taken over (via Hellenism) or had
tus), but also in new forms of its own (The Thunder, Perfect
itself produced a great deal of secular knowledge.
Mind). Most notable, however, is the figure of Sophia, or
Pistis Sophia (“faith wisdom”), an ambivalent embodiment
Nonetheless, the religious framework within which the
of the Gnostic Pleroma, especially in the Barbelo and Valen-
wisdom tradition was placed played a very important role.
tinian forms of gnosis. According to some heresiological ac-
According to one of the principal works, M¯eno¯g ¯ı Khrad
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WISDOM
(Spirit of Wisdom), all wisdom flows from a single wisdom
the author devotes more prayers to her than to the others
that goes back to God. Two works in particular are impor-
(1.53). She is “original wisdom (a¯sn khrad) from the heavens
tant in this context. One is the sixth book of the encyclope-
and the worlds”; she dwells with O
¯ hrmazd and combines all
dia D¯enkard (Acts of Religion); the other is Da¯dista¯n ¯ı M¯eno¯g
wisdom in herself (57.3–32); she was created by O
¯ hrmazd
i Khrad (Book of Judgments of the Spirit of Wisdom). Both
(8.3, 8.8), and through her he created the world (1.11, 1.49,
originated in the Sasanid period but preserve older material
57.5); through her O
¯ hrmazd keeps the world in existence
as well. Book 6 of the D¯enkard goes back in part to the Aves-
(1.12). Her most important function is instruction or, as the
tan Barish nask; other material comes from oral tradition. Its
case may be, revelation. Each of the sixty-two chapters fol-
content is largely religious and has to do with Zoroastrian
lowing upon the introduction to the work begins with ques-
teaching on cleanliness; it is therefore highly ritualistic in
tions by an (anonymous) “wise man” (da¯na¯g), which Wis-
character. In this context wisdom is correct knowledge and
dom then answers at length. The book is thus a compendium
correspondingly correct behavior in things religious. “This
or catechism of Zoroastrianism and derives its authority from
world was created by O
¯ hrmazd the Lord [Av., Ahura Mazda¯]
the heavenly wisdom of God. The “wise man” who passes
with knowledge (da¯na¯gih). He maintains it with sagacity
its contents on is evidently a representative of the Zoroastrian
(fraza¯nag¯ıh) and manliness (marda¯bag¯ıh); ultimately He will
community or priesthood. He had wandered through the
become joyful through it” (Shaked, 1979, sec. 311). This is
world, from land to land and city to city, looking for wis-
interpreted as follows by the sages (da¯na¯ga¯n): “The thing of
dom, until he realized that true wisdom was to be found in
Wisdom (khrad) is this: sagacity (fraza¯nag¯ıh), manliness
his religion; then this wisdom appeared to him in bodily
(marda¯bag¯ıh) and the hope of the Renovation” (ibid., sec.
form as O
¯ hrmazd’s Spirit of Wisdom (Me¯no¯g ¯ı Khrad) and
312). The same passage goes on to say: “The substance of
instructed him (1.14–61). The most likely equivalent of this
wisdom (khrad) is similar to that of fire. For nothing in this
Wisdom in the Avesta is Vohu Manah (Vahuman, Vahman),
world may become so perfect as that which is done by wis-
the Good Mind; “primordial or inherent wisdom” (a¯sn
dom (khrad)” (ibid., sec. 313). In the D¯enkard, “character”
khrad) is found in Yasna 22.25 and 25.18 (a¯sno¯ khratush) in
(kh¯em or x¯em) is superior even to wisdom, since “wisdom is
connection with the Zoroastrian concept of faith (“the in-
in character; and religion is in both wisdom and character”
nate understanding Mazda-made”).
(ibid., sec. 6; see also sec. 2). O
¯ hrmazd creates creatures
India. Some of the earliest Indian wisdom literature is
through “character,” “holds them with wisdom, and takes
found in the collections of proverbial wisdom that were
them back to himself by religion” (ibid., sec. 11).
made for rulers or kings, as, for example, the well-known
In other, more secular handarz texts wisdom is at the
Pañcatantra or the Hitopade´sa (Instruction in What Is Bene-
head of the virtues and leads human beings to a knowledge
ficial). The Maha¯bha¯rata, the Indian national epic, contains
of their duties. O
¯ hrmazd created the following spiritual reali-
in its didactic sections a good deal of ancient wisdom tradi-
ties that help human beings to that goal: “innate wisdom, ac-
tion; this includes the Bhagavadg¯ıta¯ in particular. The im-
quired wisdom, character, hope, contentment, religion [d¯en],
portant part played by knowledge or insight (jña¯na) in an-
and the consultation of the wise” (A¯yadgar ¯ı Wazurgmihr 43,
cient Indian thought (especially in the Upanis:ads) has given
cited in Shaked, 1979, p. xxvi). Acquired wisdom is gained
wisdom a central position in India. It is difficult to distin-
through education; innate wisdom preserves human beings
guish this wisdom from philosophy, and philosophy in turn
from fear and sin. Clearly, in Zoroastrianism wisdom is firm-
from religion; each shares in the character of the others. The
ly embedded in a religious context (although secular wisdom
Bhagavadg¯ıta¯ praises “the way of knowledge or wisdom” in
is not completely absent). Wisdom is primarily a matter of
preference to the way of action (karman): “A man of faith,
Zoroastrian knowledge; the latter defines its essence. It is
intent on wisdom (jña¯na), his senses (all) restrained, wins
therefore the duty of the faithful to follow the “wise” (teach-
wisdom; and, wisdom won, he will come right soon to per-
ers, priests) and ask them questions; association with them
fect peace” (4.39; trans. Robert C. Zaehner, The Bhagavad-
brings God close to one. Parts of Iranian wisdom literature,
Gita, London, 1973). Brahmanic philosophy or religion did
however, are also marked by a fatalistic pessimism reminis-
not, however, reach the point of personifying wisdom or
cent of Ecclesiastes (Shaked, 1979, sec. D). “Destiny” (bakht,
knowledge. This step was taken only in Buddhism, in which
br¯eh, zama¯n) determines human beings; their action is geared
the Indian ideal of knowledge, the way to deliverance from
to its accomplishment. We see here the influence of Iranian
the cycle of births (sam:sa¯ra) without reliance on the priestly
teaching on fate (i. e., Zurvanism), an influence also to be
tradition or extreme asceticism took new forms. But the ob-
seen in modern Persian literature wherever this is in continu-
jectification (hypostatization) of redemptive knowledge or
ity with ancient Iranian wisdom traditions (proverbial litera-
transcendental wisdom (prajña¯; Pali, pañña) came only in
ture, didactic poetry).
Maha¯ya¯na Buddhism, beginning in about 100 BCE in south-
ern or northern India. A whole literature arose (originally in
Wisdom clearly emerges as a heavenly person or hypos-
Sanskrit) consecrated to what it termed the “perfection of
tasis, the Spirit of Wisdom (Me¯no¯g ¯ı Khrad), in the work
wisdom” (prajñapa¯ramita¯; lit., “the wisdom that has gone be-
of the same name. Wisdom is here viewed as one of the “holy
yond”). The earliest Prajñapa¯ramita¯ works were composed
immortals” (Amahraspanda¯n; Av., Amesha Spentas); in fact,
between 100 BCE and 150 CE; from the fourth to the seventh
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9753
centuries CE compendia and short versions were redacted
Thou the one path to salvation, There’s no other veri-
under the influence of the Ma¯dhyamika school; from the
ly. . . . By my praise of Perfect Wisdom All the merit
sixth century on, Tantrism also gained control of these texts
I may rear, Let that make the world devoted To this
and gave them ritualistic interpretations (to the extent even
wisdom without peer. (Conze, 1959, pp. 168–171)
of introducing antinomian practices). As mentioned above,
The Tantric school produced magical incantations or formu-
there are a number of parallels between the Buddhist and the
las (mantras) for Prajñapa¯ramita¯, which were given by the
early Jewish conceptions of wisdom. The Buddhist “wisdom
goddess herself. The recitation of these sayings has liberating
books” (Conze, 1975) introduce a specifically new type of
power; it is also meritorious on behalf of others. In this form
knowledge about redemption: an insight into the “empti-
of Buddhism the figure of Wisdom unites in itself all aspects
ness” (´su¯nyata¯) of existence that promises deliverance. These
of religion, both in theory and in practice. In fact,
teachings are presented in the form of dialogues between the
Prajñapa¯ramita¯ is probably its most notable expression.
Buddha and some of his disciples. The manner of presenta-
China. Finally, I shall add a brief word on China,
tion lends authority to the new teaching and gives it canoni-
where, in contrast to India, wisdom has minimal connections
cal status. Here the virtue (pa¯ramita¯) of “insight” (prajña¯,
with religion. In Confucianism it has an unambiguously et-
pañña), perhaps under the influence of the South Indian
hico-moral character. We are reminded of the Greeks when
mother goddess, is sometimes personified as a goddess of wis-
we find wisdom consisting in the avoidance of extremes and
dom, Prajñapa¯ramita¯. In this form she is regarded as “moth-
the following of the mean. Chih (“wisdom”) is one of the five
er” of all the Buddhas (buddha¯mati, jina¯na ma¯ta¯) and bodhi-
cardinal virtues that characterize the Confucian “wise man”
sattvas.
(chün-tzu). It includes knowledge of human nature and soci-
If a mother with many sons had fallen ill, They all, sad
ety, a command of language, and a practical behavior that
in mind, would busy themselves about her: Just so also
obeys the Confucian rules (li). “The sense of right and wrong
the Buddhas in the world-systems in the ten directions
is the beginning of wisdom (chih)” (Fung Yu-lan, 1952, vol.
Bring to mind this perfection of wisdom as their mother.
1, p. 121). Every human being has the native ability to be-
The Saviours of the world who were in the past, and
come wise and needs only instruction and practice, since in
also those that are (just now) in the ten directions, Have
the prevailing Chinese view human nature is good (another
issued from her, and so will the future ones be. She is
point reminiscent of Greek thought). Confucianism none-
the one who shows the world (for what it is), she is the
theless also offers the ideal of the “noble man” or “holy man”
genetrix, the mother of the Jinas, And she reveals the
(sheng-jen) who surpasses even the wise man, since he com-
thought and action of other beings. (Conze, 1973,
p. 31)
plies perfectly with all the principles (li), lives in harmony
with nature and society, and thus is the peerless teacher of
Prajñapa¯ramita¯ is depicted iconographically with two, four,
an age. The ancient meaning of wisdom as the practical man-
six, ten, or twelve arms. Her color is gold or white; her sym-
agement of life through knowledge of the world and human
bols are the lotus and a book (colored blue or red). She often
beings has probably found its most impressive development
resembles depictions of Mañju´sr¯ı (the male personification
in China and has for thousands of years profoundly shaped
of wisdom) or Sarasvat¯ı (the Hindu goddess of learning, elo-
the character of the people. Wisdom is embodied in behavior
quence, and intelligence) or Avalokite´svara, Ta¯ra¯, and
and can be acquired by practice; it then becomes a habitual
Cunda. To ordinary Buddhists she is a goddess who can be
attitude.
invoked and who bestows merit, well-being, and blessing.
Buddhist theologians, however, see in her simply a “spiritu-
SEE ALSO Avalokite´svara; Buddhism, Schools of, article on
al” manifestation of redemptive or enlightening (“bodhi-
Maha¯ya¯na Philosophical Schools of Buddhism; Goddess
giving”) wisdom, which contains and sustains all things and
Worship, article on The Hindu Goddess; H:okhmah; Jña¯na;
is called “mother of enlightenment.” Here the very essence
Knowledge and Ignorance; Li; Mañju´sr¯ı; Mengzi; Prajña;
of Buddhist doctrine is manifested and personified. The vari-
Sarasvat¯ı; Sophia; Ta¯ra¯; Tathata¯; Upa¯ya; Wisdom Lit-
ous interpretations of this doctrine in the Maha¯ya¯na schools
erature.
(Ma¯dhyamika, Yoga¯ca¯ra, Tantra) are also reflected in the fig-
ure of Prajñapa¯ramita¯ and the literature about her. One of
BIBLIOGRAPHY
There is no monograph that completely covers the concepts of
the best-known hymns to her was composed by
wisdom that are found among various peoples and cultures.
Ra¯hulabhadra (c. 150 CE):
Only A. R. Gordon’s “Wisdom,” in the Encyclopaedia of Reli-
Homage to Thee, Perfect Wisdom, Boundless, and
gion and Ethics, edited by James Hastings, vol. 12 (Edin-
transcending thought! All Thy limbs are without blem-
burgh, 1921), attempts a survey; the areas most fully studied
ish, Faultless those who Thee discern. . . . Teachers of
and described are the ancient Near East (including Israel),
the world, the Buddhas, Are Thine own compassionate
Greek thought, and early Christianity. The following bibli-
sons; Then art Thou, O Blessed Lady, Grandam thus
ography lists other articles and books that I have found help-
of beings all. . . . When as fearful Thou appearest
ful and that can serve as an introduction to the subject.
Thou engender’st fear in fools; When benignly Thou
Burkert, Walter. Lore and Science in Ancient Pythagoreanism.
appearest Comes assurance to the wise. . . . By all
Translated by Edwin L. Minar, Jr. Cambridge, Mass., 1972.
Buddhas, Single Buddhas, By Disciples courted, too,
Conze, Edward. Buddhist Scriptures. Harmondsworth, 1959.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9754
WISDOM LITERATURE: BIBLICAL BOOKS [FIRST EDITION]
Conze, Edward. The Prajñapa¯ramita¯ Literature. The Hague,
Langan, Thomas. Tradition and Authenticity in the Search for Ecu-
1960.
menic Wisdom. Columbia, 1992.
Conze, Edward. Thirty Years of Buddhist Studies: Selected Essays.
Murphy, Roland Edmund. The Tree of Life: An Exploration of Bib-
Columbia, S. C., 1968.
lical Wisdom Literature. New York, 1990.
Conze, Edward, trans. The Perfection of Wisdom in Eight Thousand
Raphals, Lisa Ann. Knowing Words: Wisdom and Cunning in the
Lines and Its Verse Summary. Bolinas, Calif., 1973.
Classical Traditions of China and Greece. Ithaca, N.Y., 1992.
Conze, Edward, trans. and ed. Buddhist Wisdom Books, Containing
Reichert, John. Milton’s Wisdom: Nature and Scripture in Paradise
the Diamond Sutra and the Heart Sutra. London, 1975.
Lost. Ann Arbor, 1992.
Conze, Edward, trans. The Large Sutra on Perfect Wisdom. Berke-
KURT RUDOLPH (1987)
ley, 1975.
Translated from German by Matthew J. O’Connell
Dijk, Jan van. La sagesse suméro-accadienne. Leiden, 1953.
Revised Bibliography
Fohrer, Georg, and Ulrich Wilcken. “Sophia.” In Theological Dic-
tionary of the New Testament, vol. 7. Nashville, 1967.
WISDOM LITERATURE
Fung Yu-lan. A History of Chinese Philosophy. 2 vols. 2d ed. Trans-
This entry consists of the following articles:
lated by Derk Bodde. Princeton, 1952–1953.
BIBLICAL BOOKS [FIRST EDITION]
Gese, Hartmut. “Weisheit.” In Die Religion in Geschichte und Ge-
BIBLICAL BOOKS [FURTHER CONSIDERATIONS]
genwart, 3d ed., vol. 6. Tübingen, 1962.
THEORETICAL PERSPECTIVES
Gladigow, Burkhard. Sophia und Kosmos. Hildesheim, 1965.
Küchler, Max. Frühjüdische Weisheitstraditionen. Freiburg, 1979.
WISDOM LITERATURE: BIBLICAL BOOKS
Lambert, W. G. Babylonian Wisdom Literature. Oxford, 1960.
[FIRST EDITION]
Certain books within the Hebrew scriptures stand out as sig-
Langdon, Stephen H. “Babylonian Wisdom.” Babyloniaca (1923):
129–194.
nificantly different from the narrative and legal material
comprising the Pentateuch as well as from prophetic and
Mack, Burton L. Logos und Sophia: Untersuchungen zur Weisheits-
theologie in hellenistischen Judentum. Göttingen, 1973.
apocalyptic literature. This “alien corpus” is altogether silent
with regard to the dominant themes found in the rest of the
Noth, Martin, and D. Winton Thomas, eds. Wisdom in Israel and
Bible, for example the promise to the patriarchs, the deliver-
in the Ancient Near East. Leiden, 1955.
ance from Egypt, the Mosaic covenant, the centrality of Jeru-
Rad, Gerhard von. Wisdom in Israel. Nashville, 1972.
salem and the Davidic dynasty, the prophetic word, and so
Ringgren, Helmer. Word and Wisdom. Lund, 1947.
forth. In the place of such emphases one finds ideas and liter-
Rudolph, Kurt. “Sophia und Gnosis.” In Altes Testament-
ary forms that are closer to certain Egyptian and Mesopota-
Frühjudentum-Gnosis: Neue Studien zu “Gnosis und Bibel,”
mian works. That literary corpus contains a rational princi-
edited by K.-W. Tröger, pp. 221–237. Berlin, 1980.
ple of the cosmic order that is worthy of study (h:okhmah in
Sasson, Jack M., ed. Oriental Wisdom. Special issue of the Journal
ancient Israel, maat in Egypt, me in Mesopotamia) and ex-
of the American Oriental Society 101, no. 1 (1981).
presses a belief that conduct in accord with this principle
Shaked, Shaul, trans. The Wisdom of the Sasanian Sages: D¯enkard
brings well-being. Or the literature gives voice to various le-
Book Six. Boulder, 1979.
vels of doubt about the validity of this understanding of reali-
Soden, Wolfram von. “Leistung und Grenze sumerischer und ba-
ty, a skepticism spawned by life’s inequities. Since study of
bylonischer Wissenschaft.” Welt als Geschichte 2 (1936):
the underlying principle of the universe rather than procla-
411–464, 509–557.
mation of the divine word comes to prominence here, mod-
West, Edward W., trans. and ed. The Book of the Mainyô-i-khard
ern scholars designate these texts as wisdom literature.
(1871). Amsterdam, 1979.
CHARACTERISTICS OF WISDOM LITERATURE. Decisive dif-
Wilcken, Ulrich. Weisheit und Torheit. Tübingen, 1959.
ferences do exist between Israel’s sapiential literature, on the
New Sources
one hand, and certain texts written in Egypt and Mesopota-
Collins, John Joseph, Seers, Sybils and Sages in Hellenic-Roman Ju-
mia on the other. Egyptian wisdom functioned almost exclu-
daism. New York, 1997.
sively at the royal court. Its aim was to provide proper educa-
Curnow, Trevor. Wisdom, Intuition, and Ethics. Brookfield, Vt.,
tion for future bureaucrats in the pharaoh’s court.
1999.
Accordingly, this literature largely assumed the form of in-
Day, John, Robert P. Gordon, and H. G. M. Williamson, eds.
struction (e.g., the Instruction of Ptahhotep, the Instruction of
Wisdom in Ancient Israel: Essays in Honor of J. A. Emerton.
King Amenemhet to His Son Sesostris, and the Instruction for
New York, 1995.
Merikare) and its setting was usually the scribal school (praise
Harrington, Daniel J. Wisdom Texts from the Qumran. New York,
of which occurs in Papyrus Sallier, Papyrus Anastasi, and the
1996.
Instruction of a Man for His Son.) In Mesopotamia the study
Kekes, John. Wisdom and Good Lives. Ithaca, N.Y., 1995.
of school texts also played an important role, but the funda-
Kinnard, Jacob N. Imaging Wisdom: Seeing and Knowing in the Art
mental feature of wisdom was cultic, indeed, magical, and
of Indian Buddhism. Curzon Critical Studies in Buddhism.
the goal of wisdom was to manipulate the paraphernalia of
Richmond, U.K., 1999.
the cult in order to ensure one’s existence.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WISDOM LITERATURE: BIBLICAL BOOKS [FIRST EDITION]
9755
Israelite wisdom finds primary expression in the books
king was the final court of appeal, and since society relied
of Proverbs, Job, and Ecclesiastes within the Palestinian (Mas-
on royal power to implement justice, the judicial ability to
oretic) canon and in Ben Sira (Ecclesiasticus) and the Wisdom
ferret out the truth amid competing claims was greatly
of Solomon in the Alexandrian canon (the Septuagint). Its in-
prized, as the widely disseminated story about Solomon’s
fluence extends beyond these texts to Psalms (Ps. 1, 19, 33,
royal verdict in the case of two harlots’ dispute over a surviv-
39, 49, 127) and various other books. The precise extent of
ing infant suggests (1 Kgs. 3:16–28). Experiential wisdom
this influence is the subject of considerable discussion; schol-
encompasses the overwhelming majority of biblical proverbs.
ars have claimed much of the Hebrew scriptures for the sages
These represent conclusions based on experience, and they
(Genesis 1–11, the Joseph story, Deuteronomy, Amos, Isaiah,
endeavor to assist others in the difficult task of coping. Some
Micah, Jonah, Habakkuk, Esther, the succession narrative in
are content with stating the way things are; others engage the
2 Samuel 9–20, 1 Kings 1–2, and more). While such claims
pedagogic enterprise with zeal, offering warnings and moti-
appear to be exaggerated, they do serve as a reminder that
vations for following a particular path of conduct. Theologi-
the sages did not dwell in isolation from the prophets, priests,
cal wisdom is concerned with the first principle of knowledge
and raconteurs in ancient Israel.
in religious devotion, the fear of the Lord. It speculates on
the presence or absence on earth of the divine rational princi-
With the exception of Job, these Israelite wisdom books
ple (personified wisdom), and sometimes equates revelation
are pseudonymous. There is no historical basis for the attri-
of Torah and human reasoning. Natural wisdom refers to en-
bution of the older collections within Proverbs to Solomon
cyclopedic data about heavenly bodies, atmospheric condi-
or for Solomonic authorship of Ecclesiastes and Wisdom of
tions, wild animals, and so forth. Although prominent in
Solomon; in Egyptian wisdom literature pseudonymity and
Egypt and Mesopotamia, such noun lists (onomastics) did
literary fiction of royal authorship also play a significant role.
not survive in biblical wisdom, although the divine speeches
The unique example of pride of authorship is Yehoshu’a ben
in the Book of Job resemble them in some ways.
Sira, the author of Ben Sira, who claims to have run a school
about 190 BCE during the high priesthood of ShimEon II.
The function of Israelite wisdom literature is by no
Confirmation of this date comes from information provided
means clear, partly because of the difficulty in tracing the his-
by Ben Sira’s grandson, who translated the Hebrew text into
tory of this sort of thinking. At least three distinct stages seem
Greek around 132 BCE, and from the hymn in praise of
likely. Wisdom’s earliest phase seems to have coincided with
ShimEon. Proverbs contains several different collections from
early clan existence, when parents instructed their children
various times, some of which may be preexilic. Ecclesiastes
in the ways of the world. The vast majority of proverbs attri-
probably comes from the end of the third century BCE, while
buted to Solomon may well have arisen in this early period
Wisdom of Solomon is known to be considerably later, be-
because they rarely reflect the situation of the royal court. In
cause it was written in Greek and because its thought pat-
the second phase, with Solomon perhaps, and certainly with
terns and rhetoric are thoroughly hellenized. In dating Eccle-
Hezekiah, wisdom makes itself at home in the court. This
siastes, grammar and syntax seem conclusive. Job is
phase placed a distinct mark on only a few proverbs, al-
particularly hard to date, but a combination of things, in-
though it did evoke a tradition about “men of Hezekiah”
cluding both language and thought, suggest the sixth century
who transmitted the collection in Proverbs 25–29. With Ben
BCE or slightly later.
Sira the third phase comes to light, school wisdom. Precisely
when this phenomenon first surfaced remains hidden. Cer-
THEMES, LITERARY TYPE, AND FUNCTION. In general, wis-
tainly, the first epilogue to Ecclesiastes (12:9–12) identifies
dom literature comprises two quite distinct types: brief ob-
the unknown author of that book as a “wise man” who
servations about the nature of reality and instructions deriv-
taught “the people,” and the strange pen name Qohelet has
ing from experience or extensive reflection on the deeper
often been interpreted as one who summoned people to a
meaning of life. The former are formulated in parallel half
place of worship and study. (It is more likely that the word
lines for the most part; one statement is thus balanced by an-
alludes to his assembling of proverbs about life’s absurdity.)
other, either synonymously or antithetically. Three variants
are “Better is this than that” (e.g., Prv. 15:16); a graded nu-
SCHOOL TEXTS. For various reasons, several scholars have
merical proverb, such as “Three things . . . yea, four” (e.g.,
proposed that biblical wisdom literature originated in Israel
Prv. 30:18–19); and “There is . . .” (e.g., Prv. 20:15). Most
in monarchic or premonarchic times as texts for study in
of these brief aphorisms are complete in themselves, although
schools. This theory is based on analogy with schools in the
larger paragraphs appear in the latest collection in Proverbs
pharaoh’s court and in the Mesopotamian temple precincts.
1–9, Ecclesiastes, and, especially, Ben Sira, constituting para-
Israel’s familiarity with international wisdom cannot be de-
graphs that resemble brief essays on a specific topic. Specula-
nied; witness Solomon’s relations with Egypt, the incorpora-
tive wisdom literature (Job and Ecclesiastes) prefers dialogue
tion of a portion of the Instruction of Amenemope in Proverbs
and monologue as its peculiar mode of expression.
22:17–23:33, and the Sayings of Agur and of Lemuel’s Mother
in Proverbs 30:1–4 and 31:1–9. Corroborative evidence has
Another way of categorizing various types of wisdom lit-
come from the nature of canonical wisdom—its exceptional
erature derives from the four uses to which the texts were
literary quality, its conscious rhetoric and pedagogic thrust.
put: juridical, experiential, theological, and natural. Since the
To these have recently been added data from Palestinian in-
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scriptions (alphabetic series, drawings, inaccurate spellings,
Babylonian Theodicy, and the Dialogue of a Master and Slave.
transposed letters, large and poorly formed consonants, and
Furthermore, to the biblical sages life was infinitely more
so forth). None of this evidence is altogether compelling, al-
complex than their proverbial formulations might suggest.
though its cumulative force merits consideration. The preser-
They therefore ventured to speculate about things that could
vation of wisdom literature implies such a group of individu-
not be verified in experience. Religion thus emerged into
als, whether they attended a formal institution or not. At
prominence, both as the essential ingredient of all knowledge
least one scholar has simply called this phenomenon “Israel’s
and as a faith claim. Whereas Yahvism tended to ground its
intellectual tradition.”
claims in history, the wise took creation as their starting
point. They even posited a feminine principle (h:okhmah) as
Internal evidence suggests that the Book of Proverbs was
active in the process of creation (Prv. 8:22–31), eventually
written for the instruction of young men. That conclusion
identifying it with the Torah of Moses (Sir. 24:23). In gener-
seems inevitable for at least two reasons: the direct address
al, creation faith functions to undergird belief in divine jus-
to “my son” and the extensive warning against the foreign
tice; only the creator has sufficient power and knowledge to
woman, Dame Folly, together with the erotic language about
Dame Wisdom, which is appropriate only if the audience is
assure justice on earth. As long as sages believed in the power
male. This erotic language becomes fully evident in the Wis-
of the human intellect to secure their existence, grace re-
dom of Solomon where readers are invited to strive for mar-
mained in the background. In time, loss of faith in the power
riage with Sophia (“wisdom”), here a divine attribute. Male
of wisdom creates a vacuum into which competing forces
dominance also explains the misogyny within canonical wis-
come. These opposing responses are pessimism and divine
dom, particularly in Ben Sira but also in Ecclesiastes (although
mercy, and their spokesmen are Ecclesiastes and Ben Sira, re-
this explanation has been disputed). If the author of the epi-
spectively.
logue to Ecclesiastes is trustworthy, a democratization may
Skepticism’s roots go back a long way prior to the time
have taken place under this collector of sayings who taught
of Ecclesiastes (e.g., Jgs. 6:13, Prv. 14:1, 14:13, 16:9, 16:33).
“the people.”
Integral to the earliest sapiential expression is the concession
W
that human ingenuity has its definite limits. Those who de-
ISDOM AS A WAY OF THINKING. Just what did the teachers
wish to communicate to their students? The sages endeav-
vise plans for battle must ultimately acquiesce before an in-
ored to discover ways to secure one’s existence and to enrich
calculable divine will. Life has its mystery, which cannot be
it, as in Ecclesiastes’ question “What is good for humans?”
penetrated. Even instances of injustice cropped up now and
Their ultimate goal was to achieve life’s good things: a good
then. In time, those cracks in the fundamental conviction of
name, longevity, wealth, wise children. Believing that the
the sages became more frequent, and the idea of wisdom’s
creator had implanted within the universe the secrets to suc-
hiddenness suddenly emerged as a viable epistemological op-
cess, these sages looked for analogies that unlocked the doors
tion. The poem, probably by another author, that has been
to such insight. Observation of nature and human nature,
inserted into the Book of Job (28) marvels at the remarkable
the study of animals and insects—these were the ways in
achievements humans have to their credit but expresses the
which they obtained information that was then applied to
opinion that wisdom is accessible to God alone. The author
their own concrete situation. They also moved beyond the
of Ecclesiastes admits that wisdom is very deep, so much so
visible universe to speculate about God’s nature and activity,
that it cannot be fathomed. Ben Sira cannot endorse such
and even their quest for pleasure was grounded in religious
skepticism, although he does advise against trying to under-
conviction. Since order in society, like cosmic order, is di-
stand that which is too difficult. In a sense, the nature of
vinely ordained, the wise individual is not disruptive of soci-
human knowledge has been greatly qualified as a conse-
ety. Entirely missing, therefore, is the prophetic sense of so-
quence of man’s limited powers.
cial revolution. In its place prudence reigns, and a calculated
Sometimes an inability to comprehend life’s mysteries
use of bribes, silence, and the concealment of real thoughts
ends in awe rather than skepticism. That is the insight put
and feelings. Self-control and the right word were their aim.
forth with poetic brilliance in the Book of Job. The decisive
The seekers of wisdom sought to know the appropriate word
issue here is whether faith can transcend self-interest. To be
or proper deed for a given occasion, the one that would con-
sure, the book offers counsel on how to respond when trou-
firm their membership in the company of the wise and there-
ble strikes innocent victims, but even more central is the
fore the righteous.
issue of whether anyone will serve God for nothing. Job’s
A CRISIS OF THE INTELLECT. Experience was sometimes am-
final submission before a self-manifesting deity points to a
biguous, forcing the wise to question their own hardened
wholly different response from that of skepticism or banality:
dogmas. That was especially the case with regard to the con-
a bowed knee and silenced protest, a seeing with the eye of
viction that virtue flourished and vice resulted in calamity.
faith. A similar response occurs in Psalm 73, which is often
Belief in reward and retribution evoked powerful protests
included in discussions of wisdom literature, where the be-
from the authors of Job and Ecclesiastes. In Mesopotamia a
liever comes close to abandoning the faith because of the
similar crisis of faith produced such works as the Sumerian
prosperity of the wicked but in the end recognizes God’s
A Man and His God, I Will Praise the Lord of Wisdom, the
presence as the highest good.
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WISDOM AS A TRADITION. Such shifts in perspective indicate
of Solomon this heavenly figure is a divine attribute that
that the wise were very much aware of history even if they
guides the chosen people to their destiny. Those who desire
did not ground their teachings in it. Indeed, a decisive transi-
to succeed in life must win her favor, and she is therefore to
tion takes place in the early second century with Ben Sira.
be courted like a bride.
In part a result of the Hellenistic environment within which
To sum up, poetic imagery in Proverbs has by the time
he wrote, this borrowing of various features from Yahvism,
of Wisdom of Solomon become an actual figure who functions
for example, references to the primeval history, patriarchs,
to bring well-being to God’s people. By way of Ben Sira this
and prophets, was Ben Sira’s way of salvaging the ancient
imagery was particularized to refer to an actual body of litera-
teaching in a changing society. By means of mythological
ture, the Mosaic law. From first to last, however, wisdom’s
speculation he was able to identify earlier revelation with di-
role in the initial act of creation was an active one. The inten-
vine wisdom (Sir. 24:23) and locate its residence in Jerusa-
tion was to give a name to the order that governs reality itself
lem (Sir. 24:1–12). Again and again Ben Sira alludes to bibli-
and thus to suggest a universe in which right thinking and
cal stories, until finally he compiles a hymn in praise of
acting would prosper. The author of Ecclesiastes, who did not
ancient heroes of the faith (Sir. 44:50).
endorse such faith, maintained silence with regard to person-
The unknown author of Wisdom of Solomon continued
ified wisdom. Instead, he echoes one feature of the poem in
Ben Sira’s reliance on canonical tradition as a framework,
Job 28: the profundity of wisdom and, therefore, its hidden-
particularly the account of Egyptian bondage and divine de-
ness (Eccl. 7:23–29).
liverance. This Exodus material generated unusual interest
A CORPUS OF LITERATURE. The thesis of a shift in wisdom
for the Jews who resided in Alexandria a millennium later.
thinking that took place with Ben Sira and Wisdom of Solo-
In this instance the author reflects on the events of the Exo-
mon does not imply monolithic thought prior to the second
dus in Midrashic style; the running comments on scripture
century, but it does assume that certain essentials held the
are designed to evoke psychological factors such as dread
literature together despite individual characteristics. A closer
even though the central focus is a frontal attack on idolatry.
look at the actual contents of this literature may illustrate this
Nevertheless, the Hebraic tradition shares equal billing with
point.
the Hellenic, and this is entirely new for the wisdom litera-
ture. The Greek influence is considerable: the style is replete
Proverbs. The Book of Proverbs comprises at least nine
with Greek rhetoric, and the content is equally Greek in ori-
separate collections, four major ones—(I) 1–9, (II) 10:1–
gin, including the four cardinal virtues, the notion of immor-
22:16, (III) 22:17–24:22, (IV) 25–29—and five minor
tality, the twenty-two attributes of deity, the description of
ones—(V) 24:23–34, (VI) 30:1–9, (VII) 30:10–33, (VIII)
the curriculum in a local school, the rhetorical device called
31:1–9, (IX) 31:10–31. Two (VI and VIII) are attributed to
sorites, and much more.
foreign authors (Agur and King Lemuel’s mother, respective-
ly), and another (III) makes extensive use of an Egyptian
PERSONIFIED WISDOM. The change within wisdom think-
source (Amenemope). Three (I, II, and IV) are credited to
ing from the sixth to the first century BCE is nowhere clearer
King Solomon, and one (V; cf. III) is simply called “More
than in the notion of personified wisdom. In the latest collec-
Sayings of the Wise.” Only two brief collections (VII and IX)
tion of Proverbs (1–9) Wisdom appears in the guise of a
have no superscriptions. The probable order of dating is IV,
teacher; here she invites and threatens young men, seeking
II, III, and V, from oldest to most recent; the relative order-
to deliver them from Dame Folly. In Proverbs 8 Dame Wis-
ing of the others is uncertain. The initial collection is proba-
dom is a celestial figure who assists God in creation; she is
bly the latest one, with the possible exception of IX. Affini-
the manifestation of divine thought, depicted in veiled erotic
ties with Canaanite literature suggest an early date for VI and
language. Interpreters have often compared this theologou-
VIII, but their religious content renders the issue unclear. In
menon to the Isis myth and to the teachings about the Egyp-
any event, much of the material probably arose in preexilic
tian goddess Maat. Elsewhere in Proverbs (3:16), Wisdom
times.
holds life in her right hand, riches and honor in her left hand,
just as Maat is depicted as holding in each hand emblems
In the older collections the dominant form is a single
that symbolize these qualities. In the Book of Job there is
verse parallel with another. The parallel verse may be synony-
mention of an impenetrable wisdom who is known to the
mous, antithetical, or ascending (climactic). Each brief apho-
underworld by rumor but to whom only God has direct ac-
rism registers an observation that compels assent; therefore,
cess (Jb. 28:20–28).
the sentence argues from what is presumed to be a general
consensus. The other major proverb type is the instruction,
In contrast, Ben Sira writes that wisdom existed in heav-
which urges a particular course of action and reinforces it
en but searched the whole earth for a place of residence and
with threats of punishment or promises of reward. Instruc-
finally chose Jerusalem as a permanent abode. This celestial
tion pervades the latest collection, but the decision about the
figure then loses her enigmatic character, however, and be-
date of composition is not based on form. In Egypt “instruc-
comes identical with the Mosaic law. Divine wisdom is
tions” (a form that has its own genre identification, and cov-
thereby domesticated on earth, and Greek philosophy and
ers a wide spectrum of texts) date from very early times, while
the Hebraic tradition become equal in this aspect. In Wisdom
the late Teaching of EOnkhsheshonqy resembles the brief apho-
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risms in the earliest collections of Proverbs. Thus we see that
advice on table manners, warn against laziness and sexual de-
dating from form is tricky. In the later biblical material single
bauchery, endorse eloquence, observe human foibles for
proverbs give way to brief essays, some of which make their
what they are, talk about responsibilities in given vocations,
point by citing a proverb and developing it. Ben Sira devel-
compare human conduct to that of animals or insects, en-
ops this trend so that paragraph units result. In Proverbs one
courage strict discipline of children, inculcate respect for par-
finds extended treatments of such themes as the relative value
ents and persons in authority, and treat social relations in all
of various professions (38:24–39:11), the place of physicians
their complexity. Extended treatises occur outside the initial
in society since God punishes the wicked by sending illness
collection on significant issues, for instance, the dangers of
(38:1–15), duty to parents, drunkenness (19:1–3), head-
strong drink and the virtues of a good wife.
strong daughters (42:9–11), dreams, discipline (30:7–13),
The Book of Job. The fundamental presupposition un-
passions (40:1–11), and shame (41:16–42:8). The different
derlying virtually all these proverbs is a belief in reward and
form in Proverbs 1–9 is accompanied by a more self-
conscious theology. Whereas wisdom literature throughout
retribution. The universal creator oversees the governance of
the ancient Near East prefers the general name for God, these
the universe and makes certain that those who merit life’s
chapters use the name Yahveh quite freely. Furthermore, they
good things receive them. The author of the Book of Job ques-
insist that the fear of the Lord is the sine qua non of true intel-
tions this principle, although at first the argument set forth
ligence. It is possible that one passage (6:20–35) draws on
by his hero rests on the very premise it refuses to acknowl-
language from Deuteronomy in juxtaposing the fire of lust
edge. Were it not for this principle, Job would have no basis
and the lamp of parental instruction. In these chapters, too,
on which to complain, since there would be no anticipated
personified wisdom functions to mediate divine presence.
correlation between conduct and life situation. The author
Accordingly, she addresses the people in the manner of a
of Ecclesiastes is much more thorough in rejecting this
prophet or a prophetic depiction of God, and she offers life
dogma, for in his view time and chance strike everyone with-
itself.
out respect to behavior. In both cases, later tampering with
the author’s final product has radically altered its meaning.
There are some brief sayings elsewhere in the Book of
Proverbs that are wholly secular in tone. That does not neces-
The Book of Job resembles disputes in Mesopotamian
sarily indicate an early date. It is more likely that religious
wisdom (such as I Will Praise the Lord of Wisdom), but it also
and secular proverbs existed simultaneously but that they
has elements of a lament (one critic has called the book a par-
served different constituencies. Some of these secular sayings
adigm of an answered lament). An old folk tale in epic prose
call attention to social inequities without any indication that
sets the stage for the poetic dispute: a patient Job loses every-
such situations should be rectified. Other proverbs identify
thing and praises God nonetheless until God rewards him
areas in which humans confront their limits. Those who
by doubling his original possessions. Apart from this narra-
wage war can make careful plans, but the battle’s outcome
tive framework, Job consists of a dispute between Job and his
rests in divine hands. This awareness of finitude crops up in
three friends and a second dispute between God and Job.
Egyptian wisdom as well, where royal wisdom abounds. The
Speeches by the youthful Elihu interrupt these two disputes;
attribution of wisdom to Solomon is therefore an interesting
like the poem in Job 28, these speeches (Jb. 32–37) are prob-
parallel, although it cannot be known whether this tradition
ably secondary. The hero of the poetic speeches is far from
of Solomonic authorship has any basis in history. One thing
patient. Instead, he complains bitterly because God has be-
appears certain: the supposed Solomonic enlightenment
come a stranger to him for no discernible reason. Although
never existed, and the type of wisdom credited to that king
his three friends encourage him to pray for forgiveness, Job
in 1 Kings 4:29–34 (English version) does not correspond
insists that he has done nothing to deserve such harsh treat-
with sayings in the collections bearing his name. Neverthe-
ment. His bitterness arises from a sense of an oppressive di-
less, Solomon may have sponsored a group of sages in his
vine presence and an awareness that the deity he once knew
court, as Hezekiah did in the late eighth century. These sages
can no longer be found. Now and again Job entertains the
may have shown their appreciation by attaching the king’s
notion that a vindicator will set things right and establish his
name to their compositions. Unfortunately, these collections
innocence. At last, despairing of assistance from his friends,
do not require an assumption of courtly provenance, al-
Job utters an oath of innocence highly reminiscent of Egyp-
though they do contain an occasional reference to royalty.
tian cultic practice and challenges God to slay him or con-
The same is true of Proverbs 25:2, which states that God’s
firm his oath of purity (Jb. 31). God responds to the chal-
glory consists in concealing things, whereas a king’s glory lies
lenge but hardly in the way Job expected (Jb. 38–41). In a
in searching them out.
style similar to school questions in Egyptian texts, the deity
addresses Job with a host of questions that force him to look
In general, the thrust of the sayings in the Book of Prov-
beyond his own situation and survey the vast scope of cre-
erbs has a universal quality. Similar aphorisms exist in Egyp-
ation. The shift in focus corrects Job’s anthropocentricity
tian wisdom and, to a lesser extent, in Mesopotamian. The
while acknowledging divine solicitude for wild creatures be-
biblical proverbs contrast the wise and the foolish (called the
yond the parameters of human habitation. The divine
silent and the heated in Egyptian wisdom literature), offer
speeches evoke a feeling of unworthiness in Job, who confess-
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es that this new insight about God overshadows his former
change: refrains occur with regularity. The same phenome-
knowledge as immediate information does secondhand in-
non is typical of Egyptian instructions; in fact, Egyptian in-
formation. The resolution comes through repentance, if that
fluence in Ben Sira is likely (cf. The Satire on the Trades and
is the true meaning of Job’s final response to God. The Mes-
Papyrus Insinger).
opotamian parallels to Job find their answer in the cultic
One important concern in Ben Sira is theodicy, the de-
realm, and proper ritual plays a significant role.
fense of divine justice. Ben Sira employs an ancient form of
Ecclesiastes. Israel’s contribution to skeptical literature,
debate to achieve the defense and adds two distinct answers,
the Book of Ecclesiastes, presents reflections on life’s vanity
one metaphysical and the other psychological, to the prob-
and concludes that everything is empty, like breath itself.
lem of theodicy: that the universe itself fights on the side of
Purporting to be written by the wisest and wealthiest king
virtue and punishes wickedness, and that reward or punish-
in Israel, it claims that all pursuits achieve no lasting results.
ment may be inner states of tranquillity or anxiety. Further-
For this book’s author, wisdom no longer possesses the
more, God will set things right in a moment, so that one can-
power to guarantee success; all human endeavors amount to
not be adjudged righteous or sinful until death; a similar
a senseless “chasing after wind.” He feels that even though
expectation of future divine action furnishes comfort to the
some sages claim to know the truth about reality, they do not
author of Psalm 73. Such faith finds appropriate expression
really penetrate to the heart of things (8:17). The great shad-
in prayer and in hymnic praise; both modes of worship char-
ow hanging over life is death, which makes no distinctions
acterize Ben Sira the teacher. Wisdom has now become an
between good and bad people or between animals and hu-
integral facet of Yahvistic faith.
mans. The universe is out of kilter, and God is indifferent
Wisdom of Solomon. The combination of piety and
to what takes place on earth (9:11–12). As a consequence hu-
practical ethics continues in Wisdom of Solomon, which pres-
mans are advised to follow a path of moderation, to be nei-
ents Hebraic ideas in Hellenistic dress. In this Hellenistic set-
ther overly righteous (like Job) nor excessively wicked (7:15–
ting religious syncretism poses a problem of grave propor-
18). Such dark thoughts eventuate in hatred for life (2:17),
tions; to combat the attractiveness of idols as an expression
and stillborns are considered more fortunate than the living
of devotion to the gods, the author ridicules this type of wor-
(6:1–6). To be sure, wisdom does bestow a relative advantage
ship mercilessly. A similar attitude pervades the author’s ref-
over folly, as light is usually superior to darkness. But oppres-
erences to Egyptian rulers; like the earlier sages, this un-
sion runs rampant, and there is no comforter. The positive
known author deals with only two categories of people, wise
advice given is to enjoy life during one’s youth, before death
and foolish, who are, respectively, good and evil. The new
wields its awesome power. The book closes with a poem
element is an identification of good and evil along ethnic
about old age and death (comparable texts have been found
lines, a precedent for which occurs in Ben Sira. The earlier
in ancient Sumer and Egypt). Unhappy with the negative
universalism that was an identifying mark of wisdom
note on which the book ends, someone added an epilogue
has faded under the mighty impact of national religious
that characterizes the teacher and his work (12:9–12), to
tradition.
which yet another epilogue has been attached (12:13–14).
Perhaps the single most radical departure from older sa-
This final word neutralizes the entire book by summing up
piential teachings is the elevation of the erotic dimension as
its contents as fearing God (piety) and keeping the com-
the dominant metaphor for the educational enterprise.
mandments (praxis).
Knowledge is a highly desirable bride of the one who is fa-
Ben Sira. The author of Ben Sira strives mightily to
vored by the deity. The paradigm that functions effectively
combine traditional religious belief and the wisdom tradi-
in this respect is grounded in the legend about King Solo-
tion. Although capable of soaring to lofty heights in poetic
mon, wisest of men. But such intellectual superiority came
verse, his heart is especially stirred when priestly interests and
as a divine gift in response to humble prayer. The power of
prerogatives come to mind. This fact has led some critics to
wisdom transcends the personal inasmuch as it governs the
the view that religion (the “fear of the Lord”), not wisdom,
affairs of a nation. In fact, wisdom functions in the same way
was central to Ben Sira. The same emphasis occurs in the
that the holy spirit is described as functioning in the rest of
long poem celebrating heroes of the past, a poem that con-
the Hebrew Bible: as a personification guiding the prophets
cludes with a lavish description of the high priest in atten-
and leaders of Israel. Once again, an earlier characteristic of
dance at the altar (44–50). Competing traditions are held in
wisdom literature, its individualism, gives way to the nation
check in Ben Sira. This accounts for the acceptance of old
of Israel.
belief in the functioning of reward and retribution, along
With increased stress on divine activity come two fur-
with special attention to divine mercy.
ther transformations of ancient wisdom: humanism bows be-
In some respects Ben Sira resembles Proverbs, even with
fore revelation, and eudaemonism bows before duty. Belief
regard to the subject matter. Nevertheless, whereas Proverbs
in immortality relieves the human finitude of its tragedy, be-
for the most part couches its teaching in succinct observa-
cause pleasures may be delayed until the next life.
tions, Ben Sira systematically elaborates upon one topic after
LATER DEVELOPMENTS. The Jewish Alexandrian philoso-
another. In so doing Ben Sira occasions a decisive stylistic
pher Philo Judaeus, who was born about 20 BCE, avails him-
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self of Logos speculation from Greek and Jewish thinkers to
the short Letter of James, which draws freely upon brief apho-
present wisdom as the ordering principle of the universe and
risms to inculcate certain teachings in the minds of listeners.
an expression of the divine will. Comparison with the Stoic
Gnosticism. The influence of the wisdom tradition in
Logos principle was almost inevitable, because this similarity
Gnosticism is somewhat anomalous. In Jewish tradition wis-
in the two intellectual systems served as a bridge to bring
dom played a vital role during the creation of the world. For
them closer together. Like the author of Wisdom of Solomon,
the Gnostics the present material universe is the product of
Philo was steeped in Hellenistic thought and expression.
demiurges, inferior divine beings. Nevertheless, wisdom
Nevertheless, the content of his thought is often thoroughly
speculation was too appealing for Gnostics to ignore, al-
Judaic. Scholars cannot decide whether the language of mys-
though they soon found ways to overlook wisdom’s role in
tery religions belongs to the heart of his message or is mere
creating the universe. Three documents deserve consider-
window dressing.
ation here: the Gospel of Thomas, the Sentences of Sextus, and
Philo does not borrow exclusively from Israelite wisdom
a nongnostic text from Nag Hammadi, the Teachings of
literature but makes free use of the patriarchal stories. His
Silvanus. The influence of the wisdom tradition on Thomas
elaborate allegorical exegesis of biblical texts is largely Greek,
may explain why instead of a passion story one finds a collec-
although certain writings from Qumran also employ a com-
tion of sayings. The Sentences of Sextus (second century) con-
plex kind of hermeneutics (cf. the Habakkuk Commentary).
tains over four hundred maxims of non-Jewish origin whose
This ancient sect in the region of the Dead Sea largely ig-
purpose is to describe the ideal Christian. The Teachings of
nored the wisdom literature, with one possible exception—
Silvanus is a text that manifests typical Jewish stylistic forms:
the erotic dimension of knowledge.
the address to “my son,” which is reminiscent of the Book
Late Jewish narratives—Tobit, for example—make oc-
of Proverbs; poetic parallelism; and certain subjects and ex-
casional use of motifs and data from canonical and nonca-
pressions that correspond to canonical ones. All this indicates
nonical wisdom. Certain affinities between older wisdom
that early Christians may have been drawn to some features
and Pirqei avot (Sayings of the Fathers) have often been
of Hebrew wisdom and that they agree with their predeces-
cited, but these seldom extend beyond surface resemblances.
sors who believed that the intellect was a sufficient means of
Within the Apocrypha, 2 Esdras (4 Ezra) wrestles with the
coping with reality and achieving the good life.
difficult problem of theodicy, and the pseudepigraphic Testa-
S
ments of the Twelve Patriarchs contains ethical teachings that
EE ALSO Biblical Literature; Ecclesiastes; Job; Psalms.
resemble wisdom texts.
BIBLIOGRAPHY
The New Testament. The wisdom tradition seems to
The most comprehensive discussions are James L. Crenshaw’s Old
have influenced the unknown author of the earliest source
Testament Wisdom (Atlanta, 1981) and Gerhard von Rad’s
for the Gospels, known as Q. Jesus is credited with a number
Wisdom in Israel, translated by James D. Martin (Nashville,
of gnomic sayings, most of which function to orient by dis-
1972). Three older treatments contain much valuable mate-
orientation: they challenge listeners by forcing them to re-
rial: Johannes Fichtner’s Die altorientalische Weisheit in ihrer
think their own presuppositions about a given situation. One
israelitisch-jüdischen Auspragung, “Beihefte zur Zeitschrift für
noteworthy feature of these sayings attributed to Jesus is their
die Alttestamentliche Wissenschaft” (BZAW), vol. 62 (Gies-
unusual attitude toward women. Whereas aphorisms con-
sen, 1933); Oliver S. Rankin’s Israel’s Wisdom Literature
cerning women in the first-century Greco-Roman world and
(Edinburgh, 1936); and Hilaire Duesberg and Irénée Fran-
in Jewish literature contain a strong misogynistic element,
sen’s Les scribes inspirés, 2d ed. (Maredsous, Belgium, 1966).
Three colloquiums have illuminated many disputed points;
the brief sayings placed in Jesus’ mouth are remarkably free
these are Les sagesses du Proche Orient ancien, edited by Fran-
of this sentiment.
çois Wendel (Paris, 1963); La sagesse de l’Ancien Testament,
The prologue to the Gospel of John utilizes Logos specu-
edited by Maurice Gilbert (Gembloux, 1979); and Sagesse et
lation to express the belief that Jesus was an earthly incarna-
religion, edited by Edmond Jacob (Paris, 1979). Three addi-
tion of the deity, and the Gospel of Matthew dares to identify
tional collected works are highly informative: Studies in An-
Jesus with divine wisdom, the embodiment of Torah (Mt.
cient Israelite Wisdom, edited by James L. Crenshaw (New
York, 1976); Israelite Wisdom: Theological and Literary Essays
11:25–30). Outside the Gospels, Paul’s letters rely on Judaic
in Honor of Samuel Terrien, edited by John G. Gammie et
speculation about wisdom to express Jesus’ role in creation
al. (Missoula, Mont., 1978); and Aspects of Wisdom in Juda-
itself. Furthermore, just as the sages had developed a theory
ism and Early Christianity, edited by Robert L. Wilkin (Notre
in opposition to theodicy as an extreme response to evil (that
Dame, Ind., 1975).
is, the very wish to defend God’s honor is blasphemous, since
The finest survey of current research on Egyptian wisdom is R.
the deity is by definition just), Paul ridicules human wisdom
J. Williams’s “The Sages of Ancient Egypt in the Light of Re-
and proclaims that God’s love and power are demonstrated
cent Scholarship,” Journal of the American Oriental Society
by Jesus’ death on the cross. It is conceivable that Paul’s op-
101 (1981): 1–19, while Glendon E. Bryce’s A Legacy of Wis-
ponents were witnessing the birth of Christian Gnosticism,
dom (Lewisberg, Pa., 1979) is an update of Paul Humbert’s
perhaps even performing midwife service. One other New
pioneer study of Egyptian influence on Israelite wisdom, Re-
Testament text is strongly influenced by Hebrew wisdom,
cherches sur les sources égyptiennes de la littérature sapientiale
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WISDOM LITERATURE: BIBLICAL BOOKS [FURTHER CONSIDERATIONS]
9761
d’Israël, “Mémoires de l’Université de Neuchâtel,” vol. 7
the Dame Folly and Dame Wisdom of Proverbs; a series of
(Neuchâtel, 1929). For Mesopotamian wisdom three refer-
beatitudes (4Q525); other collections of maxims or instruc-
ences are noteworthy: W. G. Lambert’s Babylonian Wisdom
tions (4Q424 and 4Q420–421); a hymn about acquiring
Literature (Oxford, 1960); Giorgio Buccellati’s “Wisdom
knowledge (4Q413); and several others. Many of these
and Not: The Case of Mesopotamia,” Journal of the American
works were probably not composed by the Qumran commu-
Oriental Society 101 (1981): 35–47; and Bendt Alster’s
nity; rather, they likely existed beforehand and were merely
Studies in Sumerian Proverbs, “Mesopotamia,” vol. 3 (Copen-
copied by them. Unique among Jewish instructions, a frag-
hagen, 1975). Leo G. Perdue’s Wisdom and Cult (Missoula,
Mont., 1977) remains the fullest discussion of that issue, and
ment of Sapiental Work A (4Q415 2 ii 1–9) seems to be di-
the related matter of royal wisdom has been studied by Leon-
rectly addressed to a woman; a wife is given conventional ad-
idas Kalugila in The Wise King, “Co-niectanea Biblica, Old
vice: to cling to her husband, to honor her father-in-law, and
Testament Series,” vol. 15 (Lund, 1980).
so on.
Several examinations of school wisdom have appeared; Roger N.
Scholars continue to investigate biblical wisdom’s rela-
Whybray’s The Intellectual Tradition in the Old Testament,
tion to the wisdom traditions in the neighboring Near East-
BZAW, vol. 135 (New York, 1974), opposes such a view,
ern literatures, as well as its place in world religions. In the
while Hans-Jürgen Hermisson’s Studien zur israelitischen
Spruchweisheit, “Wissenschaftliche Monographien zum
case of Ancient Egypt, further explorations of the subgenre
Alten und Neuen Testament,” vol. 28 (Neukirchen-Vluyn,
of instructions have yielded more specific similarities in lan-
1968), Bernhard Lang’s Frau Weisheit (Düsseldorf, 1975),
guage and form with those in the Bible. Moreover, the tale
and André Lemaire’s Les écoles et la formation de la Bible dans
of Ah:iqar,
l’ancien Israël, “Orbis Biblicus et Orientalis,” vol. 39 (Göt-
tingen, 1981), defend the existence of a school in Israel.
the earliest text of which is written in Aramaic and dates
to the fifth century BCE in Egypt, but which was subsequent-
Heinrich Schmid’s Wesen und Geschichte der Weisheit, BZAW,
ly transmitted in over a dozen languages, contains a series of
vol. 101 (Berlin, 1966), has documented the crisis through-
out the ancient Near East that resulted from a collapse in the
proverbs that demonstrate the popularity and continuity of
dogma of reward and punishment. The pervasive presence of
the proverb tradition in the Near East across the centuries.
sapiential themes and theology has been examined in Donn
With regard to Mesopotamia, the Sumerian “proverb” or
F. Morgan’s Wisdom in the Old Testament Traditions (Atlan-
“rhetoric collections” have been more fully published and
ta, 1981); Gerald T. Sheppard’s Wisdom as a Hermeneutical
studied, and other wisdom pieces have been considered in
Construct: A Study in the Sapientializing of the Old Testament,
connection with the Bible. For instance, the so-called Sume-
BZAW, vol. 151 (New York, 1980); and Max Küchler’s
rian poem about early rulers, preserved in three Old Babylo-
Frühjüdische Weisheitstraditionen, “Orbis Biblicus et Orien-
nian copies and in seven Sumero-Akkadian bilingual frag-
talis,” vol. 26 (Göttingen, 1979). The problem of theodicy
ments from thirteenth-century Syria, constitutes a
is discussed in an anthology edited by James L. Crenshaw,
particularly interesting case. In this composition, the univer-
Theodicy in the Old Testament (Philadelphia, 1983). Burton
sal literary motif of the fleeting nature of glory and fame,
L. Mack’s Wisdom and the Hebrew Epic (Chicago, 1985) dis-
cusses Ben Sira’s hymn in praise of the fathers.
epitomized by the medieval theme ubi sunt qui ante nos
fuerunt? (where are they who were before us?), seems to lead
JAMES L. CRENSHAW (1987)
to a more optimistic corollary, the carpe diem (seize the day)
theme, which can be compared to several passages in Ecclesi-
astes. Outside the ancient world, scholars have found many
WISDOM LITERATURE: BIBLICAL BOOKS
parallels to the biblical Proverbs in Arabic and African sapien-
[FURTHER CONSIDERATIONS]
tial traditions, and they have shown that proverbial sayings
The subject of wisdom literature in the Bible has flourished
and their many settings are cross-culturally quite similar, as
in the last decades of the twentieth century and the begin-
are the multiple settings from which they arise. These corre-
ning of the twenty-first century. New material and approach-
spondences do not necessarily imply genetic or historical re-
es have helped bring some aspects into clearer focus, while
lationships between the traditions, however; instead, they
others remain just as obscure as ever.
may actually indicate cross-cultural commonplaces.
It was previously thought that the authors of the Dead
New approaches to the Bible’s wisdom tradition also in-
Sea Scrolls were uninterested in wisdom; with the fuller pub-
clude feminist interpretations, among other. For example,
lication of more Qumran texts, however, they discovered
the existence of female sages has been explored, as has
that the opposite was true. In addition to copies of the bibli-
women’s verbal use of proverbs. While some scholars have
cal wisdom books and some Targums (Aramaic translations)
looked to ancient Near Eastern goddesses as precursors of
of Job, wisdom texts from the Qumran Dead Sea scrolls also
Dame Wisdom and Dame Folly (the Egyptian Isis, the Ca-
include: some sapiential psalms from Cave 11 (11Q5); parts
naanite Astarte, and the Mesopotamian Inanna, among oth-
of six copies of a large instruction known as “Sapiential Work
ers), others have suggested that Dame Wisdom is a hypostasis
A” (1Q26, 4Q415–418, 423); descriptions of a wicked
of Yahweh or a literary device, or a “literary compensation
woman the wise are to avoid and a woman the wise are to
for the eradication of the worship of these goddesses” (Had-
follow (4Q184 and 4Q185), perhaps to be identified with
ley in Day et al., Wisdom in Ancient Israel, p. 236).
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WISDOM LITERATURE: THEORETICAL PERSPECTIVES
Still, despite numerous recent monographs and articles
WISDOM LITERATURE: THEORETICAL
on biblical wisdom literature, little consensus has been
PERSPECTIVES
reached on some of the important issues; namely, the setting
There is great ambiguity in defining wisdom literature with-
of wisdom in ancient Israel, the existence of a school or court
in Jewish and Christian studies. This literary corpus has been
tradition as in Mesopotamia or Egypt, the existence of sages
defined alternately as (1) a precise canonical division of bibli-
as a professional class, the precise definition of “wisdom liter-
cal books attributed to Solomon (traditional view); (2) the
ature” (including its specific rhetoric, vocabulary, and
literary product of a particular social class (i.e., the sages of
themes), and the appropriateness of the generic label “wis-
Israel); (3) an empirical literature developed to address the
dom” or the unity of all ancient Near Eastern texts deemed
problems of government and administration; (4) an instruc-
such, and so forth. One of the most basic questions yet to
tional literature developed to teach social conduct in the fam-
be answered definitively is whether there were schools in an-
ily unit; (5) a literary observation on creation in reaction to
cient Israel.The best supporting epigraphic evidence may
the failure of prophecy; (6) an international literature often
perhaps be found in several inscriptions with sequences of
characterized as universal, eudaemonistic (i.e., happiness as
numbers and measurements especially from the regions of
life’s goal), secular, or humanistic; (7) a literature whose goal
Kadesh Barnea and Kuntillet DAjrud, as well as abcedaries
is to facilitate the reading and interpretation of sacred tradi-
(rudimentary alphabets) from various locations. These scarce
tion and scripture itself; (8) a literature expressive of an intel-
indications, however, cannot compare to the abundance of
lectual tradition distinguishable from other types of thought
evidence that exists for the scribal traditions in ancient Egypt
in Hebrew culture; and, (9) most broadly, any literature that
and Mesopotamia.
expresses a particular view toward reality (especially in clan,
Concerning vital questions about the nature of biblical
court, or scribal settings) in answer to the question “What
wisdom literature, therefore, one can anticipate continued
is good for men and women?”
lively debate among scholars, and hopefully subsequent ad-
This representative—but by no means exhaustive—list
vancement of our understanding.
of definitions reflects the lack of consensus about what wis-
B
dom is and how the wisdom tradition can be said to have
IBLIOGRAPHY
Some of the most important recent discussions on wisdom or the
shaped a literary genre called wisdom literature. The problem
sage in the Bible are: J.G. Gammie and L.G. Perdue, editors
of definition may be elucidated by examining the relevant
of eds. The Sage in Israel and the Ancient Near East (Winona
wisdom terms and patterns of usage in canonical deutero-
Lake, 1990); Stuart Weeks, Early Israelite Wisdom (Oxford,
canonical and extra-canonical texts through the Second
1994); Roland E. Murphy, The Tree of Life: An Exploration
Temple period (536 BCE–70 CE).
of Biblical Wisdom Literature, 2d ed. (Grand Rapids, 1996);
PROFESSIONAL CLASS OR CANONICAL DIVISION? Despite
Leo G. Perdue, Wisdom and Creation: The Theology of Wis-
dom Literature (Nashville, 1994); John Day, Robert P. Gor-
the pervasive use of the words hokhmah (wisdom) and
don and H.G.M. Williamson, editors of Wisdom in Ancient
hakham (wise) and the Greek equivalents sophia (wisdom)
Israel: Essays in Honour of J. A. Emerton (Cambridge, U.K.,
and sophos (wise) in the Bible and Septuagint (third-century
1995); Joseph Blenkinsopp, Wisdom and Law in the Old Tes-
BCE Greek translation of the Hebrew scriptures), they do not
tament: The Ordering of Life in Israel and Early Judaism (Ox-
technically describe either a professional class or a canonical
ford, 1995); John J. Collins, Jewish Wisdom in the Hellenistic
division of scripture. Although the word hak-ham appears in
Age (Louisville, Ky., 1997); James L. Crenshaw, Education
Jeremiah 18:18 in a context that to some scholars suggests
in Ancient Israel: Across the Deadening Silence (New York,
three professional classes (priests, prophets, and sages), such
1998); Carol Fontaine, Traditional Sayings in the Old Testa-
a reading is by no means conclusive and has been forcefully
ment (Sheffield, U.K., 1982).
challenged by Roger Whybray (1968), among others. Other
For wisdom at Qumran see: Charlotte Hempel, Armin Lange, and
texts suggestive of a professional class of ha-khamim (sages)
Hermann Licthenberger, editors of The Wisdom Texts from
are similarly inconclusive (see Is. 5:21, 29:14, 31:2; Jer. 8:8,
Qumran and the Development of Sapiential Thought (Louvain,
9:22). Aside from these biblical references, certain external
2002); and Daniel J. Harrington, Wisdom Texts from Qum-
ran (London, 1996).
evidence of international school and scribal structures has
been used to posit similar biblical institutions. However, lack
As for the ancient Near Eastern parallels, see: Riad Aziz Kassis, The
Book of Proverbs and Arabic Proverbial Works (Leiden, 1999);
of direct biblical evidence makes these theories somewhat
Nili Shupak, Where Can Wisdom Be Found? The Sage’s Lan-
speculative.
guage in the Bible and in Ancient Egyptian Literature (Fri-
Whether wisdom constitutes an intra-canonical catego-
bourg/Göttingen, Germany, 1993); Hellmut Brunner, Die
ry is likewise debatable. Not until the apocryphal Book of Ben
Weisheitsbücher der Ägypter: Lehren für das Leben, 2d ed. (Zü-
rich, 1991); and Miriam Lichtheim, Late Egyptian Wisdom
Sira (second century BCE) is there even an allusion to the tri-
Literature in the International Context: A Study of Demotic In-
partite canonical division: law, wisdom, and prophets (ex-
structions (Freiburg/Göttingen, Germany, 1983). For the Su-
pressed in this unusual order at 39:1)
merian proverbs, see Bendt Alster, Proverbs of Ancient Sumer,
WISDOM-TORAH IDENTIFICATION. A related and more
2 vols. (Bethesda, Md., 1997).
sharply defined issue in Ben Sira is the clear and striking
TAWNY L. HOLM (2005)
identification of Torah and wisdom in chapter 24. Here
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WISDOM LITERATURE: THEORETICAL PERSPECTIVES
9763
Wisdom, personified as a preexistent entity with God at cre-
which Jesus is depicted as both a new Moses (e.g., Mt. 5:17–
ation, is said to have found a resting place in Israel (Book of
20; 23:34–40) and as Wisdom’s representative (Mt. 11:19,
Ben Sira 24:9). Furthermore, wisdom is peculiarly merged
25–30; 23; cf. Book of Ben Sira 51) and in the Letter of James
with Torah so that there is no Torah study without the study
in which the “wisdom from above” (Mt. 3:17) seems to re-
of wisdom. Beyond the early association of wisdom and
place explicit Torah language.
Torah in Deuteronomy 4:6, the logic of this identification
The coexistence of such varied perspectives on the role
may be sought in the second-century BCE encounter between
of wisdom testifies to the highly pluralistic milieu of Helle-
Judaism and Hellenism, whose rich philosophical traditions
nistic Judaism. Ultimately, for Judaism, Torah remained the
challenged Israel to provide a philosophical foundation for
standard by which all other scripture was to be interpreted,
its own sacred history. In such a setting wisdom takes on a
for despite the eventual recognition of the prophets and the
decidedly apologetic task. For the author of Ben Sira, Torah
writings as canonical divisions, at no time were these placed
is mediated or interpreted by wisdom—the same wisdom
on equal footing with Torah. To the contrary, the challenge
perhaps that provides the international standard for the con-
at Yavneh in the first century to the canonicity of Song of
duct of human affairs. The concerns of Ben Sira are echoed
Songs and Ecclesiastes testifies to their tentative status, al-
in Baruch (Bar. 3:9–4:4) and perhaps even in the final stages
though the view that these books “defile the hands” (i.e., are
of earlier biblical books in which wisdom interprets sacred
to be revered as sacred writings) prevailed.
tradition.
WISDOM ATTRIBUTED TO SOLOMON. The ascription of
This wisdom-Torah association persists in the later rab-
three books to the hand of Solomon, Judaism’s preeminent
binic literature. More typical of rabbinic interpretation, the
wise man (1 Kgs. 3–5), is evidence of another link between
Mishnah tractate Avot entertains the same wisdom-Torah
wisdom and sacred history. Proverbs, Song of Songs, and
juxtaposition but comes to the opposite conclusion: Rather
(obliquely) Ecclesiastes all claim or allude to Solomonic au-
than wisdom leading inevitably to Torah, knowledge of
thorship. The curious circumstance that Ecclesiastes is as-
Torah now must precede and temper wisdom. In the words
cribed not to Solomon but to Qohelet, who is nevertheless
of the rabbinic sage Simon the Just:
described in language appropriate only to Solomon (“Son of
David, king in Jerusalem”), is regarded by Brevard S. Childs
He whose wisdom takes precedence over his fear of sin,
his wisdom will not endure. . . . That is why a person
(1979) as evidence of canonical shaping. By means of this
should first . . . carry out the commandments, even if
device, the reader who knows the tradition of wisdom sur-
he does not understand the reasons why. . . . He
rounding Solomon is instructed to read Ecclesiastes as an au-
whose wisdom exceeds his works is one who does not
thoritative part of that tradition. If this assessment is correct,
carry out what he learns; therefore his knowledge of the
the assignment of texts to Solomon provides the earliest
Torah will not keep. (Avot 3.12)
glimpse of a biblical category functioning as (what is now re-
ferred to as) wisdom literature.
In the Dead Sea Scrolls at Qumran, in which the wisdom
tradition is variously supplemented or even supplanted by
Although modern scholars such as Whybray, Gerhard
apocalypticism, there is surprisingly little hokhmah/hakham
von Rad, Walter Bruggemann, and Joseph Blenkinsopp have
vocabulary. Nevertheless, selected scrolls (1 QS, 1 QH, 1
tended to attribute a secular humanistic orientation to the
QM) are strongly reminiscent of the late wisdom writings
literature of the Solomonic enlightenment, Jewish historian
(e.g., Book of Ben Sira, Baruch, Wisdom of Solomon). Here
Josephus Flavius (37/38–c. 101), the rabbis, and the early
an esoteric wisdom aids in the interpretation of Torah; what
church fathers offer evidence for the inadequacy of this as-
can be known about the origin and end of the world is not
sessment. Both Flavius and Origen (c. 185–c. 254) refer to
clearly discernible either in creation itself or in Torah plainly
the Solomonic works as theologically didactic, that is, teach-
interpreted. Torah mysteries are revealed to the sectaries who
ing divine wisdom. In his famous discussion of the twenty-
become by membership in the community initiates into di-
two books of scripture “justly accredited” and “containing
vine mysteries (1 QS 9:17–18; 1 QH 1:21). And yet, this
the record of all time,” Josephus observes that “four contain
esoteric wisdom is still linked to ethics and piety as in the
hymns to God and precepts for the conduct of human life
older wisdom–Torah dialectic. The created order is still
[hypothekas]” (Against Apion 1.39). These four are thought
cause for praise despite its secrets (1 QH 1:11–12), and the
to be Psalms, Proverbs, Ecclesiastes, and Song of Songs.
secrets will finally be revealed to the remnant of those who
In the prologue to his Commentary on Song of Songs, Or-
obey to the commandments:
igen places “three books written by Solomon’s pen [in] di-
But with the remnant of those who held fast to the
dactic order” from Proverbs to Ecclesiastes to Song of Songs.
commandments of God He made his Covenant with Is-
In this order, he writes, the books present three general disci-
rael forever, Revealing to them the hidden things In
plines by which one attains knowledge of the universe. The
which all Israel had gone astray. (1 CD 3:13–14; as
Greeks call them ethics, physics, and enoptics (Origen, Com-
cited in Vermes, 1962, p. 85)
mentary on Song of Songs).
A similar wisdom-Torah dialectic, now with different aims,
Origen’s thought was further systematized in the fourth
may be at work in the New Testament Gospel of Matthew in
century by Gregory of Nyssa (c. 335–c. 395), who writes that
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WISDOM LITERATURE: THEORETICAL PERSPECTIVES
God used Solomon as an instrument to show “in systematic
bear strong resemblance to the biblical Proverbs, whereas
and orderly fashion, the way which leads upward to perfec-
texts listing the works of nature, such as the Onomasticon of
tion.” These three books, analogous to stages of growth in
Amenemope, were compared to texts such as Job 38–39. Like-
the physical body, reveal a particular order of development
wise, the biblical theme of the suffering of the righteous and
that brings human beings to virtuous life. From Proverbs’s
the skeptical tradition of Qohelet found rough parallels in
neophyte wisdom, suitable for the child, to Ecclesiastes’s
certain Egyptian texts (such as the papyrus Dispute over Sui-
teaching that “beauty is that beyond anything grasped by the
cide) and even stronger resonance in Mesopotamian texts like
senses,” to Song of Songs’s “initiation of the mind into the in-
the poem Ludlul bel nemeqi (the Babylonian Job), the Dia-
nermost divine sanctuary,” the human soul is directed gradu-
logue of Human Misery, and the Dialogue of Pessimism.
ally toward its final “mingling with the divine” (Gregory of
Despite these strong family resemblances, however,
Nyssa, Homily on the Song of Songs).
many scholars have objected that ancient Near Eastern paral-
WISDOM SINCE THE ENLIGHTENMENT. With the Enlighten-
lels have been exaggerated in the secondary literature. W. G.
ment and the rise of modern biblical scholarship came a de-
Lambert’s (1960) pivotal study of Babylonian literature
parture from the traditional definition of wisdom literature
stresses the inapplicability of biblical definitions of wisdom
as material attributed to Solomon. Attention turned now to
to the Akkadian word nemequ, usually translated “wisdom.”
the issues of form and redaction criticism and particularly to
Unlike biblical wisdom, nemequ most often refers to skill in
newly discovered ancient Near Eastern wisdom parallels (es-
cult and magic lore in which the wise man is the initiate. Al-
pecially Egyptian texts). In this period the term wisdom liter-
though Babylonian literature exhibits thought patterns simi-
ature came to be a standard designation for a vaguely defined
lar to those often characterized as biblical wisdom (e.g., prov-
type of Old Testament literature.
erbs, advice on living), “there is no precise canon by which
Interest in the implications of scientific findings for the
to recognize them” as wisdom texts (Lambert, 1960). In any
standing of wisdom in biblical theology also arose in the
case Lambert cautions that the term nemequ does not ade-
modern period, doubtless in reaction to the Enlightenment
quately define these writings.
preoccupation with historical critical method. Von Rad’s
Equally problematic is the attempt to equate proverbial
(1972) three-part chronological division of Old Testament
or folk sayings with wisdom. Once again the cross-cultural
wisdom history into old (secular) wisdom, theological wis-
resemblance is undeniable and yet one cannot limit wisdom
dom, and apocalyptic wisdom is perhaps the most compre-
to proverbs without depriving the term wisdom of its rich nu-
hensive result of such study, although it has received sharp
ance. Proverbs, after all, occur in the widest variety of cul-
criticism by such scholars as James Crenshaw and Gerald
tures, often without any religious content or implication.
Sheppard.
The discovery of Egyptian parallels to biblical proverbs is far
In the 1950s a new and extensive exploration of wisdom
from establishing an international standard for wisdom.
influence on biblical texts generally not defined as wisdom
WISDOM AS A CATEGORY IN THE HISTORY OF RELIGIONS. If
literature was initiated by von Rad’s (1966) study of the Jo-
it is somewhat problematic to speak of a cross-cultural wis-
seph narrative in Genesis. Von Rad’s claim that the Genesis
dom literature in the ancient Near Eastern context, it is even
narrative, through its use of wisdom themes and vocabulary,
more difficult to do so in the context of contemporary com-
presents Joseph as one trained in the wisdom of the Egyptian
parative religions. It would be tempting, for example, to
court drew much criticism but also gave rise to a generation
draw a correspondence between Buddhism’s prajña¯, some-
of similar studies. Studies of other narrative texts, like Why-
times personified as a goddess who brings enlightenment to
bray’s (1968) Succession Narrative and Talmon’s (1963)
all buddhas, and the personified Wisdom of Proverbs 8. Both
study of the Book of Esther, followed von Rad’s lead. Legal
figures are praised in hymns that endow them with feminine
and prophetic texts were similarly explored by Moshe Wein-
traits, and yet the practices directed toward achieving the two
feld, Joseph Jensen, William Whedbee, and others.
states—prajña¯ and biblical wisdom—are near opposites.
Buddhism, particularly Maha¯ya¯na Buddhism, undertakes to
CROSS-CULTURAL STUDIES OF WISDOM IN THE ANCIENT
awaken prajña¯ “found slumbering under ignorance and
NEAR EAST. The international context of biblical wisdom is
karma which come from our unconditioned surrender to the
already suggested by the claim in 1 Kings 4:30 that Solo-
intellect” (Suzuki, 1958 p. 5), whereas biblical wisdom is
mon’s wisdom surpassed that of all the peoples of the East
often characterized as an intellectual tradition. In other
and Egypt. The comparison of Egyptian instructional litera-
words, wisdom in the biblical tradition is often associated
ture to Proverbs by Adolf Erman (1924) and Paul Humbert
with knowledge, and prajña¯—more like antiknowledge—is
(1929) opened a new phase of inquiry into wisdom literature
characterized by detachment from the intellect and the culti-
as a genre. From the Egyptian sebayit (teaching) with its cen-
vation of a transcendental insight into things “just as they
tral idea of maat (the divine order of truth established by
are” (yatha bhutam), without conceptual distortion.
God) to the Sumerian and Assyro-Babylonian instructional
texts of Mesopotamia, parallels to nearly every presumed wis-
Closer to what scholars associate with biblical wisdom
dom category in the Hebrew scriptures have been found.
is the wisdom of Zoroastrianism, which is manifest in perfect
Egyptian texts relating advice to the student were found to
control over the will, shown in “good deeds, righteousness
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WISDOM LITERATURE: THEORETICAL PERSPECTIVES
9765
and good repute,” according to Denkard, a ninth-century en-
Erman, Adolf. “Das Weisheitsbuch des Amen-em-ope.” Orien-
cyclopedia of Zoroastrianism. The source of this wisdom is
talische Literaturzeitung 27 (May 1924): 241–252.
the Creator “who is essential wisdom”; the created “receive
Gammie, John G., and Leo G. Perdue, eds. The Sage in Israel and
it through their own faculties” (Denkard 380.19–382.3). As
the Ancient Near East. Winona Lake, Ind., 1990.
in much of the Bible, wisdom and righteousness go hand in
Gerstenberger, Erhard. “Covenant and Commandment.” Journal
hand.
of Biblical Literature 84 (1965): 38–51.
Islamic mysticism offers another example of wisdom as
Greer, Rowan A., ed. and trans. Origen: An Exhortation to Martyr-
anti-intellectualism. For the S:u¯f¯ıs, all wisdom (aqul; univer-
dom. New York, 1979.
sal reason) is included in the letter alif, the first letter of the
Harrington, Daniel J. Wisdom Texts from Qumran. London, 1996.
Arabic alphabet and symbol for God. It requires no study of
Hempel, Charlotte, Armin Lange, and Hermann Lichtenberger,
books or philosophical quest because knowledge is immedi-
eds. The Wisdom Texts from Qumran and the Development of
ately derived from God. Furthermore, it is typical of Persian
Sapiential Thought: Studies in Wisdom at Qumran and its Re-
mystical literature to elevate love over intellect or to substi-
lationship to Sapiential Thought in the Ancient Near East, the
tute “rapture for reasoning” (Schimmel, 1975, p. 431).
Hebrew Bible, Ancient Judaism and the New Testament. Lou-
vain, 2001.
Each of these traditions undoubtedly exhibits internal
Humbert, Paul. Recherches sur les sources égyptiennes de la littérature
diversity and nuance in its definition of wisdom equal to or
sapiéntiale d’Israël. Neuchâtel, Switzerland, 1929.
exceeding the variations in biblical and other ancient Near
Eastern texts. The problems encountered in the comparison
Jensen, Joseph. Isaiah 1–39. Wilmington, Del., 1984.
of the latter, texts from similar temporal and geographical
Lambert, Wilfred G. Babylonian Wisdom Literature. Oxford,
settings, are only exacerbated in the broader cultural context
1960.
of contemporary history of religions. If there is no consistent
McKane, William. Prophets and Wise Men. Naperville, Ill., 1965.
use of the term in the ancient Near East, there is far less con-
Murphy, Roland E. The Tree of Life: An Exploration of Biblical
sistency of definition about a wisdom genre outside of that
Wisdom Literature. New York, 1990.
milieu. The question remains, then, whether wisdom can be
Norris, Richard A., ed. The Song of Songs Interpreted by the Early
spoken about as a category of literature either within the
Church and Medieval Commentators. Grand Rapids, Mich.,
Bible or in the broader and more problematic cross-cultural
2003.
context of world religions.
O’Connor, Kathleen. Wisdom Literature. Wilmington, Del.,
1988.
SEE ALSO H:okhmah; Prajña¯; Sophia.
Pritchard, James B., ed. Ancient Near Eastern Texts Relating to the
Old Testament. 3d ed. Princeton, N.J., 1969.
BIBLIOGRAPHY
Blenkinsopp, Joseph. Sage, Priest, and Prophet: Religion and Intel-
Robert, A. “Les attaches littéraires bibliques de Proverbs I–IX.”
lectual Leadership in Ancient Israel. Louisville, Ky., 1995.
Revue Biblique 43 (1934): 42–68, 374–384; 44 (1935): 344–
365, 502–525.
Blenkinsopp, Joseph. Wisdom and Law in the Old Testament: The
Ordering of Life in Israel and Early Judaism. 2d ed. New York,
Schimmel, Annemarie. Mystical Dimensions of Islam. Chapel Hill,
1995.
N.C., 1975.
Brenner, Athalya, ed. A Feminist Companion to Wisdom Literature.
Schroer, Silvia. Wisdom has Built Her House. Collegeville, Pa.,
Sheffield, U.K., 1995.
2000.
Bruggemann, Walter. In Man We Trust: The Neglected Side of Bib-
Sheppard, Gerald T. Wisdom as a Hermeneutical Construct: A
lical Faith. Richmond, Va., 1972.
Study in the Sapientializing of the Old Testament. Berlin,
1980.
Camp, Claudia. Wisdom and the Feminine in the Book of Proverbs.
Sheffield, U.K., 1987.
Suzuki, Daisetz Teitaro. Zen and Japanese Culture. 2d ed., rev. and
enl. Princeton, N.J., 1958.
Childs, Brevard S. Introduction to the Old Testament as Scripture.
Philadelphia, 1979.
Talmon, Shemaryahu. “‘Wisdom’ in the Book of Esther.” Vetus
Testamentum 13 (1963): 419–455.
Collins, John J. Jewish Wisdom in the Hellenistic Age. Louisville,
Ky., 1997.
Vermes, Geza. The Dead Sea Scrolls in English. London, 1962.
Crenshaw, James L. “Method in Determining Wisdom Influence
Von Rad, Gerhard. “The Joseph Narrative and Ancient Wisdom.”
upon ‘Historical’ Literature.” Journal of Biblical Literature 88
In The Problem of the Hexateuch and Other Essays, translated
(1969): 129–142.
by E. W. Trueman Dicken. Edinburgh, 1966.
Crenshaw, James L. “Prolegomenon.” In Studies in Ancient Israel-
Von Rad, Gerhard. Wisdom in Israel. Translated by James D.
ite Wisdom, edited by James L. Crenshaw, pp. 1–60. New
Martin. Nashville, 1972.
York, 1976.
Weinfeld, Moshe. Deuteronomy and the Deuteronomic School. Ox-
Crenshaw, James L. Old Testament Wisdom: An Introduction. At-
ford, 1972.
lanta, Ga., 1981.
Whedbee, J. William. Isaiah and Wisdom. Nashville, 1971.
Deutsch, Celia M. Lady Wisdom, Jesus and the Sages: Metaphor and
Whybray, Roger N. The Succession Narrative: A Study of II Samuel
Social Context in Matthew’s Gospel. Valley Forge, Pa., 1996.
9–20; I Kings 1 and 2. Naperville, Ill., 1968.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9766
WISE, ISAAC M.
Whybray, Roger N. The Intellectual Tradition in Israel. Berlin,
BIBLIOGRAPHY
1974.
Heller, James G. Isaac M. Wise. New York, 1965.
Zaehner, Robert C. The Dawn and Twilight of Zoroastrianism.
Knox, Israel. Rabbi in America: The Story of Isaac M. Wise. Boston,
London, 1961.
1957.
ALEXANDRA R. BROWN (1987 AND 2005)
Philipson, David. Reform Movement in Judaism. 2d rev. ed.
(1931). Reprint, New York, 1967.
Temkin, S. D. “Isaac Mayer Wise and the Civil War.” American
Jewish Archives 15 (November 1963): 120–142.
WISE, ISAAC M. (1819–1900), pioneer and leading or-
ganizer of American Reform Judaism. Born near Eger, Bohe-
Wise, Isaac M. Reminiscences. Translated by David Philipson.
mia (now Cheb, Czech Republic), Isaac Mayer Wise led an
Cincinnati, 1901. Covers the period between 1846 and
1857.
impoverished childhood. He received a traditional Talmudic
education, which, though irregular, gave him an extensive
New Sources
acquaintance with rabbinic literature and an appetite for
Wolf, Alfred. “A Newly-Discovered Letter by Isaac M. Wise.”
wider knowledge. In 1846, after holding a minor rabbinical
Journal of Reform Judaism 37 (1990): 1–8.
position in Radnitz, he left for America.
S. D. TEMKIN (1987)
Essentially Wise was an autodidact. He appears to have
Revised Bibliography
imbibed Mendelssohnian ideas in Europe, but on his arrival
in New York there was nothing to distinguish him from con-
ventional Orthodoxy. The mainspring of his Reform inclina-
WISE, JOHN (1652–1725), Congregational clergyman
tions, which surfaced in America, appears to have been a
and proponent of ecclesiastical liberty in the Massachusetts
sense of the needs of Judaism in the New World. He became
Bay Colony. A graduate of Harvard College in 1673, Wise
the rabbi at a synagogue in Albany, New York, and not only
by the end of the 1670s had settled in the town of Ipswich
instituted reforms there but began to write and lead efforts
as its parish minister, remaining in that capacity and locale
designed to bring direction to the scattered elements of
until his death. Wise is remembered chiefly for his defense
American Jewry—to formulate a particularly American Juda-
of a pure “congregational” polity, each local church being left
ism. A quarrel within his synagogue over certain of these re-
free to conduct its own affairs without hindrance or help
forms led to his being forcibly ejected from his position in
from “higher” or more numerous clerical authorities. In The
1850; he thereupon started his own congregation. In 1854
Churches Quarrel Espoused (1710) and again in A Vindication
he moved to Cincinnati, where he remained until his death.
of the Government of New-England Churches (1717), Wise
During the course of his lifetime Wise was twice married; he
ridiculed the notion that pastors were unable to lead their
had ten children with his first wife and four with his second.
own flocks, perform their proper duties, or steadily “steer in
In Cincinnati, Wise started a weekly, The Israelite (later
all weather that Blows.” It was quite unnecessary, he argued,
renamed The American Israelite), which was quickly followed
and indeed potentially dangerous, to resort to councils or
by a German periodical for Jewish women, Die Deborah. He
synods—to consociations or committees—to “advise” or “as-
wrote voluminously: history, theology, poetry, catechisms,
sist” the independent congregation. If people cannot direct
and liturgical writings issued from his pen. Wise’s overriding
their own worship, he continued, perhaps they are incapable
concerns were to provide the American Jewish community
even of choosing their own spouses. Some may even think
with a synod that would set qualifications for American rab-
that a committee is needed to “direct all Wooers in their
bis and to establish a college that would train them and legiti-
Choice for the Marriage Bed; for that there is many a fond
mize changes in ritual. This program incurred the suspicion
Lover who has betrayed the glory of Wedlock by making an
not only of Orthodox Jews but also of the more doctrinaire
unwise and unfortunate Choice; and why not particular Beds
Reform Jews, and it led to violent polemics with his col-
be overruled, as well as particular Churches?”
leagues.
With such wit joined with even more convincing argu-
Nevertheless, as a result of Wise’s propaganda the
ments from antiquity, from nature, and from Christian
Union of American Hebrew Congregations was established
scripture, Wise argued narrowly for the congregational way,
in 1873 in Cincinnati, and in 1875 the union opened He-
but he also argued broadly for local rule and individual liber-
brew Union College, with Wise as its president. His energy,
ty. That Wise’s plea for ecclesiastical liberty had inescapable
resilience, and single-minded devotion to his tasks nursed the
implications for civil liberty found explicit recognition in the
college through a difficult beginning, and when in 1889 the
republication in 1772 of both works noted above. After the
Central Conference of American Rabbis was established
Sugar Act (1764), the Stamp Act (1765), the Townshend
Wise became its president. His place in the history of Ameri-
acts (1767), and the Boston Massacre (1770), New England-
can Judaism rests on his intuition of the needs of an as yet
ers welcomed the assurance that a natural person is “a Free-
inchoate community and his persistence in bringing his ideas
Born Subject under the Crown of Heaven, and owing Hom-
to fulfillment.
age to none but God Himself.”
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WISSOWA, GEORG
9767
BIBLIOGRAPHY
New Sources
The only modern biography of John Wise is George A. Cook’s
Moffic, Evan. “The Progressive Zionism of Louis Brandeis and
John Wise: Early American Democrat (New York, 1952,
Stephen Wise.” CCAR Journal 47 (2001): 15–24.
1966). For a fuller assessment of Wise’s significance, see
ABRAHAM J. KARP (1987)
Perry Miller’s The New England Mind: From Colony to Prov-
Revised Bibliography
ince (Cambridge, Mass., 1953).
EDWIN S. GAUSTAD (1987 AND 2005)
WISSOWA, GEORG (1859–1931), was a German
philologist and historian of Roman religion. Georg Otto Au-
WISE, STEPHEN S. (1874–1949), American rabbi,
gust Wissowa was born near Breslau, the son of a civil ser-
Zionist leader, and social activist. Scion of a family of Euro-
vant. His grandfather was a noted Tacitus scholar and the
pean rabbis, Stephen Samuel Wise was brought to America
director of Breslau’s Catholic Gymnasium, where Wissowa
as an infant from Budapest to join his father, Aaron Wise.
himself was educated, graduating with superior marks in
Educated at Columbia University, he received private rab-
1876. That same year he entered the University of Breslau,
binic training and was ordained by Adolf Jellinek of Vienna.
where he studied under the classical philologist August Reif-
From service as assistant rabbi at the Conservative synagogue
fersheid, who introduced him to the study of Roman reli-
B’nai Jeshurun in New York, he moved to the pulpit of Re-
gion. In 1880 Wissowa successfully defended his doctoral
form Temple Beth Israel in Portland, Oregon, and returned
dissertation, “De Macrobii Saturnalium fontibus.” He subse-
to New York in 1907 to found and head the Free Synagogue.
quently continued his studies in Munich under Heinrich von
Its pulpit would be free, said Wise; its pews would welcome
Brunn, then one of Germany’s foremost students of Roman
all; its purpose would be to make its congregants more “vital-
antiquities. From Brunn he gained an appreciation of the im-
ly, intensely, unequivocally Jewish.”
portance of art and monuments for the understanding of
Roman religious life, and in 1882 he produced a habilitation
A religious liberal and social activist, Wise used the pul-
thesis on the images of Venus in Roman art (“De Veneris
pit and lecture platform to promote both liberalism and so-
simulacris romanis”). Through Brunn, Wissowa also met
cial justice. As an American clergyman he involved himself
that towering genius of Roman historical studies, Theodor
in civic affairs and social and economic issues, helping to
Mommsen, whose methods he later applied to the study of
found both the National Association for the Advancement
Roman religion.
of Colored People (1909) and the American Civil Liberties
Union (1920); as a rabbi he made the plight of brethren
Upon the acceptance of his thesis, Wissowa joined the
abroad, Jewish rights at home, and the democratization of
faculty at Breslau as a privatdocent, but he spent his first year
Jewish communal life his central concerns. Above all was his
in that position doing research in Italy (his only trip to the
lifelong devotion to the cause of Zionism. He was a founder
homeland of Roman civilization). In 1886 he accepted a post
of the Federation of American Zionists in 1898, and he twice
as associate professor at Marburg, where he was promoted
served as president of the Zionist Organization of America
to professor ordinarius in 1890. In 1895 he left Marburg for
(1913–1920; 1936–1938).
the University of Halle (Saale), where he spent the remainder
of his career.
To help democratize the structure of the American Jew-
ish community, Wise took leadership in the organization of
During the early part of his career Wissowa wrote nearly
the American Jewish Congress. He was its president from
a dozen articles dealing with Roman religious antiquities.
1921 to 1925 and honorary president until his death. In the
There were, in fact, preliminary studies for what was to be
wake of the rise of Nazism, he organized the World Jewish
his chief contribution to the science of religion, Religion und
Congress in 1936 and served as its president. To bring great-
Kultus der Römer (1902; 2d ed., 1912). In this work he traced
er unity to American Jewry, he founded a nondenomination-
the development of Rome’s religion and described in detail
al rabbinical seminary, the Jewish Institute of Religion, in
its gods and practices. The book’s importance lies in Wis-
1922. Wise was acclaimed as one of the most stirring of pul-
sowa’s successful identification of the several strata of Roman
pit orators and platform lecturers of his generation.
religion, his clarity and precision in delineating the nature
of its various facets, and his masterful treatment of its evolu-
B
tion by adoption of foreign forms. He demonstrated once
IBLIOGRAPHY
Polier, Justine Wise, and James Waterman Wise, eds. The Personal
and for all the essential dissimilarity of Greek and Roman
Letters of Stephen Wise. Boston, 1956.
religion, emphasizing that the latter was highly legalistic and
almost totally lacking in mythology. In an era dominated by
Urofsky, Melvin I. A Voice That Spoke for Justice. Albany, N.Y.,
the comparative approach to religion popularized by James
1982.
G. Frazer’s The Golden Bough, Wissowa anticipated more re-
Voss, Carl H. Rabbi and Minister. Cleveland, 1964.
cent anthropology by insisting on the need to understand
Voss, Carl H., ed. Stephen S. Wise, Servant of the People: Selected
Roman religion on its own terms and as an organic unit (cf.
Letters. Philadelphia, 1969.
his remarks on Frazer in Religion und Kultus, 2d ed., p. 248,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9768
WITCHCRAFT: CONCEPTS OF WITCHCRAFT
n. 3). Religion und Kultus der Römer soon became the founda-
text. The word witch derives from the Old English noun
tion for all subsequent work in its field. Though other gener-
wicca (sorcerer) and the verb wiccian (to cast a spell). The
al treatments of the subject have appeared since its publica-
original concept of witchcraft corresponds to what anthro-
tion, it remains a standard and indispensable authority.
pologists call sorcery: the attempt to influence the course of
Hardly less important for the study of religion was Wis-
events by ritual means. Sorcery is widespread and found in
sowa’s decision to take on the task of reediting August
almost every culture and historical period. Two other, quite
Pauly’s Realencyclopädie der klassischen Altertums-wissenschaft.
different, phenomena have also been called witchcraft. The
The resulting compendium, not completed until 1972, be-
first is the alleged diabolical witchcraft of early modern Eu-
came a standard reference for all students of the ancient
rope and its colonies; the second is Neopagan witchcraft, a
world. It naturally included numerous articles on ancient
twentieth-century revival. This article will distinguish sharp-
gods and cults, many of them written by Wissowa himself.
ly among these three phenomena, because the connections
He was, in addition, a contributor to W. H. Roscher’s Aus-
between them are few and tenuous.
führliches Lexikon der griechischen und römischen Mythologie
ANTHROPOLOGICAL CONCEPTS OF SORCERY AND WITCH-
and to James Hastings’s Encyclopaedia of Religion and Ethics.
CRAFT. Anthropologists distinguish between sorcery and
witchcraft. Sorcery is a system of beliefs and practices whose
Wissowa continued to be an active author and teacher
goal is to manipulate nature in order to bring about specific
until 1923, when his health failed. He spent the last eight
changes that benefit the sorcerer or her or his clients. Witch-
years of his life as an invalid. It is to be regretted that his
craft is the belief that certain members of society are inher-
physical condition prevented him from participating in the
ently able to harm others. Sorcery involves a set of skills that
discussion of new archaeological evidence unearthed during
can be learned; witchcraft is usually thought to be inborn and
the 1920s that was to prove of major significance for the his-
inherited. In practice, however, sorcery and witchcraft beliefs
tory of Roman religion.
often exist side by side, and it is sometimes difficult to sepa-
rate the two.
BIBLIOGRAPHY
In addition to the works cited above, Wissowa wrote a collection
The simplest forms of sorcery involve the performance
of articles, Gesammelte Abhandlungen zur römischen Religions-
of one action in order to bring about another, such as per-
und Stadtgeschichte (1904; reprint, New York, 1975), which
forming sexual intercourse in a sown field to assure a good
supplement Religion und Kultus. Of his many other valuable
harvest, or putting pins in an image to cause injury. Howev-
articles, I would single out as particularly interesting “Zum
er, sorcery often goes beyond the performance of magical acts
Ritual der Arvalbrüder,” Hermes 52 (1917): 321–347.
and invokes the help of spirits. In order to cure illness, a Gua-
A bibliography of Wissowa’s works (nearly complete, but add the
temalan sorcerer may perform rituals invoking the aid of San
articles listed in the index to the Encyclopaedia of Religion and
Simon, a Catholic saint who has absorbed the characteristics
Ethics, edited by James Hastings, Edinburgh, 1908–1927)
of an indigenous Mayan deity. If a member of the Lugbara
may be found at the end of Otto Kern’s obituary for Wis-
tribe of Zaire and Uganda were injured, he might appeal to
sowa in the Biographisches Jahrbuch für Altertumskunde 60
the shrines of his dead ancestors for help. This type of magic
(1934): 120–145. This article and Kern’s Georg Wissowa: Ge-
has much in common with prayer: both magic and prayer
dächtnisrede (Halle, 1931) are the fullest treatments of Wis-
attempt to assure a spirit’s assistance. However, while prayer
sowa’s life.
usually implores a deity’s cooperation, magic sometimes at-
New Sources
tempts to compel the gods to collaborate.
See now the various contributions (by Johns Scheid, Fritz Graf,
Mary Beard, among others) intended to form a sort of mono-
Sorcery implies an underlying belief system in a coher-
graphic section in Archiv f. Religionsgeschichte 5 (2003): 1–
ent universe in which all parts are interrelated, and influenc-
211; as well as Gert Audring, Gelehrtenalltag. Der Briefwech-
ing one part can affect another. In such a universe, relation-
sel zwischen Eduard Meyer und Georg Wissowa (1890–1927)
ships exist linking human beings with stars, plants, minerals,
(Hildesheim, 2000).
animals, and other natural phenomena, as well as supernatu-
rals, such as gods, nature spirits, and angels. This belief sys-
HENRY JAY WATKIN (1987)
Revised Bibliography
tem is known as the “magical worldview.” Its thought pro-
cesses are intuitive rather than analytical, but they have their
own internal logic, and are thus not inherently irrational.
They can arise out of an emotionally charged experience: for
WITCHCRAFT
example, if in a rage you curse someone who has offended
This entry consists of the following articles:
you, and shortly afterwards this person dies, you may feel
CONCEPTS OF WITCHCRAFT
both guilty and powerful, and henceforth assume that certain
AFRICAN WITCHCRAFT
powers are available to you. Empirical science ignores such
events because they cannot be verified through experimenta-
WITCHCRAFT: CONCEPTS OF WITCHCRAFT
tion, but societies whose worldviews are not exclusively em-
The term witchcraft embraces a wide variety of phenomena.
pirical regard them as direct and convincing evidence of a co-
Its meaning varies according to historical and cultural con-
herent, magical universe.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WITCHCRAFT: CONCEPTS OF WITCHCRAFT
9769
Almost all societies have some form of sorcery; in many,
to undo the witchcraft and mend social relations. Only in
it plays an important function. In cultures without access to
severe cases would disagreements result in the trial and exe-
medical technology, sorcerers may function as healers. Even
cution of the witch.
when medical cures are available, people may still resort to
The Navajo Indians of the American Southwest be-
sorcerers to heal certain kinds of illnesses that do not respond
lieved in witches called skinwalkers who would transform
readily to pharmaceutics or surgery. Healers, medicine men,
into wolves or coyotes at night in order to stalk their victims.
and so-called witch doctors are sorcerers who by definition
Skinwalkers were said to assemble secretly in order to con-
have a positive function in society, for their work is to cure
coct a poison made from corpses that they used to kill their
victims of the effects of witchcraft or malevolent magic. Indi-
enemies. They were thought to fly through the air at night
viduals may consult healers to obtain relief from disease or
to blow the corpse poison into the smoke holes of their vic-
other misfortunes attributed to witchcraft or sorcery; tribal
tims’ hogans (a hogan is a Navajo dwelling). Both the
and village authorities may summon them to combat
Azande and the Navajo had healers who specialized in curing
drought or other public calamities. Dances and other rituals
cases of witchcraft; however, among the Navajo, these spe-
serve to detect and repel witches and evil spirits. Such protec-
cialized healers sometimes became suspected of witchcraft
tive sorcery assumes special social importance in times of
themselves. This occurs in many societies where sorcerers are
famine, war, or severe stress in the community.
enlisted to undo witchcraft, because it is assumed that those
who have the power to heal can also use that power to harm.
In some cultures, sorcery and religion come together: a
priest or priestess may perform ritual acts to make rain, ripen
Cultures with a belief in witchcraft often imagine witch-
the crops, procure peace, or ensure victory in war. When
es as the very opposite of everything considered right in soci-
such acts are performed publicly, for the public good, they
ety. A witch is someone who disregards social rules, flouting
are generally viewed as benevolent and have a positive social
even the most basic rules regarded as standards of decency
function. But when they are performed privately and for the
in a particular society. Witches are often said to commit
benefit of a few individuals, they are often regarded with sus-
murder and incest, to engage in cannibalism and indiscrimi-
picion. The distinction between public and private magic
nate orgies, to have the ability to transform into animals, and
often becomes the distinction between “good” and “bad”
to eat or otherwise abuse corpses. In other words, witches are
magic. Both Vodou and Santeria, Afro-Caribbean religions
people who violate the most basic rules in human society. Be-
in which elements of magic exist within a religious frame-
cause the basic rules that maintain social order are similar
cross-culturally, witches tend to be imagined in similar ways.
work, make formal distinctions between public religious cer-
It follows that individuals who flout other kinds of social
emony and private sorcery done against certain individuals;
rules, or who appear anomalous in other ways, stand a chance
the latter is condemned. Private sorcery provides the poor,
of being accused of witchcraft. For example, among the
the weak, and the powerless with a tool of resistance and re-
Azande, those who did not behave as good neighbors, who
venge. During periods of great social tension, such as plague
had many quarrels within the village, or who had a history
or warfare, recourse to sorcery tends to increase and intensify,
of violent behavior were more frequently accused of witch-
as more individuals feel powerless at the mercy of larger
craft. Among the Navajo, those who appeared greedy, selfish
forces.
and refused to share with their families, or who were margin-
Periods of social strain are also characterized by a rise
al to the community and lived in peripheral areas were vul-
in witchcraft accusations. Unlike sorcerers, witches do not
nerable to witchcraft accusations. Belief in witchcraft thus
actually have to perform any actions to harm their victims.
serves as a form of social control, reinforcing sanctioned be-
The Azande of southern Sudan believed that witchcraft was
haviors and creating a threat against those who violate social
a psychic act; it required no magic spells or actions, and
norms.
could even be done involuntarily. Witchcraft was inherited
Witchcraft beliefs also function as an attempt to explain
from the parent of the same sex. Witches were believed to
the reasons behind otherwise unexplained negative events:
possess mangu, a substance thought to be lodged in the intes-
illness, calamities, natural disasters, and death. Some anthro-
tines and to confer the spiritual power to harm. Witches were
pologists have argued that witch beliefs disappear once more
also believed to be able to send their spirits out at night to
scientific explanations for illness and natural phenomena are
eat the souls of their victims, causing them to sicken and die.
available. But even when humans understand the physical
The Azande often blamed any kind of misfortune, from
causes of a misfortune, the question remains: why does it
cracked pots to serious illness and death, on witchcraft. Their
strike some people, but not others? When a granary col-
suspicions fell first upon neighbors with whom they had a
lapsed, killing a man inside it, the Azande were perfectly ca-
disagreement. In order to identify whether witchcraft was re-
pable of understanding that it had given way because it was
sponsible for their problems, they would consult oracles. If
in a state of disrepair and weakened by termites. Still, the
the oracle’s response indicated that witchcraft was to blame,
question for them remained: why had it collapsed at that very
the Azande would confront the alleged witch and ask him
moment, and why when that particular man was inside? It
to blow water over an offering in order to “cool” his emo-
is this question, the question why things happen as they do,
tions towards the victim. This act alone was usually enough
that witchcraft beliefs attempt to tease out.
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Witchcraft beliefs may also serve to explain the unex-
or it could be a petty spirit. In the thought of Plotinus (205–
plainable. In all human cultures there are some experiences
270 CE) and other Neoplatonists, the demons occupied an
that are difficult to explain. These include experiences as di-
ontological rank between the gods and humanity. The He-
verse as sleep paralysis, near-death experiences, and dissocia-
brews gradually developed the idea of the mal Dakh, originally
tive states that produce very strong physical sensations that
a manifestation of God’s power, later an independent spirit
can lead believers to interpret them as signs of a spiritual real-
sent down as a messenger by God. In Greek translations of
ity that is contiguous to our material reality. Such experi-
Hebrew, mal Dakh became angelos, “messenger.” Christians
ences figure prominently in folklore about witches and
eventually identified “angels” with the Greek daimones and
witchcraft. In Newfoundland, for example, people often at-
defined them as beings ontologically between God and hu-
tribute the experience of sleep paralysis to being “hagged” or
manity.
“hag ridden,” believing that a malevolent witch sends her
spirit out at night to torment them in their sleep. Because
But a different element gained influence through the
sleep paralysis often produces a physical sensation of a weight
apocalyptic writings of the Hellenistic period (200 BCE–150
on the chest or a presence pressing down on the sleeper, the
CE): the belief in evil spirits led by Satan, lord of all evil. The
belief that witches cause this phenomenon may have arisen
idea had limited precedents in earlier Jewish thought but
as an attempt to explain it.
gained prominence in the Hellenistic period under the influ-
ence of Iranian Mazdaism, or Zoroastrianism. Under such
Unlike sorcery, witchcraft beliefs are not true universals;
influence, the Christians came to divide the Greek daimones
that is, they do not occur in all cultures. They are most often
into two groups, the good angels and the evil demons. The
found in small-scale agricultural societies with a stable settle-
demons were supposed to be angels who, under Satan’s lead-
ment pattern, where neighbors have intimate knowledge of
ership, had turned against God and thereby become evil spir-
one another and social relationships are intense and mul-
its. Sorcerers sought to compel spirits to carry out their will,
tilayered. They also tend to be more frequent in cultures with
but angels under God’s command could not be compelled;
little access to Western scientific knowledge and technology.
thus it was supposed that sorcerers might well be drawing
Witchcraft beliefs are rare in large-scale societies with a great
upon the aid of evil demons. This was the central idea of the
deal of social mobility. But similar phenomena, or so-called
second main variety of witchcraft, the alleged diabolism of
witch-hunts, do occur in developed societies with excellent
the late medieval and Renaissance periods in Europe.
access to information and scientific knowledge, for some of
E
the same reasons they occur in small-scale societies: the desire
UROPEAN WITCHCRAFT. Although simple sorcery had al-
ways existed, a new concept of witchcraft evolved in medieval
to effect social control and to blame others for factors causing
and early modern Europe. The Christian concept of the devil
social tensions.
transformed the idea of the sorcerer into that of the witch,
WITCHCRAFT AS A HISTORICAL PHENOMENON. Patterns of
consorter with demons and subject of Satan. Since 1880 this
sorcery have existed in virtually all societies in the past, in-
kind of diabolical witchcraft has been subject to four major
cluding Western society. The classical Greco-Roman and
schools of interpretation. The first, rooted in classical nine-
Hebrew societies from which Western civilization sprang en-
teenth-century liberalism, perceived witchcraft as an inven-
tertained a great variety of beliefs and practices about sorcery,
tion of superstitious and greedy ecclesiastics eager to prose-
from public rituals that melded with religion to legends
cute witches in order to augment their own power and
about hideous striae and lamiae reported by the poet Horace.
wealth. The second school, that of Margaret Murray, argued
He portrayed these witches as clothed in rotting shrouds,
that witchcraft represented the survival of the old pagan reli-
with disheveled hair, clawing the soil with taloned fingers as
gion of pre-Christian Europe. This religion (which never ex-
they invoked the gods of the underworld. The Greeks distin-
isted in the coherent form she believed) she supposed to be
guished between three varieties of magic. The highest was
the religion of the majority of the people down into the sev-
theourgia, a kind of public liturgy “working things pertaining
enteenth century, although subject to constant persecution
to the gods” (theoi), in which magic and religion blended.
by the Christian authorities. Murray’s theory had great influ-
Mageia was the next variety; its practitioners worked techni-
ence from the 1920s through the 1950s; unsupported by any
cal magic privately to help themselves or their clients. Goeteia
credible evidence, it is now rejected by scholars. The third
was the lowest form; “howlers” of incantations and mixers
school emphasizes the social history of witchcraft, seeking to
of potions, its practitioners were widely feared.
analyze the patterns of witch accusations in Europe much as
anthropologists have done for other societies. The fourth
The sorcery of most cultures involved incantations sup-
school emphasizes the evolution of the idea of witchcraft
posed to summon spirits to aid the sorcerer. In many socie-
from elements gradually assembled over the centuries. Most
ties the connection between sorcery and the spirits was not
scholars currently belong to one or the other of the last two
explicitly formulated. But in both Greco-Roman and He-
schools.
brew thought the connection was defined or elaborated. The
Greeks believed that all sorcerers drew upon the aid of spirits
Historical development. The first element in diaboli-
called daimones or daimonia. A Greek daimon could be either
cal witchcraft was sorcery, which existed in Europe as it did
malevolent or benevolent. It could be almost a god (theos),
elsewhere. It persisted through the period of the witch craze
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WITCHCRAFT: CONCEPTS OF WITCHCRAFT
9771
and indeed has persisted to the present. Without this funda-
such as the sect of the Free Spirit, also were accused of similar
mental element, belief in diabolical witchcraft could not have
diabolical crimes. Not all heretics were so charged, however.
existed. The second, related aspect was the survival of ele-
On the whole, the accusations were limited to those who had
ments from pagan religions in the folklore of Christian Eu-
some connection with dualism, the doctrine that not one but
rope. In some parts of Europe, women believed that they
two eternal principles existed. The two principles, one evil
participated in nighttime spiritual journeys led by the god-
and one good, struggled for control of the cosmos. Dualist
dess Diana or by other supernatural female figures. These
influence on most medieval heresies was indirect, but upon
nighttime spiritual assemblies would dance, feast, and occa-
Catharism it was both direct and pronounced.
sionally enter the homes of neighbors, rewarding the hospita-
ble and punishing the slovenly. The wild ride with Diana was
Catharism was a dualist heresy imported into western
a form of folk belief in the “wild hunt,” a troop of spirits led
Europe from the Balkans in the 1140s. Strong in southern
by a female or male deity that rode out at night, striking ter-
France and northern Italy for well over a century, it dominat-
ror in those who encountered it.
ed the culture of Languedoc and the Midi in the years
around 1200; it was suppressed by the Albigensian Crusade
During the Middle Ages, the Christian view of these be-
and eradicated by the Inquisition. The Cathari believed that
liefs changed. Early in the period they were seen as merely
matter, and the human body in particular, were creations of
superstitious and mistaken, but towards the tenth and elev-
the evil god, whose intent was to hold the spirit imprisoned
enth centuries they began to be considered heretical. The
in the “filthy tomb of the flesh.” The evil god is Satan, lord
Canon Episcopi, a legal document of the Frankish kingdom
of this world, ruler of all material things and manipulator of
issued about 900 CE, condemns “wicked women. . .who be-
human desires for them. Money, sex, and worldly success
lieve that they ride out at night on beasts with Diana, the
were the domain of the devil. These doctrines brought the
pagan goddess. . . .Such fantasies are thrust into the minds
devil closer to the center of attention than he had been since
of faithless people not by God but by the Devil.” Gradually,
the time of the “Desert Fathers” a thousand years earlier. If
the folk concept of the wild hunt, with its feasting, music,
only to refute Catharist theories, Scholastic theologians had
and dancing, was transformed into the diabolical sabbat, a
to give the devil his due. The Catharist designation of Satan
nocturnal assembly of witches under the direction of the
as the lord of the things of this world may also have led some
devil where horrible acts took place.
who desired those things in the direction of Satan worship.
Another element in the development of diabolical
Scholastic theology was the next major element in the
witchcraft in Europe was Christian heresy. The classical for-
formation of the witch concept. Tradition going back to the
mulation of diabolical witchcraft had been established by the
early church fathers had suggested that the Christian com-
fifteenth century. Its chief elements were: (1) a pact with the
munity, which formed the mystical body of Christ, was op-
devil; (2) formal repudiation of Christ; (3) the secret noctur-
posed by an opposite group forming the mystical body of
nal meeting; (4) the ride by night; (5) the desecration of the
Satan and consisting of pagans, heretics, Jews, and other un-
Eucharist and the crucifix; (6) orgy; (7) sacrificial infanticide;
believers. It was not only the right but the duty of the Chris-
and (8) cannibalism. Each of these elements derived from
tian to struggle against this evil host. Saints’ lives and legends
one or another charge made against medieval heretics. Here-
of the intense struggles of the Desert Fathers against demonic
sy became the medium through which sorcery was linked
forces kept this tradition alive, and it was reinforced by Cath-
with the devil.
arist dualism. In the twelfth through fourteenth centuries the
Scholastics developed the tradition of the body of Satan, re-
At the first formal trial of heretics in the Middle Ages,
fined its details, and supplied it with a rational substructure.
at Orléans in 1022, the accused were said to hold orgies un-
They extended the devil’s kingdom explicitly to include sor-
derground at night, to call up evil spirits, to kill and cremate
cerers, whom they considered a variety of heretic. Simple sor-
children conceived at previous orgies and use their ashes in
cerers became, in the dominant Scholastic thought of the
blasphemous parody of the Eucharist, to renounce Christ
later Middle Ages, servants of Satan.
and desecrate the crucifix, and to pay homage to the devil.
The history of such charges goes at least as far back as the
The link between sorcerers, heretics, and Satan was the
court of Antiochus IV Epiphanes of Syria (176–165 BCE),
idea of pact. The notion of pact had been popularized in the
who made similar accusations against the Jews; the pagan
eighth century by translations of the sixth-century legend of
Romans used them against the Christians, and the early
Theophilus. In this story, Theophilus was a clergyman who
Christians used them against the Gnostics. An early elev-
sold his soul to the devil in exchange for ecclesiastical prefer-
enth-century pedant must have resurrected the charges from
ment. He met the devil through a Jewish magician and
patristic accounts of Gnostic heresy and applied them to the
signed a formal pact with “the evil one” in order to fulfill his
Orléans group, applying the archetypal thinking common in
desires. The Scholastics derived a number of sinister ideas
the Middle Ages: a heretic is a heretic, and whatever one her-
from the legend of Theophilus. Their theory transformed the
etic does another must also do. Thus the idea of heresy, more
person making the pact from a relatively equal contracting
than any actual heresy itself, became the basis for the connec-
party to an abject slave of Satan who abjured Christ, did feu-
tion of heresy with witchcraft. Some later heretical groups,
dal homage to “the dark lord,” and kissed his master’s geni-
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WITCHCRAFT: CONCEPTS OF WITCHCRAFT
tals or backside in token of his submission. The Scholastics
to look for, what questions to ask, and what answers to ex-
also broadened the idea of pact to include implicit as well
pect. Having obtained the answers they expected by using
as explicit consent. One did not actually have to sign a con-
torture or the threat of torture, the inquisitors duly entered
tract to be a member of Satan’s army; anyone—heretic, sor-
the answers in formal reports, which then added to the body
cerer, Jew, Muslim—who knowingly opposed the Christian
of “evidence” that witches flew through the air, worshiped
community—that is, the body of Christ—was deemed to
the devil, or sacrificed babies. It is unlikely that no one in
have made an implicit pact with the devil and to number
the period ever practiced Satanism, but it is even more un-
among his servants.
likely that any widespread Satanism existed. The great major-
The shift from Platonic to Aristotelian philosophy in
ity of the accused were innocent, at least of diabolism.
the thirteenth and fourteenth centuries encouraged the pro-
The witch craze. The number of executions for witch-
cess of demonizing witches. Platonic thought allowed for the
craft was measured in the hundreds until the end of the mid-
existence of a natural, morally neutral magic between divine
fifteenth century, but from 1450 to 1700—the period of the
miracle and demonic delusion; but Aristotelianism dismissed
Renaissance and the origins of modern science—as many as
natural magic and denied the existence of occult natural
a hundred thousand may have perished in what has been
forces. If no natural magic existed, it followed that wonders
called the great witch craze. The witch craze can be explained
were worked either through divine miracle or demonic im-
by the dissemination, during a period of intense social un-
posture. Magicians compel or exploit supernatural powers,
rest, of the intellectual elements summarized above by the
and since God and the angels cannot be compelled or ex-
Inquisition, the secular courts, and above all the medium of
ploited, the powers with which sorcerers deal must be de-
the sermon. The popularity of the sermon during the later
monic, whether they know this explicitly or not. Thus, Scho-
Middle Ages and the Reformation explains how beliefs about
lastic logic dismissed simple sorcery as demonic witchcraft.
witches spread in a period when the leading intellectual
Theology, then, made a logical connection between
movements, such as nominalism and humanism, down-
witchcraft and heresy. Heresy is any persistently held belief
played or even ignored witchcraft. The invention of the
counter to orthodox doctrine. One who used demons serves
printing press also did its part in spreading the evil. In 1484
the devil rather than God, and if one serves the devil, one
Pope Innocent VIII issued a bull confirming papal support
acknowledges that correct theology involves serving the devil
for inquisitorial proceedings against witches, and this bull
rather than God: this was the worst imaginable heresy.
was included as a preface to the Malleus maleficarum (The
The final element in the transformation of sorcery into
Hammer of Witches), a book by two Dominican inquisitors.
diabolical witchcraft was the Inquisition. The connection of
Published in 1486, the Malleus went into many editions in
sorcery with heresy meant that sorcery could be prosecuted
many languages, selling more copies in Protestant and Cath-
with much greater severity than before. Late Roman laws
olic regions combined than any other book except the Bible.
against sorcery were extremely severe, but during the early
The Malleus colorfully detailed the diabolical, orgiastic activ-
Middle Ages simple sorcery, or natural magic, was treated
ities of witches and helped persuade public opinion that a
with relative leniency. Often it was ignored; when detected,
cosmic plot directed by Satan threatened all Christian
it might bring no more than a fairly stiff penance. Elements
society.
of simple sorcery were incorporated into Christian practice,
Fears of cosmic plots increase in periods of high social
as seen in the combination of Christian prayer and pagan
tension. The fifteenth and sixteenth centuries witnessed a
spells commonly said by parish priests in England during the
growth of existential anxiety, a widespread belief that the an-
tenth and eleventh centuries. Penalties for heresy, on the
tichrist, the return of the savior, and the transformation of
other hand, were severe. Suppression of heresy in the earlier
the world were at hand. As the religious split between Ca-
Middle Ages was inconsistent, but in 1198 Innocent III or-
tholicism and Protestantism widened during the sixteenth
dered the execution of those who persisted in heresy after
century and flared up into religious warfare, eschatological
having been convicted and excommunicated. Between 1227
fears deepened. Catholics saw the Protestants as soldiers of
and 1235 a series of decrees established the papal Inquisition.
Satan sent to destroy the Christian community; Protestants
In 1233 Gregory IX accused the Waldensian heretics, who
viewed the pope as the antichrist. Terror of witchcraft and
were in fact evangelical moralists, of Satan worship. In 1252
prosecution of witches grew in both Catholic and Protestant
Innocent IV authorized the use of torture by the Inquisition,
regions, reaching heights between 1560 and 1660, when reli-
and Alexander IV (1254–1261) gave it jurisdiction over all
gious wars were at their worst. No significant differences dis-
cases of sorcery involving heresy. Gradually almost all sorcery
tinguished Catholic from Protestant views of witchcraft. The
came to be included under the rubric of heresy.
Protestants, who rejected so many of the accretions of doc-
The Inquisition was never well organized or particularly
trine in the Middle Ages, accepted beliefs about witches al-
effective; in fact, most cases of witchcraft were tried before
most without modification. Martin Luther (1483–1546) de-
the secular courts. Nonetheless, the Inquisition provided one
clared that all witches should be burned as heretics in league
essential ingredient of the witch craze: the inquisitors’ manu-
with Satan; persecutions in the regions ruled by the Calvin-
als. These manuals told inquisitors what signs of Satanism
ists were comparable to those in Catholic and Lutheran areas.
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WITCHCRAFT: CONCEPTS OF WITCHCRAFT
9773
Tens of thousands were persecuted and hundreds of thou-
caused one’s problems gives one the illusion of being able to
sands terrified and intimidated during one of the longest and
solve them. If God or fate has caused your illness, you may
strangest delusions in history.
have no remedy; if a witch caused it, then you may recover
once the witch has been found and punished. Some scholars
The discourse of diabolical witchcraft was often invoked
have hypothesized that witchcraft accusations function as a
by ordinary people to prosecute neighbors for petty jealousies
form of psychological projection: according to this uncon-
and resentments characteristic of small-scale societies. The
scious mechanism, reviled characteristics are projected onto
craze was restricted almost exclusively to western Europe and
another individual or social group. “I hate you” becomes
its colonies. Since diabolism is virtually meaningless outside
“You hate me,” leading to suspicions and accusations of
a Christian conceptual framework, it could not spread to
witchcraft against the target. During the period of the witch
non-Christian areas. Although the Eastern Christian church
craze, projection had the important function of promoting
shared the same beliefs in the powers of Satan as the Western
the cohesion of Christian communities by the postulation of
church, it experienced no witch craze. The absence of the
a powerful external foe. Witches thus served a purpose simi-
witch craze in the Eastern church illustrates the hypothesis
lar to that of external enemies in modern warfare, for they
that for a craze to break out, three elements are required: (1)
united the people against a common threat.
the appropriate intellectual structure; (2) the mediation of
that structure from the elite to the people at large; and (3)
Historians have noted correlations between witch accu-
marked social tension and fear.
sations and social position. Persons between the ages of forty
and sixty were most commonly accused; the accused had
Skeptics such as Johann Weyer (fl. 1563) and Reginald
fewer children than normal; children were seldom accused
Scot (fl. 1584), who wrote against belief in witchcraft, were
of witchcraft but were often believed to be its victims; people
rare and were often rewarded for their efforts by persecution;
accused of witchcraft had been previously accused of other
Weyer, for example, was accused of witchcraft himself. More
crimes more frequently than normal, especially offensive lan-
typical of the period were the works of the learned King
guage, lying, theft, and sex offenses. Chronic grumbling,
James I of England and VI of Scotland (d. 1625). Personally
abrasive personality, quarreling, and cursing also increased
terrified of witches, James encouraged their prosecution,
one’s chances of being accused. The social status of accused
wrote a book against them, encouraged the statute of 1604
witches was usually low or lower middle, though sometimes
against pact and devil worship, and commissioned a transla-
magistrates, merchants, and other wealthy persons were in-
tion of scripture (the Authorized Version or King James
volved. Anyone connected with medicine, especially mid-
Bible) that deliberately rendered certain Hebrew words (such
wives, was prone to suspicion, because illness and death
as kashshaf) as “witch” in order to produce texts such as
could so easily be blamed upon witchcraft.
“Thou shalt not suffer a witch to live” (Ex. 22:18), which
supported the king’s design of suppressing witchcraft legally.
The most striking social correlation is between witch-
In 1681 Joseph Glanvill was still able to publish a popular
craft and women. Although in certain areas and for brief pe-
second edition of a work supporting belief in diabolical
riods of time more men were accused than women, over the
witchcraft. But by that time the craze was beginning to fade.
entire history of the witch craze 75 percent of the accused
Cartesian and scientific thought had no room for witchcraft;
were women. In the sixteenth century many more women
ecclesiastical and civil authorities agreed that witch prosecu-
were living alone than men. Given the patriarchal structure
tions had got out of hand; and European society was settling
of European society at the time, a woman living alone with-
down to two centuries (1700–1900) of relative peace and
out the support of father or husband had little influence and
prosperity. The greatest outburst in those centuries was the
little legal or social redress for wrongs. Such women were
French Revolution; it occurred in an intellectual context (the
often reduced to begging and depending on the charity of
Enlightenment) in which revival of witch beliefs was impos-
their neighbors. They also naturally tended to grumble or
sible. European society found other rationales by which to
curse more than persons having effective influence in society.
demonize aristocrats, Jews, communists, capitalists, imperi-
A physically weak, socially isolated, financially destitute, and
alists, or whomever was selected as an object of hatred. The
legally powerless old woman who provoked resentment in
date of the last execution for witchcraft in England was 1684,
her neighbors became an easy target for projection.
in America 1692, in Scotland 1727, in France 1745, and in
But the explanation lies only partly in specific social
Germany 1775.
conditions. The misogyny underlying the association of
WITCHCRAFT AND SOCIETY. The most important social
women with witchcraft sprang from deep and ancient psy-
function of the belief in diabolical witchcraft was scapegoat-
chological roots. C. G. Jung, Mircea Eliade, Wolfgang
ing. Sometimes this process was conscious and cynical, as
Lederer, and others have commented on the powerful ambiv-
when Henry VIII added witchcraft to the list of charges
alence of the feminine in religions, mythologies, and litera-
trumped up against Anne Boleyn. Much more often it was
tures dominated by males. The male view of the archetypal
unconscious. If one is impotent, or one’s crops fail, or one
feminine is tripartite: she is the sweet, pure virgin; she is the
becomes ill, it helps to blame a witch, not only because it re-
kindly mother; she is the vicious, carnal hag. From the
lieves one of guilt but also because the belief that a witch has
twelfth century, Christian society developed a compelling
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WITCHCRAFT: CONCEPTS OF WITCHCRAFT
symbol incarnating the first two types in the Blessed Virgin
of witchcraft was a vehicle perfectly adapted to the expression
Mother of God. As the power of the symbol of the Virgin
of such assumptions. Many towns and villages had political
Mother grew, the shadow side, the hag symbol, had to find
controversies without becoming centers of the witch craze;
outlet for its corresponding power. In ancient polytheistic re-
clearly such controversies do not automatically produce
ligions the dark side of the female archetype had been inte-
witch accusations and cannot be considered their cause.
grated with the light side in the images of morally ambivalent
Most sophisticated scholars give full weight to the history of
goddesses such as Artemis. Split off from the positive side of
religious concepts and avoid simplistic correlations between
the archetype, the Christian image of the hag became totally
external phenomena and witch beliefs. Disasters and contro-
evil. In the period of the witch craze, this one-sided image
versies can produce witch accusations only in the presence
was projected upon human beings, and the witch, no longer
of certain value systems. But such social tensions, once those
simply a sorceress, became the incarnation of the hag. Other
value systems are there, can provoke the outbreak of a witch
androcentric assumptions in male-dominated religions en-
persecution.
couraged the connection. The biblical narrative of creation
MODERN WITCHCRAFT. The eighteenth and nineteenth
blamed Eve for having succumbed to the temptation of the
centuries in Europe, with their secularism, scientism, and
serpent, resulting in the expulsion of humans from the Gar-
progressivism, were not conducive to witch beliefs of any
den of Eden. God, the chief power of good, was imagined
kind. Yet Romanticism, an intellectual movement that arose
in masculine terms, and so the devil, the chief power of evil,
in Europe at the end of the eighteenth and the beginning of
was supposed to be masculine also. Since it was believed that
the nineteenth century, laid the groundwork for a new per-
the devil’s followers submitted to him sexually, it was natu-
mutation, which became the third main variety of witchcraft:
rally supposed that they should be women, some of whom
Neopaganism.
described their intercourse with the devil in lurid detail.
Romanticism located authenticity in the folklore of Eu-
The outbreak of witch trials in Salem, Massachusetts,
ropean peasants, which was presumed to contain elements
during 1692 has been the subject of careful social analysis.
of ancient pagan religions. This led to a renewed interest in
Although the first hanging of a witch in New England oc-
both folklore and paganism, reflected in the art and literature
curred in 1647, it was at Salem in 1692, when the craze was
of the time, and to a revisionist interpretation of the witch.
already fading in Europe, that the colonies produced their
Franz-Josef Mone, Jules Michelet, and other writers of the
most spectacular series of witch trials, in which nineteen per-
mid-nineteenth century suggested that European witchcraft
sons were executed. After a group of young girls suffered an
was really a widespread fertility cult surviving from pre-
unusual combination of symptoms and visions, their elders
Christian paganism. Such arguments influenced anthropolo-
suggested that they might be the victims of witchcraft, and
gists and folklorists at the turn of the century, such as James
the witch-hunt began. At the time, Salem village was in the
Frazer, Jessie Weston, and Margaret Murray. In 1899, ama-
throes of a long dispute concerning the church. An unpopu-
teur folklorist Charles Leland published Aradia: The Gospel
lar minister, John Burroughs, was succeeded by a controver-
of the Witches, a text claiming to present evidence that witch-
sial one, Samuel Parris, in 1689, just at the time when En-
craft was the survival of a pagan cult of Diana. Aradia influ-
gland was undergoing a revolution and the lines of authority
enced Murray and other twentieth-century anthropologists.
were blurred. The villagers split into factions supporting and
Meanwhile, interest in the occult gained fashion among in-
opposing Parris, and, since no structured means of expressing
tellectuals and poets such as Algernon Blackwood and
dissent existed, its release took the form of vituperation and
Charles Baudelaire. By the early part of the twentieth centu-
slander. Continuing incursions of hostile Indians further ex-
ry, occultism enjoyed a certain popularity, especially among
acerbated the situation, leading some settlers to conclude
bohemians; magicians such as Aleister Crowley, who styled
that a diabolical conspiracy was to blame.
himself “the Great Beast,” attracted a following. Their doc-
trines were a mixture of ritual magic, sorcery, dubious histor-
The outbreak was the violent expression of deeply felt
ical and philosophical arguments, and a longing for enchant-
moral divisions; the moral divisions were generated by the
ment in an increasingly mechanized world.
quarrel over the governance of the church, and the quarrel
over governance was exacerbated by the Indian wars and
Out of the crucible of early twentieth-century British
deep-seated conflicts between prominent families. Salem was
occultism emerged modern Neopagan revival Witchcraft, or
a small, premodern village in which everyone knew everyone
Wicca. Around the time that the poet Robert Graves was
else, a situation that encouraged people to correlate unfortu-
writing his imaginative White Goddess (1948) about an al-
nate events with unpopular individuals and to blame them
leged worldwide cult of the moon goddess, the Englishman
for their misfortunes. Intensely religious to a degree seldom
Gerald Gardner was recording the first documents that led
paralleled in Europe at the time, the New England Puritans
to the formation of this new religious movement. According
could not view the strife in their village in purely personal
to his followers, Gardner, who was born in 1884, was initiat-
or political terms. They interpreted it in religious terms, as
ed into the ancient religion in 1939 by a witch of the New
a manifestation of the cosmic struggle between Christ and
Forest named Dorothy Clutterbuck. In fact, Gardner proba-
Satan, good and evil. The tradition of belief in the existence
bly cobbled together elements of revival Witchcraft from his
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experiences with various occult and theatrical groups, includ-
context of Satanic rituals. Though the charges were later
ing the Co-Masons, the Rosicrucian Theatre, and the Croto-
proved to be completely false, a number of people were sen-
na Fellowship. Gardner’s claim to be the mediator of an an-
tenced to prison. As in most cases of witchcraft accusations,
cient religion was spurious, but he launched a growing
Satanic panics projected fears and anxieties that arose out of
religious movement that has gained many adherents
social transformation onto completely innocent people. No
throughout the world. Whatever its origins, it has become
evidence of diabolical conspiracies or Satanic ritual abuse
a legitimate religious movement in its own right.
rings has ever been found.
The overall world numbers of revival Witches are diffi-
CONCLUSIONS. One of the most surprising aspects of the
cult to calculate, but scholars estimate that in North America
study of witchcraft is that African, Asian, European, and Na-
alone there are about 500,000. There are numerous denomi-
tive American cultures all postulate similar behaviors on the
nations of Neopagan Witchcraft, including Gardnerian
part of witches. Witches are often elderly and socially isolat-
Craft, which traces its lineage to Gardner’s 1950s coven; Re-
ed; they meet at night in small groups to plot evil deeds; they
claiming Witchcraft, an American variant with an eco-
are able to leave their bodies or change their shapes; they can
feminist perspective; and Dianic Witchcraft, an all-female
suck the blood, drain the energy, or devour the internal or-
tradition. The tenets of Witchcraft as it has evolved include
gans of their victims; and they murder family members, com-
a reverence for nature expressed in the worship of a goddess
mit cannibalism, fly through the air, hold indiscriminate or-
and (sometimes) a god; the practice of group magic aimed
gies, and seduce sleeping people. These similarities go
at healing or other positive ends; colorful rituals whose goal
beyond the possibility of coincidence. While some anthro-
is to produce ecstatic experience; and an acceptance of the
pologists believe they are the result of diffusion from a single
sensual, bodily aspects of human existence. It rejects diabo-
early Paleolithic human culture, others argue that they are
lism and even belief in the devil on the grounds that the exis-
the product of projection, a psychological defense mecha-
tence of the devil is a Christian, not a pagan, doctrine. It of-
nism that helps human beings maintain an image of them-
fers a sense of the feminine principle in the divine, a principle
selves as good by projecting negative, undesirable impulses
almost entirely forgotten in the masculine symbolism of the
away from the self and onto an other. All societies designate
great monotheistic religions. And its eclectic paganism pro-
certain behavior as bad, undesirable, or negative; however,
motes a sense of the variety and diversity of the sacred.
the impulses behind the behavior are part of human nature,
and cannot be completely banished from human conscious-
Modern Neopaganism has no connections with diabo-
ness. In projection, the forbidden thoughts or impulses are
lism. Diabolism, in fact, has almost ceased to exist in the late
attributed to an “other,” whether a group or an individual.
twentieth century. Though a few groups claiming to practice
Projection may work on both an individual level and a soci-
Satanism, such as the American Church of Satan and the
etal one. For example, a person may have long-standing dis-
Temple of Set, do exist, their practices are more like ironic
agreements with a neighbor. One day, the neighbor curses
rejection of bourgeois conventions than true devil worship.
at some chickens that have wandered into the yard; the next
Sorcery, on the other hand, continues to flourish worldwide.
day, some of the chickens sicken and die. The individual may
Curanderos in Mexico and the American Southwest still prac-
assume the neighbor caused the loss. On a societal level, a
tice healing with herbs and charms. Fear of sorcerers persists
village may blame a bad harvest or a plague on the presence
as widely as sorcery itself. In many parts of Africa, sorcery
of witches in the community. In both cases, the witch is
and counter-sorcery continue to be a part of everyday life,
imagined as an antisocial force embodying the essence of evil.
especially away from urban centers.
When the witch is construed as the opposite of right society,
During the 1980s and 1990s, fears of Satanic activities
projection is at work.
briefly reemerged in North America. In these so-called Sa-
All cultures grapple with the problem of evil. We ob-
tanic panics, rumors spread about far-reaching diabolical
serve people performing monstrous acts of destruction and
conspiracies whose activities allegedly included the sexual
cruelty against their own self-interest as well as that of the
abuse and murder of children, the practice of cannibalism,
community. We watch illness and natural disaster strike ran-
and the induction of new victims into the cult through role-
domly without any sense of justice or fairness; around us,
playing games and rock music. The panics were most intense
good people suffer and die while the wicked prosper. Many
in small towns whose industrial base had been eroded by eco-
feel that evil exists in the world to a degree far beyond what
nomic transformation, resulting in financial collapse. They
one might expect in nature. This pervasive power, whose
were exacerbated by social changes, such as the rising divorce
purpose seems to be to corrupt and destroy the cosmos, can
rate, the increasing number of women in the work force and
be perceived as coming from an external being. The witch
of children in day care, and new definitions of gender roles,
as an embodiment of this evil is a powerful metaphor whose
which led to social tensions. Some fundamentalist Protestant
power may be diminished from time to time, but is unlikely
ministers fomented the panics by acting as conduits for the
to disappear.
rumors. The panics culminated in a series of lengthy trials
against the operators of several preschools and day-care cen-
SEE ALSO Cathari; Healing and Medicine; Magic; Neopa-
ters, who were charged with sexually abusing children in the
ganism; Theurgy; Vodou; Wicca.
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BIBLIOGRAPHY
Hutton, Ronald. Triumph of the Moon: A History of Modern Pagan
Anthropological Perspectives on Witchcraft and Sorcery
Witchcraft. Oxford, 1999.
Douglas, Mary, ed. Witchcraft: Confessions and Accusations. Lon-
Luhrmann, T. M. Persuasions of the Witches’ Craft: Ritual Magic
don, 1970.
in Contemporary England. Cambridge, Mass., 1989.
Evans-Pritchard, E. E. Witchcraft, Oracles, and Magic among the
Magliocco, Sabina. Witching Culture: Folklore and Neo-Paganism
Azande. Oxford, 1937.
in America. Philadelphia, 2004.
Kilpatrick, Alan. The Night Has a Naked Soul: Witchcraft and Sor-
Orion, Loretta. Never Again the Burning Times: Paganism Revived.
cery among the Western Cherokee. Syracuse, N.Y., 1997.
Prospect Heights, Ill., 1995.
Kluckholn, Clyde. Navaho Witchcraft. Cambridge, Mass., 1944.
Salomonsen, Jone. Enchanted Feminism: The Reclaiming Witches
Mair, Lucy Philip. Witchcraft. New York and Toronto, 1969.
of San Francisco. London and New York, 2001.
Middleton, John, ed. Magic, Witchcraft, and Curing. Austin, Tex.,
JEFFREY BURTON RUSSELL (1987)
1967.
SABINA MAGLIOCCO (2005)
Rush, John A. Witchcraft and Sorcery: An Anthropological Perspec-
tive of the Occult. Springfield, Ill., 1974.
European and North American Witchcraft
WITCHCRAFT: AFRICAN WITCHCRAFT
Boyer, Paul, and Stephen Nissenbaum. Salem Possessed: The Social
As a set of beliefs that varies region by region and has a good
Origins of Witchcraft. Cambridge, Mass., 1974.
many consequences in everyday life, African witchcraft is in
Briggs, Robin. Witches and Neighbors: The Social and Cultural
many respects similar to corresponding sets of beliefs found
Context of European Witchcraft. London, 1996.
among peoples of other continents. African systems, howev-
Caro Baroja, Julio. The World of the Witches. Translated by O. N.
er, are of great interest because they have some unique fea-
V. Glendinning. Chicago, 1964.
tures and because they have provided material for the formu-
Cohn, Norman. Europe’s Inner Demons: An Enquiry Inspired by the
lation of definitions and the development of theories of
Great Witch-Hunt. London and New York, 1975.
worldwide application.
Davies, Owen. Witchcraft, Magic and Culture, 1736–1951. Man-
GENERAL CHARACTERISTICS. Most African societies—
chester, U.K., 1999.
though not all—hold the cardinal belief that certain mem-
Ginzburg, Carlo. The Night Battles: Witchcraft and Agrarian Cults
bers of the community are in the habit of using supernatural
in the Sixteenth and Seventeenth Centuries (1966). Translated
means for illicitly destroying the interests, or even the lives,
by John and Ann Tedeschi. Baltimore, 1983.
of their fellows. This basic tenet has led Africans to attribute
Ginzburg, Carlo. Ecstasies: Deciphering the Witches’ Sabbath
to persons designated by terms we might translate as “witch-
(1989). Translated by Raymond Rosenthal. New York,
es” or “sorcerers” characteristics that resemble those of their
1991.
counterparts elsewhere. Beliefs about witches are, of course,
Hennigsen, Gustav, and Bengt Ankarloo, eds. Early Modern Euro-
not directly observable, but they may have overt conse-
pean Witchcraft: Centres and Peripheries. Oxford, 1990.
quences in everyday life.
Macfarlane, Alan. Witchcraft in Tudor and Stuart England: A Re-
Subjective aspects. Thus African witches (in the gener-
gional and Comparative Study. London, 1970.
ic sense, including sorcerers) are believed to harm others ei-
Norton, Mary Beth. In the Devil’s Snare: The Salem Witchcraft
ther because they possess powers (of which they may not be
Crisis of 1692. New York, 2002.
aware and which their fellows find incomprehensible) that
Russell, Jeffrey B. A History of Witchcraft: Sorcerers, Heretics, and
emanate from their aberrant personalities or because they
Pagans. London, 1980.
perform antisocial magic, technically referred to as “sorcery”
Thomas, Keith. Religion and the Decline of Magic: Studies in Popu-
(see below). Furthermore, they resemble witches in other
lar Beliefs in Sixteenth and Seventeenth Century England. New
continents in that they are believed to employ certain species
York, 1971.
of animals and, in some instances, spirits or humanoid crea-
Trevor-Roper, Hugh R. The European Witch Craze of the Sixteenth
tures as their servants, messengers, or familiars. Familiars are
and Seventeenth Centuries, and Other Essays. London and
sometimes reputed to drive their owners to their evil prac-
New York, 1969.
tices.
Modern Witch-Hunts
Like their counterparts elsewhere, African witches are
Ellis, Bill. Raising the Devil: Satanism, New Religions, and the
believed to belong to associations that meet periodically
Media. Louisville, Ky., 2000.
(usually around a fire) to discuss the promotion of their in-
Victor, Jeffrey. Satanic Panic: The Creation of a Contemporary Leg-
terests, the regulation of relations among them, and to cele-
end. Chicago, 1993.
brate recent antisocial accomplishments by, for example,
Neopagan Witchcraft
having a ghoulish feast of the revived body of someone they
Adler, Margot. Drawing Down the Moon: Witches, Druids, God-
have killed supernaturally. These associations form distorted
dess-Worshippers, and Other Pagans in America Today. Rev.
reflections of the societies in which they are believed to exist.
ed. Boston, 1986.
On the one hand, they may mirror the authority structure
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WITCHCRAFT: AFRICAN WITCHCRAFT
9777
of the polity of which they are a part, as when, among the
of the processes involved in self-protection, divination, and
Chewa, their meetings are presided over by a village head-
revenge are spiritual, usually involving magical substances
man who is himself a witch. On the other hand, among some
(often translated as “medicines”) of botanical origin, though
peoples the organization of witch societies may contrast with
activated by ingredients of animal or human origin which are
that of everyday society; among relatively egalitarian peoples
of symbolic significance, such as a piece of human caul (pro-
witch societies are more hierarchical and vice versa. In any
tective in function) added to the powdered root of a particu-
case, witch societies invariably invert normal ethical stan-
lar species of tree to make a protective amulet.
dards by delighting in the practice of promiscuous sexual ac-
Protective steps include not only wearing amulets but
tivity (including incest), by going naked, by frequenting for-
also taking “medicines” orally, washing the body in infusions
bidden places such as graveyards, and by murdering and
of them, or rubbing them into incisions made in the skin.
eating their fellow human beings, often their close relatives
Huts and field crops can also be treated to make them invisi-
(African witches are believed to attack their neighbors and
ble to, or impenetrable by, witches. Divination includes the
kinsmen rather than distant and unrelated persons).
use of oracles such as those of the Azande of the southern
As in other parts of the world, African witches are often
Sudan (adjective and singular noun, Zande), the best known
reported to be preponderantly women (although there are
of which consists of feeding benge, a poisonous substance,
notable exceptions, such as among the Azande, Bemba, and
to chickens, mentioning the name of a suspect each time,
Tonga). However, it is important to note that the actual
and determining the guilt of a particular suspect by noting
summation of cited cases of witchcraft may yield a gender
whether the chicken poisoned in accompaniment to his
ratio that is at variance with the traditional one expressed in
name dies.
general statements made by informants. Thus, although
Elsewhere in central Africa an ordeal is held in which
Chewa tradition holds that most witches are women, it is
a poison (mwafi, mwabvi, etc.) is administered to the human
men, the more socially and politically active sex, who form
suspects themselves (and sometimes to the accuser as well to
a clear majority of those cited in instances of witchcraft.
check that he is acting in good faith), and a person is deemed
Finally, in Africa as elsewhere, the belief in witchcraft—
guilty if he retains the poison (an action that will cause him
together with other components of the religious system—
eventually to purge, faint, or actually die) and innocent if he
provides an explanatory framework, a means by which the
vomits it. In southern Africa witches may be “smelled out”
misfortunes that befall people may be understood and, in
in a public ceremony by a diviner, who is guided by his audi-
terms of their beliefs, avoided in the future. African societies
ence’s verbal responses to his tentative naming of the sus-
vary in the degree that witchcraft (as opposed to the other
pects. All over Africa diviners use a variety of techniques—
elements of religious belief) plays in the explanation of every-
dreaming, manipulating various kinds of apparatus, throw-
day events and, more importantly, crises. Thus, among the
ing dice (“bones”), opening the Bible or the Qur’an at
Lugbara, misfortunes appear to be attributed more often to
random—to help clients identify their attackers.
the intervention of ghosts rather than witches, whereas
From several parts of Africa it has been reported that
among the Chewa the reverse is true. But in all societies
persons found to be guilty of witchcraft were traditionally
where witchcraft is a component of the belief system—and
burned. This penalty is also suffered by convicted witches in
this applies to the majority of African societies—witchcraft
some other parts of the world.
beliefs are of paramount importance insofar as they explain
the persistence of evil and the inability of humans to eradi-
DISTINCTIVE FEATURES. A comparison by E. E. Evans-
cate it. As J. D. Krige (1947) puts it:
Pritchard (1929) of Zande and Trobriand magic (and thus
of the variant of witchcraft sometimes separately designated
Witches and sorcerers are considered [by the Lovedu]
as sorcery—destructive magic illegitimately applied) suggests
to be the embodiment of malignant forces ever on the
that whereas Melanesians regard the verbal element, or spell,
alert to enter into unholy matrimony with the criminal
impulses of the human heart. Witchcraft particularly
in an act of magic (in general and sorcery in particular) as
[as opposed to sorcery—see below] is the essence of evil,
all-important and insist on its being word perfect, Africans
vicious and inscrutable, that whirls through the uni-
place greater emphasis on the material element, or “medi-
verse and seeks asylum in sinful souls in which the
cines.” Hence in Africa the verbal element is less important,
germs of wickedness lie ready to be quickened into life.
more properly being regarded as a relatively informal address
made to the “medicines” to activate them and make them
Overt consequences of belief. Some of the conse-
attack the proper victim.
quences of witch belief are visible to the ethnographer. This
is because, given that people believe in and are concerned
Another feature setting off African witch beliefs from
about witches, they take steps to protect themselves from
those found elsewhere is the range of animal species that
them and (as individuals or assisted by professionals such as
witches are assumed to use as familiars. Whereas in Europe,
diviners, or perhaps backed by the political authorities) to
cats, dogs, and weasels are commonly believed to be witches’
detect, prosecute, and sometimes destroy by vengeance-
familiars (dogs and foxes in Japan), in Africa hyenas, owls,
magic those they assume to be bringing them harm. Many
and baboons are commonly listed. While not unparalleled
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WITCHCRAFT: AFRICAN WITCHCRAFT
elsewhere, witches in some African societies are believed to
text to which Evans-Pritchard limited it. This position is
be served by familiars of human origin or appearance, such
taken by both Victor Turner (1964) and Mary Douglas
as a “zombie” (khidudwane) among the Lovedu of the north-
(1967) in their respective review articles on the books by
ern Transvaal or a “hairy dwarf” (tokoloshe, tikoloshe) among
John Middleton and E. H. Winter (1963) and Maxwell Gay
the Zulu and Xhosa-speaking peoples of Natal and the east-
Marwick (1965). Turner’s conclusion is that “almost every
ern Cape Province of South Africa. Within Africa, regional
society recognizes such a wide variety of mystically harmful
variations apply to the main list of familiars, with hyenas
techniques that it may be positively misleading to impose
cited more often in central Africa and baboons in southern
upon them a dichotomous classification” (Turner, 1964,
Africa.
p. 323); Douglas suggests that it would be better to use tradi-
There are similar regional differences in other aspects of
tional English terms freely and to classify beliefs according
witch beliefs and their everyday concomitants. For instance,
to whatever criterion is significant (Douglas, 1967, p. 73).
while in most parts of the continent people accused of witch-
A related debate has stemmed from the reports by God-
craft are likely to refute the accusation and with it the long
frey Wilson (1936) and Monica Wilson (1951a, 1951b) that
list of crimes (e.g., murder, incest, necrophagy) that it im-
the Nyakyusa of southern Tanzania believe that “the defend-
plies, there is a tendency, reported mainly from West Africa,
ers” of the village, by exercising a supernatural power known
for people to confess their witchcraft, sometimes voluntarily.
as “the breath of men,” protect their fellows and punish those
DEBATE OVER A BASIC DISTINCTION. An outstanding in-
who transgress; it is claimed that this power “comes from the
stance of how African ethnography has stimulated worldwide
same source as the power of the witches” (Wilson, 1951a,
debates over terminology is provided by Evans-Pritchard’s
p. 97). In its antisocial form, that is, if it is illicitly used (and
seminal book on the Azande (1937). In witchcraft theory,
victim-transgressors are often likely to assert this), this power
the Azande make a distinction between two entities, mangu
is indistinguishable from the witchcraft of other societies.
and ngwa. Mangu, a hereditary substance which can be dis-
Thus the Nyakyusa, who like peoples all over the world di-
covered by autopsy in the stomach of a witch, exerts a baleful
vide magic into good and bad forms, also dichotomize mysti-
mystical influence over the lives of others in the community
cal influence in the same way, with “the breath of men” as
when it is activated by hatred. On the other hand, ngwa
its approved form and witchcraft as its disapproved form.
(“magic”) is not identified with a particular substance; less
Wilson reminds us that Henri A. Junod, in his classic study
of an object, it is subdivided into “good” magic (wene ngwa)
of the Tsonga of southeast Africa, first published in 1912–
and “bad” or “criminal” magic (gbigbita ngwa). Evans-
1913, came to the tentative conclusion that these people be-
Pritchard translates mangu as “witchcraft” and gbigbita ngwa
lieve that the power of the magician, who protects the inter-
as “sorcery.” He sums up:
ests of society, and that of the witch, who destroys them, is
To Azande themselves the difference between a sorcerer
derived from the same source (Junod, 1927, pp. 504–505,
and a witch is that the former uses the techniques of
516).
magic and derives his power from medicines, while the
Alan Harwood (1970) has found a belief parallel to that
latter acts without rites and spells and uses hereditary
psycho-physical powers to attain his ends. Both alike
of the Nyakyusa among the neighboring Safwa. Like the
are enemies of men, and Azande class them together.
Azande, the Safwa distinguish between the power derived
(Evans-Pritchard, 1937, p. 387)
from medicine (onzizi) and a power that they refer to as iton-
ga and that they believe to be inherited and hidden in its op-
Although Evans-Pritchard emphasized that he expressed no
eration. But unlike the Azande (according to Evans-
opinion on the applicability of this distinction to peoples
Pritchard’s account) and like the Nyakyusa, the Safwa subdi-
other than the Azande, several anthropologists working in
vide not only medicine but also “hidden power” into
Africa have found parallels to it, and this would, at first sight,
approved and disapproved forms. As to hidden power, “good
justify its more general use. Thus the distinction between
itonga,” according to Harwood, is believed to be used in divi-
“night witch” and “day witch” made by the Sotho-speaking
nation to protect members of the community from external
peoples of the plateau of South Africa, as well as the Lovedu,
attack and to punish some of them for uncooperative behav-
parallels that made by the Azande between witch and sorcer-
ior; “bad itonga” is used to introduce foreign substances into
er. Similarly, among the Chewa of east-central Africa the dis-
another person’s body or into his gardens to diminish their
tinction between nfiti yeniyeni (“real witch”) and mphelanjilu
effectiveness and is said to enable its possessors to “consume”
(“killer for malice”) is similar, though not as clear since both
members of their own lineage (Harwood, 1970, pp. 59–60).
are commonly referred to as nfiti. However, among the
Itonga is thus conceived of as a neutral spiritual power and,
Nguni-speaking peoples of South Africa (including the Zulu,
since it is innate and can harm people, its bad (antisocial)
Pondo, Bhaca, Xhosa, etc.) the distinction is tenuous, apply-
form can reasonably be equated with the witchcraft of other
ing simply to the mode of attack, that is, “with animals (fa-
societies. Harwood believes that, “appearances to the con-
miliars)” or “with medicines.”
trary, the Safwa are not alone with their neighbours the
Some anthropologists question the value of employing
Nyakyusa in believing that the mystical power of ‘witches’
the witch-sorcerer distinction more widely than in the con-
is morally neutral, and that perhaps the ethnocentric precon-
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9779
ceptions of ethnographers are responsible for the dim light
All three types of approach try to make sense of what
in which African ‘witches’ have traditionally been painted”
in modern society are regarded as bizarre and fallacious be-
(Harwood, 1970, p. 69). In particular, after carefully reex-
liefs, and because they provide functionalist justifications of
amining Evans-Pritchard’s account of Zande witchcraft,
the continuance of witch beliefs, they have been criticized.
Harwood concludes that Evans-Pritchard’s finding that the
For instance, James R. Crawford (1967) has argued that
Zande word mangu denotes an exclusively antisocial
placing too much emphasis on the idea that an allegation of
power—and should therefore be translated as “witchcraft”—
witchcraft is merely a symptom of social malaise leads to a
is mistaken and comes from his having taken the perspective
failure to recognize that the allegation usually embitters so-
of the witch doctor (diviner) rather than that of the ordinary
cial relations and increases social tension by adding a new dy-
villager.
namic dimension to them, for example, making a previously
private quarrel public. Similarly Douglas (1963) has pointed
THEORETICAL APPROACHES TO AFRICAN WITCHCRAFT.
out that, though an accusation of witchcraft may facilitate
With its rich variety of social structures and belief systems,
developmental processes, such as lineage segmentation, “it is
Africa has provided useful material for the development of
also an aggravator of all hostilities and fears, an obstacle to
theories that account for the continued existence of witch be-
peaceful co-operation . . .” and “orderly social relations.”
liefs and contribute to our understanding of the dynamics
of society in general.
Turner warns against the use of any single explanation
of the complex circumstances leading to an accusation of
Evans-Pritchard’s approach (1937) explains Zande
witchcraft, arguing that “each instance or set of accusations
witch beliefs mainly by showing their concordance with the
has to be examined within a total context of social action,
basic assumptions and modes of reasoning, or philosophy of
which includes the operation of biotic, ecological, and inter-
life, prevailing in the society and, somewhat incidentally, by
group processes, as well as intra-group developments” (Tur-
relating them to social conditions, including stratification.
ner, 1964, pp. 315–316).
The theoretical approaches to witchcraft taken by J. D. Krige
(1947) in reference to the Lovedu, Monica Wilson (1951)
In the light of the criticisms that have been made of pre-
in her comparison of the Mpondo of South Africa with the
vailing theories, we would do well to adopt a more compre-
Nyakyusa, and Siegfried Frederick Nadel (1952) in his com-
hensive model for the analysis of African witchcraft. Ecologi-
parison of four West African peoples are of a more psycho-
cal circumstances, including the prevalence of disease vectors
logical orientation, showing varying degrees of similarity to
and the level of medical understanding and associated hy-
Clyde Kluckhohn’s analysis of Navajo witchcraft (1944).
giene, contribute to morbidity and mortality rates and thus
These writers explain witch beliefs as giving expression to the
provide the raw material of misfortunes requiring explana-
stresses, strains, and predilections that arise in the particular
tion; social structure and associated tradition lay down the
circumstances of the society concerned. The basic defect in
general direction that the explanations (including accusa-
these psychological approaches is that, based as they are on
tions of witchcraft) will take. But far from resolving the ten-
speculative propositions, for example, those of depth psy-
sions that cause them, accusations may often exacerbate
chology, they do not generate hypotheses that are testable.
them.
More recently this approach has developed into, or been dis-
placed by, a Lévi-Straussian structuralist model in which a
WITCHCRAFT UNDER MODERN CONDITIONS. The colonial
society’s cognitive system is taken to be a logical system in
authorities in Africa banned many divinatory practices such
its own right rather than just a secondary reflection of social
as the poison ordeal and smelling-out ceremonies, and they
relations. This approach is found in Edwin Ardener’s analysis
usually declared the imputation of witchcraft legally punish-
of the witch beliefs of the Bakweri of west Cameroon (1970)
able. This led Africans to adopt alternative, and usually se-
and in subsequent studies by W. David Hammond-Tooke
cret, ways of identifying those whom they believed to be
on the Cape Nguni of South Africa (1974) and by Michael
witches. Antiwitchcraft cults developed and often recurred
D. Jackson on the Kuranko of northeast Sierra Leone (1975).
in many African societies, and some writers attribute their
rise to the suppression of the traditional means of detection.
A more sociological orientation is found in the ap-
Some of the African churches independent of the missions
proaches of James Clyde Mitchell (1956), Middleton
include witch finding among their activities.
(1960), and Marwick (1952, 1965). By comparing the inci-
dence of accusations and believed attacks of witchcraft in dif-
The impression of most ethnographers has been that Af-
ferent categories of relationship, these writers relate witch be-
ricans’ preoccupation with witch beliefs has increased in
liefs to periodic social processes, such as the division of
modern times and that this is to be explained by the conflict
lineages into segments as their size increases in successive
between the values of the economically egalitarian indige-
generations. Associated with this approach is a reemphasis of
nous societies and the more individualistic ones of the in-
the principle, implicit in the writings of most students of
truders. Certainly people who have advanced educationally
witchcraft, that a society’s conception of the characteristics
and financially are often concerned about protecting them-
of the witch reinforces its norms by providing a negative
selves from the witchcraft of those retaining a more tradition-
example.
al way of life.
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WITCHCRAFT: AFRICAN WITCHCRAFT
This majority view was contested by Godfrey and Mon-
*Harwood, Alan. Witchcraft, Sorcery and Social Categories among
ica Wilson (1945, p. 120), who believed that the relative im-
the Safwa. London, 1970. A thorough study of beliefs in
portance of witchcraft was declining and that of science in-
their social context, involving a searching inquiry into the
creasing. Some statistical evidence has come forward recently
theoretical issues they raise. Excerpted in Marwick (1982).
(Mitchell and Mitchell, 1980; Hammond-Tooke, 1970),
Jackson, Michael D. “Structure and Event: Witchcraft Confession
and this supports the Wilsons’ view in that it demonstrates
among the Kuranko.” Man, n. s. 10 (March 1975):
that modern social changes tend to be accompanied by a pro-
387–403.
gressive, if slow, secularization of the beliefs that traditionally
Junod, Henri A. The Life of a South African Tribe. 2d ed., rev. &
explained misfortunes.
enl. 2 vols. London, 1927. First published as Les Ba-Ronga
(1898; reprint, New Hyde Park, N. Y., 1962).
SEE ALSO Nyakyusa Religion; Southern African Religions,
Krige, J. D. “The Social Function of Witchcraft.” Theoria (Pieter-
overview article; Tswana Religion.
maritzburg, South Africa) 13 (1947): 8–21. Reprinted in
Marwick (1982).
BIBLIOGRAPHY
Kluckhohn, Clyde. Navaho Witchcraft. Boston, 1944. Excerpted
Note: Asterisked items are particularly recommended for further
in Marwick (1982).
consultation.
Marwick, Maxwell Gay. “The Social Context of Cew
ˆ a Witch-
Ardener, Edwin. “Witchcraft, Economics and the Continuity of
Beliefs.” Africa 22 (1952): 120–135, 215–233.
Belief.” In Witchcraft Confessions and Accusations, edited by
*Marwick, Maxwell Gay. Sorcery in Its Social Setting: A Study of
Mary Douglas, pp. 141–160. New York, 1970.
the Northern Rhodesian Cew
ˆ a. Manchester, 1965. Sorcery re-
*Crawford, James R. Witchcraft and Sorcery in Rhodesia. London,
lated to traditional matrilineage segmentation, wider social
1967. Based on more than a hundred records of court cases,
tensions, political organization, and modern changes. Based
supplemented by sound knowledge of the cultures of the per-
on nearly two hundred explanations of misfortunes, which,
sons involved. The author is well acquainted with the litera-
critics say, came from too few informants. Comparisons of
ture and has a refreshingly independent stance in theoretical
informants’ general statements with the summation of spe-
debates. Excerpted in Marwick (1982).
cific cases in statistical tables. Reviewed in Douglas (1967).
Douglas, Mary. “Techniques of Sorcery Control in Central Afri-
*Marwick, Maxwell Gay, ed. Witchcraft and Sorcery: Selected Read-
ca.” In Witchcraft and Sorcery in East Africa, edited by John
ings. 2d ed. Harmondsworth, 1982. A collection of forty-two
Middleton and E. H. Winter, pp. 123–142. London, 1963.
papers and excerpts from the writings of anthropologists, his-
torians, and others, eighteen of which have reference to Afri-
Douglas, Mary. “Witch Beliefs in Central Africa.” Africa 37
can societies.
(1967): 72–80.
Middleton, John. Lugbara Religion: Ritual and Authority among an
*Douglas, Mary, ed. Witchcraft Confessions and Accusations. New
East African People. London, 1960.
York, 1970. A diverse, somewhat uncoordinated collection
*Middleton, John, ed. Magic, Witchcraft and Curing. Garden
of papers, half of which are concerned with African societies.
City, N. Y., 1967. Six of the sixteen papers included are con-
Evans-Pritchard, E. E. “The Morphology and Function of Magic:
cerned with the social setting of African witchcraft, sorcery,
A Comparative Study of Trobriand and Zande Ritual and
or divination.
Spells.” American Anthropologist 31 (1929): 619–641. Re-
*Middleton, John, and E. H. Winter, eds. Witchcraft and Sorcery
printed in Middleton (1967).
in East Africa. London, 1963. Makes a brave if not foolhardy
*Evans-Pritchard, E. E. Witchcraft, Oracles and Magic among the
attempt to link witchcraft with unilineal societies and sorcery
Azande. Oxford, 1937. A skilled analysis of the thinking be-
with others, but, as these two categories are in dispute and
hind Zande witchcraft-related behavior. The starting point
as contributors show no uniform deference to the editors’
for any serious study of witch beliefs and, apart from Marga-
thesis, the reader may remain unconvinced. For an excellent
ret Murray’s romantically misleading works, quite the most
critical review, see Turner (1964).
influential study of witchcraft yet written. For an apprecia-
Mitchell, Hilary Flegg, and J. Clyde Mitchell. “Social Factors in
tion of Evans-Pritchard’s work, see Max Gluckman’s review,
the Perception of the Causes of Disease.” In Numerical Tech-
“The Logic of African Science and Witchcraft,” Human
niques in Social Anthropology, edited by J. Clyde Mitchell,
Problems in British Central Africa 1 (1944): 61–71; reprinted
pp. 49–70. Philadelphia, 1980. Reprinted in Marwick
in Marwick (1982).
(1982).
*Gelfand, Michael. The African Witch: With Particular Reference
Mitchell, J. Clyde. The Yao Village: A Study in the Social Structure
to Witchcraft Beliefs among the Shona of Rhodesia. Edinburgh,
of a Nyasaland Tribe. Manchester, 1956.
1967. Shona witch beliefs and practices related to them, es-
Nadel, S. F. “Witchcraft in Four African Societies: An Essay in
pecially divination. Based on long medical experience among
Comparison.” American Anthropologist 54 (1952): 18–29.
the Shona.
Reprinted in Marwick (1982).
Hammond-Tooke, W. David. “Urbanization and the Interpreta-
*Parin, Paul, Fritz Morgenthaler, and Goldy Parin-Matthèy. Fear
tion of Misfortune: A Quantitative Analysis.” Africa 40
Thy Neighbor as Thyself: Psychoanalysis and Society among the
(1970): 25–39. Reprinted in Marwick (1982).
Anyi of West Africa. Translated from German by Patricia Kla-
Hammond-Tooke, W. David. “The Cape Nguni Witch Familiar
merth. Chicago, 1980. Gives an interesting comparative
as a Mediatory Construct.” Man, n. s. 9 (March 1974): 128–
glimpse of a former French territory in regard to both tradi-
136. Reprinted in Marwick (1982).
tional witch beliefs and modern conflicts of values.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WITTGENSTEIN, LUDWIG
9781
*Reynolds, Barrie. Magic, Divination and Witchcraft among the
his lifetime. It inaugurated a logical-structuralist approach to
Barotse of Northern Rhodesia. London, 1963. A thorough ac-
philosophical analysis. The Philosophical Investigations (Ox-
count of witch beliefs and practices related to them, such as
ford, 1953) initiated what came to be called ordinary lan-
divining. Includes an analysis of court records arising from
guage philosophy. Some dozen other books of lectures,
a sudden spate of witchcraft cases in Rotseland in the mid-
notes, letters, and various manuscripts and manuscript frag-
1950s. Illustrated with useful drawings of related material
ments have been published posthumously; the most impor-
culture.
tant is probably On Certainty (Oxford, 1969). This material,
Turner, Victor. “Witchcraft and Sorcery: Taxonomy versus Dy-
on which Wittgenstein was working at the time of his death,
namics.” Africa 34 (1964): 314–325.
seems to point the way toward still a third period of his phi-
Wilson, Godfrey. “An African Morality.” Africa 9 (1936): 75–99.
losophy.
Wilson, Godfrey, and Monica Wilson. The Analysis of Social
Wittgenstein concerned himself primarily with the na-
Change. Cambridge, 1945.
ture of language, a concern that for him entailed the under-
Wilson, Monica. Good Company: A Study of Nyakyusa Age-
standing and clarification of meaning. Thus he believed lan-
Villages. London, 1951. Cited in the text as Wilson (1951a).
guage to be the proper subject of philosophy, for it is
Wilson, Monica. “Witch-Beliefs and Social Structure.” American
according to the terms of language that the world and human
Journal of Sociology 56 (January 1951): 307–313. Cited in
life become comprehensible. The function of philosophy is
the text as Wilson (1951b). Reprinted in Marwick (1982).
to see language clearly and thereby dissolve (particularly at
New Sources
certain critical nodes) metaphysical problems and anxieties
Bastian, Misty L. “The Daughter She Will Eat Agousie in the
created by deep misunderstandings about the grammatical
World of the Spirits: Witchcraft: Confessions in Missionised
possibilities of language. Wittgenstein excelled in the subtle
Onitsha, Nigeria.” Africa, 72 (2002), 83–111.
examination of how ordinary words with ordinary uses come
Cristoph, Henning, and Hans Oberländer. Voodoo: Secret Power
to seem fraught with metaphysical complexities.
in Africa. Kohl, 1996.
The spirit in which these profound philosophical (and
Delius, Peter. “Witches and Missionaries in Nineteenth Century
not merely linguistic) studies were carried out was the very
Transvaal.” Journal of Southern African Studies, 27 (Septem-
reverse of a positivistic or scientistic one, though some of
ber 2001): 429–444.
Wittgenstein’s early interpreters, such as Bertrand Russell,
Geschiere, Peter. Peter Geschiere and Janet Roitman, trans. The
misunderstood him on this point. In his notebooks, excerpts
Modernity of Witchcraft: Politics and the Occult in Postcolonial
from which have been published under the title Culture and
Africa. Charlottesville, 1997.
Value (1977; Eng. ed., 1980), he declared himself out of
Lemert, Edwin. The Trouble with Evil: Social Control at the Edge
sympathy with the scientific and progressivistic spirit of the
of Morality. Albany, 1997.
age. Even in his early letters to Paul Engelmann and Ludwig
Monter, William. “Reconceptualizing British Witchcraft.” Journal
Flicker, he made it clear that the purpose of the Tractatus was
of Interdisciplinary Studies, 35 (Summer 2004): 105–112.
an ethical and not a scientific or positivistic one.
Niehaus, Isak A. “Witch-Hunting and Political Legitimacy: Con-
Wittgenstein once told a friend that he could not help
tinuity and Change in Green Valley, Lebowa, 1930–1991.”
seeing everything from a religious point of view. He be-
Africa, 63 (1993): 498–531.
longed to no religious group or institution, though his moth-
Sweet, James. Recreating Africa: Culture, Kinship, and Religion in
er was Catholic and he had been baptized a Catholic. (Three
the African-Portuguese World, 1441–1770. Chapel Hill,
of his grandparents are said to have been of Jewish extrac-
2003.
tion.) During World War I he came under the influence of
MAXWELL GAY MARWICK (1987)
Tolstoi’s writings on the Gospels and adopted a Tolstoyan
Revised Bibliography
mode of life, giving away his considerable inheritance and
living ascetically as a village schoolteacher in southern Aus-
tria. To his friends he expressed admiration for Kierkegaard
WITTGENSTEIN, LUDWIG
and Augustine and for some of the writings of George Fox
(1889–1951), one of
and the prayers of Samuel Johnson. Engelmann reported
the most influential philosophers of the twentieth century.
that Wittgenstein believed in the Last Judgment but could
Born of a wealthy family in Vienna, Wittgenstein did most
make little out of the biblical doctrine of creation.
of his philosophical work at Cambridge, England. He be-
came a British subject in 1938 and succeeded G. E. Moore
Wittgenstein wrote very little specifically on religion;
as professor of philosophy at Cambridge in 1939. His two
the most important documents in this regard are Lectures on
principal works were largely responsible for the “linguistic
Religious Belief (Oxford, 1966) and Remarks on Frazer’s “Gol-
revolutions” in twentieth-century Anglo-American philoso-
den Bough” (London, 1979). Yet his philosophy is permeated
phy. The Tractatus Logico-Philosophicus (German edition
with a religious spirit. It was one of his strongest convictions
1921, English translation 1922, second English translation
that religion should be shown and demonstrated in every-
1961), completed in the Austrian army during World War
thing rather than talked about as a separate matter. He ad-
I, was the only one of Wittgenstein’s books published during
vised his students that philosophical problems must arise out
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9782
WOLFF, CHRISTIAN
of a genuine need rather than as an expression of wit and
Rhees, Rush, ed. Ludwig Wittgenstein: Personal Recollections. To-
cleverness. The important question about a philosopher, he
towa, N. J., 1981.
said, is how much his ideas cost him. Wittgenstein believed
HENRY LE ROY FINCH (1987)
that a philosophy is no better than the life out of which it
arises and that in order to see things clearly it is necessary,
above all, to destroy vanity. Unexamined biases and commit-
ments are a mortgage against clarity.
WOLFF, CHRISTIAN (1679–1754), rationalist phi-
Wittgenstein’s reserve on the subject of religion arose
losopher of the German Enlightenment. Born in Breslau,
not only from his feeling that it is more important to talk
Wolff was educated there and at the University of Jena.
to God than to talk about God, but also from his awareness
Though he had studied theology and philosophy, Wolff’s
that in the present age religious expressions are almost certain
main interest while at the university was in mathematics.
to be misunderstood. Thus he considered dedicating one of
Wolff earned his master’s degree from the University of Leip-
his books, later published after his death as Philosophical Re-
zig in 1703; in 1707, with the help of a recommendation
marks, “To the glory of God,” but decided against it.
from Gottfried Wilhelm Leibniz, he was appointed professor
of mathematics and natural sciences at the relatively new
What is evident from the study of Wittgenstein’s life
University of Halle, where he taught until 1723. In that year
and work is that he was a clear-cut “supernaturalist,” in the
he moved to the University of Marburg, subsequently re-
sense that he sharply separated God from the world. He told
turning in 1740 to Halle, where he remained until his death.
a student, Friedrich Waismann, that it is more profound to
believe that something is good because God commands it
Wolff’s education familiarized him with Lutheran, Cal-
than to believe that God commands it because it is good.
vinist, and Roman Catholic viewpoints in theology, with Ar-
Religion for Wittgenstein was a matter of belief, and
istotelian and Cartesian school traditions in philosophy, and
such beliefs outranked any explanations, reasons, or logic.
with emerging empirical methods in Newtonian science.
Wittgenstein had no patience with either sociological or psy-
The most important single influence on Wolff’s thought was
chological “explanations” of religion, and even less with sci-
Leibniz, but it is too simple to say that Wolff merely system-
entific attempts to bolster religion or to create religious emo-
atized the views of his great predecessor.
tions as responses to scientific wonders. Religion had to do
Wolff began lecturing on philosophy in 1709. In 1713
with a different and more important dimension than that of
he published his first major work in the field, a German
fact: the dimension of how we are to live.
logic. Later German works dealt with metaphysics (1720),
His most important contribution to the philosophy of
ethics (1720), politics (1721), physics (1723), teleology
religion was in his analysis of belief in Lectures on Religious
(1724), and physiology (1725).
Belief, included in Lectures and Conversations, compiled by
In 1728 Wolff turned his attention beyond the borders
Yorick Smythies, Rush Rhees, and James Taylor (Oxford,
of Germany to the larger intellectual world. This new inter-
1966). Here Wittgenstein examines the role played by reli-
national audience was addressed in Latin in a series of works
gious beliefs in the guidance of life and attempts to disentan-
that are larger, more extensive in scope, and some would say
gle them from all factual matters, including claims about ex-
more “objective” or “scholastic” in character than their Ger-
istence. He makes the important point that denying a
man predecessors. They include treatises on logic (1728), on-
religious belief or disagreeing with it is not contradicting
tology (1729), cosmology (1731), empirical and rational psy-
anything, since the essence of religious belief has nothing to
chology (1732 and 1734), natural theology (2 vols., 1736–
do with whether something is or is not the case, or was or
1737), universal practical philosophy (2 vols., 1738–1739),
will be the case. Rather, it has to do with how we live and
natural law (8 vols., 1740–1748), jus gentium (1749), and
die. When people are willing to suffer and die for their reli-
ethics (5 vols., 1750–1753).
gious beliefs, it is not for some factual proposition that they
are willing to suffer and die, though it may appear so. Thus
Two aspects of Wolff’s life and thought are perhaps
a belief in the Last Judgment should not be taken as an asser-
most significant for the history and development of religious
tion that a certain event is or is not going to take place, but
thought. The first of these is his clash with Pietist theologians
as something like an icon guiding our thoughts and actions,
at Halle. Wolff’s commitment to rational method, the con-
particularly in times of crisis. The attempt to make religious
tent of his metaphysics, his success with students, and an
beliefs appear reasonable Wittgenstein regarded as often “lu-
abrasive personal style soon generated criticism. Among the
dicrous.”
issues at stake were Wolff’s acceptance of the Leibnizian doc-
trine of preestablished harmony and his emphasis on God’s
BIBLIOGRAPHY
intellect as the controlling framework for divine freedom and
Hacker, P. M. S. Insight and Illusion: Wittgenstein on Philosophy
power. Wolff was accused of idealism, fatalism, determinism,
and the Metaphysics of Experience. Oxford, 1972.
Spinozism, and atheism—all fairly standard charges at the
Kenny, Anthony. Wittgenstein. London, 1973.
time, though in this case not without some basis in fact.
Malcolm, Norman. Ludwig Wittgenstein: A Memoir. London,
When their efforts to alter his views or to limit his influence
1958. Includes a biographical sketch by G. H. von Wright.
within the academic world did not succeed, some of Wolff’s
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WOLVES
9783
opponents made an external appeal to political authority.
BIBLIOGRAPHY
The result, in 1723, was an order from King Frederick Wil-
A new edition of Wolff’s Gesammelte Werke is well under way
liam I—issued without a hearing—that removed Wolff from
(Hildesheim, 1962–) in three series: (1) German works, (2)
his professorship and banned him from Prussia within forty-
Latin works, and (3) related materials and documents. The
Preliminary Discourse on Philosophy in General is available in
eight hours on pain of death. This was perhaps a more seri-
an English translation by Richard A. Blackwell (Indianapolis,
ous escalation than even Wolff’s enemies might have desired,
1963). The only comprehensive study of Wolff’s thought is
with ominous implications for academic freedom. In fact,
Mariano Campo’s Cristiano Wolff e il razionalismo precritico,
another post was immediately available at Marburg in Hesse-
2 vols. (Milan, 1939); reprinted in Gesammelte Werke, series
Cassel, and exile only heightened Wolff’s popularity. More-
3, vol. 9. For historical context, see Lewis White Beck’s Early
over, upon the accession of Frederick the Great to the Prus-
German Philosophy: Kant and His Predecessors (Cambridge,
sian throne in 1740, Wolff was recalled in triumph to Halle.
Mass., 1969) and my article “Christian Wolff and Leibniz,”
In the meantime, he had switched from German to Latin in
Journal of the History of Ideas 36 (1975): 241–262. For his
metaphysics, see Le métaphysique de Christian Wolff (1990;
his writing and had published an eloquent essay on the free-
Gesammelte Werke, series 3, vol. 12.1 & 12.2) by Jean École,
dom to philosophize in his “Preliminary Discourse on Phi-
the editor of Wolff’s Latin metaphysics volumes. École has
losophy in General” (1728).
also edited a collection of essays by experts on Wolff’s philos-
ophy, Christian Wolff: Autour de la philosophie Wolfienne
The second issue worth noting is Wolff’s commitment
(2001; Gesammelte Werke, series 3, vol. 65). For Wolff’s
to natural theology. Wolff saw his philosophy as a support
philosophical theology, see James D. Collins’s God in Mod-
rather than a hindrance to religion. His account of God’s ex-
ern Philosophy (1959; reprint, Westport, Conn., 1978),
istence and attributes was meant to lay the basis for a secure
pp. 133–143; Anton Bissinger’s Die Struktur der Gotteserken-
theology and ethics. This is in keeping with his goal to
ntnis: Studien zur Philosophie Christian Wolffs (Bonn, 1970);
achieve through philosophy both a science and a wisdom. In
my article “The Existence of God, Natural Theology, and
retrospect, what Wolff has given posterity is the epitome of
Christian Wolff,” International Journal for Philosophy of Reli-
a rationalist tradition in philosophical theology. His demon-
gion 4 (1973): 105–118; and two articles by Jean École, “De
la démonstration a posteriori de l’existence et des attributs de
strations of the existence of God, for example, include both
Dieu, ou la Theologia naturalis, Pars I de Christian Wolff,”
a priori and a posteriori proofs, forms of the ontological, cos-
Giornale di metafisica 28 (1973): 363–388, 537–560, and
mological, and teleological arguments. Their exposition pres-
“De la démonstration a priori de l’existence et des attributs
ented Kant with a ready-made target for his well-known cri-
de Dieu, et des erreurs sur Dieu, ou la Theologia naturalis,
tique.
Pars II de Christian Wolff,” Giornale di metafisica 32 (1977):
85–109, 237–272.
In both his teaching and early writings, Wolff made a
CHARLES A. CORR (1987 AND 2005)
major contribution toward establishing the German lan-
guage as an accepted instrument for scientific work. The
common opening phrase in the titles of his central German
works (“Rational thoughts on . . .”) and the equally com-
WOLVES. Wolf symbolism embraces the dual aspects of
mon subtitle of his Latin volumes (“Treated according to the
good and evil human nature. Although the dark, menacing
scientific method”) mark Wolff’s abiding concerns for meth-
image of the fearless predator and ravening killer preponder-
od, order, and system. Wolff divided human knowledge into
ates, wolves also personify a protective spirit and the nurtur-
three parts: history (knowledge of the fact), philosophy
ing mother. In classical times the wolf, perceived in both as-
(knowledge of the reason for the fact), and mathematics
pects, symbolized transition. The “hour of the wolf,” for
(knowledge of the quantity of things). He subdivided philos-
example, is the time of emergence from darkness into light
ophy into metaphysics, physics, and practical philosophy;
or, contrarily, of reversion to the world of darkness and igno-
further divided metaphysics into ontology, cosmology, psy-
rance. The biblical verse “The wolf also shall dwell with the
chology, and natural theology; and popularized the distinc-
lamb” (Is. 11:16) is a metaphor for the assimilation of the
tion between empirical and rational modes of knowing.
lower to the higher and participates in the symbolism of the
These divisions are implemented in both his German and
center. The Roman signa represents the wolf mounted on a
Latin writings, which themselves enjoyed a huge success,
cube (earth) and on a sphere (heaven). As an alchemical sym-
often appearing in multiple editions right up to the time of
bol, the wolf, together with the dog, stands for the dyadic
his death. Wolff’s views soon dominated the academic scene
nature of Mercurius, the philosophical mercury, the nous
in Germany; his students filled key posts in institutions of
(“intelligence”).
higher education, and his prestige was immense. Kant called
Many of the ancient war gods bore the name Wolf.
Wolff “the greatest of all the dogmatic philosophers.” De-
Apollo, more widely known as a sun god, was associated with
spite contemporary adversities and relative obscurity today,
the wolf, and the epithets “wolf-born” and “wolfish Apollo”
Wolff was undoubtedly the most influential philosopher in
occur in Greek and Roman literature. In the Aeneid, the god
Germany between the death of Leibniz in 1716 and the pub-
assumed the form of a wolf in order to destroy the sorcerers
lication of Kant’s Critique of Pure Reason in 1781.
of Rhodes, and a bronze statue of a wolf still stands at his
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WOLVES
shrine at Delphi. The Romans associated the wolf with the
Hindus and Celts. For the Chinese, the animal signified ava-
god Mars, and their legions marched into battle under the
rice and voracity, for the Zoroastrians and Armenians, evil
protection of the sacred wolf displayed on their banners. The
more malign than that of the serpent charms used to destroy
Lupercalia, a festival of ancient Rome, has been interpreted
it. The Abyssinians regarded wolves as demons in animal
as a wolf festival with wolf priests. Wolf deities were wor-
form. In Judaism, wolves connoted bloodthirstiness and the
shiped in Iran and Scythia, and in Japan the wolf was long
spirit of persecution, and the biblical epithet “stiff-necked”
regarded as a great god. The Teutonic war god Woðan
derived from the belief that the animal was unable to turn
(whose name derives from wut, “fury”) and his Scandinavian
its head. In both testaments of the Bible, wolves are charac-
counterpart, Óðinn (Odin), were accompanied by wolves
terized as “ravening.” The image of the wolf as Satan or his
when waging war. The Finns called wolves “dogs of the death
henchman, a devourer of human souls, pervaded Christiani-
spirit.” American Indian tribes whose gods bore wolf names
ty. The wolf represented the heretic, despoiler of the sheep-
preceded their war sorties with wolf dances to ensure victory.
fold of the faithful, of which Christ was the shepherd-
protector. In “The Parson’s Tale” Chaucer speaks of “the
The most sinister wolf image is that of Fenrir, or Fenri-
devil’s wolves that strangle the sheep of Jesus Christ.” Dante,
súlfr (Fenriswolf), in Norse mythology. The son of the trick-
in the first canto of his Inferno, names the she-wolf “laden
ster Loki, this monster embodied the destructive potential of
with all craving” as one of the three dangerous beasts in the
chaos in the universe. Immured by the gods in the bowels
dark wood of fear; and in the eighth circle of Hell, thieves,
of the earth, he broke out of his prison and devoured the sun
liars, and hypocrites are condemned for “the sins of the
and so brought about the twilight of the gods. In the thir-
wolf.”
teenth-century Icelandic Eddas, the cyclic cosmic battle be-
tween the gods and antigods is called “the war with the wolf.”
In many societies, the wolf was the symbol of outlaws,
Exaltation of wolves rather than fear of them prevailed
fugitives, and exiles, all of whom were believed to be under
in archaic times, for, as hunters, humans identified them-
the protection of wolf gods. In the laws of the Hittites as well
selves with the wolf, the exemplary predator. Animals were
as those of Edward the Confessor, such men were required
considered divine in those early societies and were the nucle-
to wear a wolf-headed mask. Around 350 CE, the first bishop
us around which religious belief crystallized. The discovery
of the Goths applied the term wolf to any man who had com-
of Neolithic figurines of men wearing wolf masks and wolf
mitted a capital crime.
skins suggests ceremonies of a religious and initiatory charac-
Early associated with sorcery and superstition, wolves
ter. When wolf totems were created and the name of the ani-
were said to be the mounts of warlocks and witches. In Norse
mal taken by the tribe, it was often in the belief that the tribe
mythology, they consorted with the Norns, and Circe’s pal-
was descended from a wolf ancestor, an idea that reflects a
ace was surrounded by tame wolves that she had subdued by
religious concept of great antiquity. The Chinggisids attri-
enchantment. “Tooth of wolf” is an ingredient of the witch-
buted their origin to a wolf who had come down from heav-
es’ brew in Shakespeare’s Macbeth, and various parts of the
en to mate with a doe. Analogous myths existed among vari-
animal’s body were included in the armaments of magic of
ous tribal peoples of Inner Asia. The wolf also figured in the
American Indian medicine men.
mythology of the American Indian hunting societies, such
as the Cheyenne, and for some tribes of the Plains and the
Perhaps the most colorful of the beliefs relating to
Eastern Woodlands, it was a clan or gens animal. Awed by
wolves is that of lycanthropy, the ancient belief in the trans-
the skill of the wolf as predator, these tribes incorporated its
formation of human into werewolf. This fearsome, night-
image into their rituals and ceremonial dances with the aim
roaming beast, avid for human blood, has been an almost
of acquiring the animal’s stamina and courage. Conversely,
universal specter. Legends of werewolves are known in al-
the wolf was anathema for agricultural societies, although,
most every part of the world, and where no wolves have exist-
according to Herodotus, the priests of Ceres had wolf guides.
ed, the belief in were-animals has been associated with the
fiercest native animal: the tiger in India, the jaguar in South
In ancient Egypt, Greece, and Rome, the wolf, symbol-
America, the hyena in Africa, and the fox in Japan and
izing the warrior-hero, was a guardian figure on monuments.
China, where stories of the werefox have been preserved in
An emblem of valor, it was a dominant image in the Volsun-
the lore of popular Taoism. Werewolves played a role in the
gasaga and in the Teutonic military societies, the Berserkers
shamanism of Asia, and Inuit (Eskimo) and Chukchi sha-
and Männerbünde. Fostering the cult of the fanatical war-
mans transformed themselves into wolves when in trance.
rior, these martial brotherhoods held initiation ceremonies
Herodotus wrote of the Neuri turning into wolves annually,
for the purpose of transforming the neophyte into a wolf. By
which suggests periodic religious ceremonies in which wolf
donning the skin of the invulnerable animal, the initiate was
masks and wolf skins were worn. Socrates refers to were-
thought to acquire its ferocity and power. Such traditions of
wolves in Plato’s Republic; Pliny gives an account of were-
initiatory transformation are documented in cultures as re-
wolfry in his Natural History; and Vergil wrote that the crea-
mote as those of Iceland and Africa.
tures were produced by means of magic herbs. Such beliefs
The widespread and enduring association of wolves with
may have had their origin in the mythico-religious complex
ferocity and greed, darkness and death, prevailed among the
of wolf gods or in rituals of the return of the dead. But it
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WOMEN’S STUDIES IN RELIGION
9785
was in medieval Christian Europe that the werewolf most ob-
view of the wolf in the Middle Ages as a projection of human
sessed the human mind, and the Catholic Inquisition ex-
fears and anxiety. A survey of shamanic wolf rituals.
ploited the panic it aroused to further the suppression of
New Sources
heresy.
Busch, Robert. “The Wolf in Human Culture.” In The Wolf Al-
Wolves have been represented in Christian art as suscep-
manac, pp. 85–112. Guilford, Conn., 1998.
tible to spiritual persuasion and reform. The wolf of Gubbio,
Daniels, Edwin. Wolf Walking. New York, 1997.
which had terrorized that Italian village, was converted by
Hall, Jamie. Half Human, Half Animal: Tales of Werewolves and
Francis of Assisi and is often depicted as his companion. Odo
Related Creatures. Bloomington, Ind., 2003.
of Cluny, the tenth-century French saint, is said to have been
Savage, Candace. Wolves. 1988; reprint, San Francisco, 1996.
rescued by a wolf when assailed by foxes, and the manuscript
of the life of Edmund the Martyr (ninth century) contains
Steiger, Brad. The Werewolf Book: The Encyclopedia of Shape-
Shifting Beings. 1999; reprint, Detroit, 2003.
an illustration of a wolf guarding the saint’s severed head.
Wolves as nurturing figures occur in myth and legend,
ANN DUNNIGAN (1987)
Revised Bibliography
often mothering human infants who become founders of
dynasties or nations. The best known of these, the Capitoline
wolf that nursed Romulus and Remus, the legendary found-
ers of Rome, is by no means the only surviving monument
WOMAN SEE FEMININE SACRALITY
to this widespread legend. Coins antedating the founding of
Rome bear the images of wolves with twin children. Apollo’s
children by human mothers were also said to have been suck-
WOMEN’S STUDIES IN RELIGION. Women’s
led by wolves.
studies in religion comprise the many and varied scholarly
Siberian and American Indian shamans regarded wolves
approaches to the study of religion that arise from commit-
as guardians or helpful spirits and a source of great power.
ment to the equal dignity of the sexes, that employ the cate-
The doctoring societies of the Quileute and Makah Indians
gory of gender as a necessary and key variable in the inquiry,
of the Northwest Coast performed wolf dances to heal the
and that focus explicitly on the dynamic and reciprocal inter-
sick, and the image of a wolf head was believed to be a safe-
play between religion and women’s lives. Taken together
guard against evil. For many Indian tribes the wolf represent-
these diverse approaches constitute a major body of research
ed the corn god. The Keresan Pueblo tribe of the Southwest
that has irreversibly altered the landscape of religious studies.
ordered the world according to the four cardinal points plus
the zenith and nadir, and each of the six points was said to
Women’s studies emerged as a new field of inquiry
be dominated by a god, with the wolf in the west.
across a number of academic disciplines in the late 1960s and
early 1970s, when the entry of greater numbers of women
Wolves are often represented in fairy tales and fables as
into higher education coincided with the second wave of
helpful animals; they manifest a sagacity and acumen superi-
feminism. The largely Western phenomenon of the women’s
or to human knowledge.
liberation movement politicized women (and men) as they
became aware of the historical legacy and cultural pervasive-
BIBLIOGRAPHY
ness of sex discrimination and gender stereotyping. Recog-
Eisler, Robert. Man into Wolf (1951). Reprint, New York, 1969.
nizing these damaging features within their own disciplines,
An exhaustive account of the belief in lycanthropy in various
parts of the world and of ethnic names derived from the vari-
female students and teachers began to explore these and the
ous names for the wolf.
many other ways that gender matters shape their subjects and
Eliade, Mircea. Zalmoxis, the Vanishing God: Comparative Studies
the manner in which they are taught and on this basis to de-
in the Religions and Folklore of Dacia and Eastern Europe. Chi-
velop critiques of and alternative approaches to the subject
cago, 1972. An analysis of wolf rituals in archaic mythico-
matter and the methods of its study. As a result women are
religious traditions predating Near Eastern and Mediterra-
the focus of study as never before, and in most fields of aca-
nean civilizations: their relation to the rites of martial initia-
demic research gender is considered an indispensable analyti-
tions and to beliefs in the periodic return of the dead.
cal category.
Gubernatis, Angelo de. Zoological Mythology or Legends of Animals,
The initial impetus for women’s studies in religion was
vol. 2, The Animals of the Earth (cont.), The Animals of the
Air, The Animals of the Water. London, 1872. Treats the be-
(and to some extent remains) the need to counter what Rose-
nevolent aspect of wolves as guides or guardians of saints and
mary Radford Ruether described as “the buried continent of
priests and the relation of wolves to curative beliefs.
unconscious androcentrism” that has shaped religion and its
Ovid. The Fasti, vol. 2. Edited by Sir James Frazer. London, 1929.
study (Ruether, 1985, p. 706). Feminist conscientization
An extensive review of legends of the nurturing wolf, predat-
rendered this latent male bias visible, and women’s scholar-
ing and including the Capitoline wolf as well as histories of
ship began to expose its full extent. It became clear, for exam-
“wolf children” from ancient to modern times.
ple, that there was a dearth of research into women’s religious
Summers, Montague. The Werewolf (1933). Reprint, New Hyde
experience and participation, leading to gaps in knowledge
Park, N. Y., 1966. An excellent exposition of the prevalent
and understanding. In part this was due to the paucity of
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9786
WOMEN’S STUDIES IN RELIGION
available source material relating to women’s religious lives,
THE CONTEMPORARY PURVIEW OF WOMEN’S STUDIES IN
but it was also the result of scholarly neglect. Where such ma-
RELIGION. From these beginnings, women’s studies in reli-
terial had been the subject of scholarly attention, there was
gion have proliferated and diversified. The heterogeneity of
a tendency to impose false assumptions about innate sex
the field extends far beyond the differences that exist as a re-
differences and gender roles onto the interpretation of
sult of religious diversity. Neither can women’s studies schol-
data, based on Western constructions of femininity and mas-
ars be characterized as a homogeneous group. While the ma-
culinity.
jority of scholars in the field are women, there are growing
A disproportionate amount of research was devoted to
numbers of men whose research concentrates on the study
men’s religion and to the elite males who had shaped reli-
of women’s religion, such as David Kinsley and Arvind Shar-
gions. Those aspects of religion that were singled out as char-
ma. As with all subject disciplines, there are ideological divi-
acteristic, significant, and worthy of study were often male-
sions that give rise to internal debate and disagreement on
dominated, with females less prominent and portrayed as oc-
theoretical, methodological, and programmatic issues. In
cupying inferior or supporting roles. As Rita Gross, one of
order to discuss the contemporary diversified nature of
the founders of the field of women’s studies in religion and
women’s studies in religion and examine the questions that
a graduate student of Mircea Eliade during the late 1960s,
enliven scholarly debate, it will be necessary to classify the
stated, “One did not receive a coherent, connected account
field into four chief areas of study, though it is well to note
of women’s religious lives and activities, but only glimpses,
that many women’s studies scholars are engaged in research
as they entered or left the stage of men’s lives” (Gross, 2002a,
that spans these categories.
p. 45). This (often inadvertent) male focus created a skewed
picture of the religions of the world. Human religiosity was
Recording and analyzing the diversity of women’s re-
described (unwittingly) in terms of male religious experience.
ligious lives. First and foremost, what unites all scholarly ap-
For instance, the state of knowledge about religious initiation
proaches to women’s studies in religion is that such studies
was based largely on research into male initiation. To a sig-
seek to contribute to human knowledge and understanding
nificant degree, it was the religious experience of males and
of the rich global diversity and complexity of women’s reli-
not humankind that was being recorded for posterity, there-
gious lives cross-culturally and historically and, where neces-
by distorting the historical record. Furthermore religious
sary, to correct any absence from or distortion in the histori-
texts and traditions, themselves largely the products of male
cal record. The extraordinary diversity of women’s religious
authorship and systematization, are often framed in predom-
lives, in the present and in the past, is one of the chief find-
inantly androcentric terms and are often carriers of patriar-
ings of women’s studies in religion (see Durre Ahmed, 2002;
chal, sexist, and even misogynistic material. Women scholars
King, 1987; Plaskow and Christ, 1989). There is burgeoning
of religion were faced with the dual problem that androcen-
scholarship on contemporary women’s participation in the
trism was a feature of both the shapers of religion and the
religions of the world (e.g., Holm, 1994; Sharma, 1987,
shapers of its study. One of the continuing tasks therefore
1994a, 1994b), in women’s involvement in new religious
of women’s studies in religion is to seek out and correct an-
movements (e.g., Palmer, 1994; Puttick, 1997), and in the
drocentric bias in primary and scholarly sources.
recovery of women’s religious history from all periods—
including prehistory (e.g., Bynum, 1992; Kraemer, 1992;
The academic community of scholars of religion was
Newman, 1995). After centuries of neglect, women’s reli-
made aware of its own partiality and blindness to gender in-
gious lives—be they those of extraordinary mold breakers or
justice thanks to the pioneering research of scholars such as
those of the conventional majority—are being indelibly writ-
Carol P. Christ, Rita Gross, Judith Plaskow, Rosemary Rad-
ten into human history, allowing for the first time compara-
ford Ruether, and Valerie Saiving, who pointed to the sus-
tive study of materials and practices that have yielded, across
pect nature of previous generalizations, theories, and models
cultures and historical periods, patterns of commonality in
that were based on incomplete or erroneous pictures of reli-
female religious experience and expression (e.g., Falk and
gion. In light of this critique, women’s studies began to re-
Gross, 2001). Prompted by the feminist critique of andro-
configure approaches to studying religion by introducing
centrism in religion, much of the initial focus in women’s
new data, methodologies, and alternative organizing princi-
ples to those that had traditionally constituted the theoretical
studies was on the negative influence of religion on women’s
framework of religious studies.
lives. Subsequent primary research has disclosed more fully
the positive motivations for women belonging to religions,
In 1972 the first Working Group on Women and Reli-
including the role played by religions in conferring value to
gion was held at the Annual Meeting of the American Acade-
women’s lives, in legitimating everyday female activities, in
my of Religion (AAR)—the largest professional body for
nurturing identity, in providing sanctuary from life’s frustra-
scholars of religion; the first signs of the anticipated integra-
tions, and in empowering resistance to oppression in all its
tion of women’s studies into the mainstream of the disci-
forms.
pline. A year later, in 1973, the Women’s Studies in Religion
Program was founded at Harvard Divinity School, the fore-
Although most religions are male-dominated in terms
most research center for the study of gender and religion in
of power structures, female adherents are the majority partic-
the early twenty-first century.
ipants in many religions, and a small number of religious
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WOMEN’S STUDIES IN RELIGION
9787
movements and sects—such as Afro-Brazilian healing cults,
The application of gender analysis to religious tradi-
Japanese Ryu¯kyu¯ religion, Christian Science, and Black Carib
tions. A second major strand of women’s studies in religion
religion—can be described as women’s religions to the extent
is the application of gender analysis to religious traditions.
that the leaders and most of the adherents are female (see
This entails analysis of the ways in which religions in the past
Sered, 1994). Women’s sacral power is honored cross-
and in the present have developed and deployed gendered
culturally through specialist roles as ascetics, diviners, heal-
systems of thought, symbolism, and religious practices and
ers, mystics, prophets, shamans, and witches. Frequently
how these (and other forces) have shaped women’s religious
women are leading organizers and participants in purifica-
lives for good or ill. This in turn leads to evaluation of hu-
tion, fertility, birth, and funerary rites and carry the burden
manity’s pluriform religious heritage and the envisaging of
of preserving oral traditions. Within many religions women
its future forms in light of this gender-based inquiry.
prepare ritual food and observe low-profile and often private
Much (though not all) of this analysis arises from
rites within the household (e.g., praying, fasting, chanting)
women’s dissatisfaction with the gendered organization of
as a means of protecting their families and their livelihoods
their religions and initially was carried out predominantly by
from harm.
feminist scholars in North America and Europe examining
Although leadership positions are more associated with
the negative impact of religion on women’s lives. Faced with
male religious roles, women share with men authority and
the realization that androcentric and patriarchal values were
leadership positions in many religions, whether as bishops,
as deeply embedded within religions as within the rest of
priests, and preachers in certain Christian denominations, as
human culture, these feminists sought to delineate and cri-
priestesses in traditional African religion and Haitian vodou,
tique their malign omnipresence in religious scriptures, texts,
as Conservative, Reform, and Reconstructionist Jewish rab-
teachings, rituals, forms of worship, institutional hierarchies,
bis, as Buddhist teachers, and in the rare but not unheard
the construction of religious language and symbolism, and
of cases of Hindu guru¯s and Daoist priests. Some religions
so on. An influential early feminist critique of religion was
offer females certain roles and communities that allow them
Mary Daly’s The Church and the Second Sex (1968), which
to be independent from the conventional domestic arrange-
built on Simone de Beauvoir’s The Second Sex (1949) to
ments of marriage and childbearing, as in women’s religious
argue for an end to what Daly described as “Catholic an-
orders in Buddhism and Christianity. Stories of powerful fe-
tifeminism.” Five years later Daly’s position was firmly post-
male heroes, teachers, and saints are preserved in many tradi-
Christian. Her landmark Beyond God the Father (1973) advo-
tions. Women have been active as founders of new religious
cated a radical feminist spirituality disconnected from patri-
movements, including Mother Ann Lee, the eighteenth-
archal religion. Daly’s contribution catalyzed feminist
century founder of the Shakers in North America, and
reactions to religion; numerous scholars set to work unpick-
Nakayama Miki, the nineteenth-century founder of Japanese
ing the fabric of religions and pointing to their distorted pat-
Tenrikyo¯. In the late twentieth century women-dominated
terns of thought. No historical religion has since escaped
goddess-based feminist spiritualities became popular. Amid
feminist scrutiny.
this colorful diversity it is clear that the reasons women be-
Alongside the feminist critique and deconstruction of
come involved with and remain in religions are many and
religious traditions, men and women sensitive to questions
complex and are subject to the influence of various social,
of gender (not all of whom identify as feminist) are engaged
political, and economic factors that inform women’s needs
in the study of the positive elements in their tradition that
and desires (see Woodhead, 2001, 2002).
offer resources for a renewed, nonoppressive contemporary
religious expression. For example, there is considerable inter-
If women’s studies, particularly ethnographic and socio-
est in the study of divine females such as Buddhist bodhisatt-
logical research, have uncovered the diverse nature of
vas, Hindu goddesses, and Daoist celestials. Mostly this re-
women’s participation in religion, they have also demon-
search involves the recovery and restoration of previously
strated the shadow side of the role that gender ideology plays
overlooked or neglected elements of religion and includes,
in patterning and stratifying religious participation. Reli-
for instance, the retrieval of women’s histories (including the
gions can be sites of discrimination against women, who fre-
documentary recording of the legacy of the women’s move-
quently find themselves subject to male domination, exclud-
ment itself), the rehabilitation of suppressed or marginal fe-
ed from certain (prestigious) roles and sacred spaces, and
male characters (e.g., mythical female figures such as Lilith),
recipients of fewer legal privileges and their putative nature,
the reappropriation and, where necessary, reinterpretation of
bodies, and sexuality devalued and subject to ritual proscrip-
scriptures and teachings, and the preservation of endangered
tions. Even in religions such as Baha¯’¯ı, Islam, Jainism, Sikh-
but valuable religious traditions and practices that are mean-
ism, and Zoroastrianism that introduced improvements in
ingful for and often performed by women but threatened by
women’s rights over the prevailing culture, male dominance
forces such as urbanization and industrialization.
persists. As a result women may be positioned in ambiguous
and complicated relationships with their religions that re-
As a result of this work of critique and recovery, women
quire them to adopt creative strategies in negotiating fitting
are actively engaged in reconstructing and transforming reli-
places for themselves within their traditions.
gions so that they are in line with gender justice and better
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WOMEN’S STUDIES IN RELIGION
nurture female identities. This is occurring in an enormous
based on feminist principles. Some of the chief exponents of
variety of ways: through the rethinking and reformulation of
spiritual feminism are Zsuzsanna Budapest, Carol P. Christ,
the philosophical and theological aspects of religion—
Naomi Goldenberg, Asphodel Long, Melissa Raphael, and
increasingly achieved by bringing other academic disciplines
Starhawk. The way spiritual feminists choose to express their
into creative conversation with the theoretical elements of re-
religious sense varies. Thus while the label spiritual feminism
ligion (e.g., reinterpreting the meaning of and employing
unites adherents under a common identity, it is more accu-
new images for the divine); through the creation of new reli-
rate to speak of feminist spirituality movements in the plural
gious practices (e.g., the use of new forms of prayer, ritual,
since there are differences in approach and focus. Feminist
and worship); and through the establishment of new social
spirituality movements reject institutional structures, organi-
organizations (e.g., women’s support, networking, and cam-
zational hierarchies, creeds, and fixed forms of worship. The
paign groups). Correspondingly the aim is to replace all insti-
form of spirituality these movements espouse is gynocentric
tutional practices and thought patterns that deny or under-
and ecological. The focus is on the celebration of female sa-
mine women’s full participation and flourishing. As such this
cral power, which is accompanied by a positive evaluation
constructive and corrective task is praxis-based and politico-
of the female body, sexuality (including the erotic), and fe-
ethical in character, involving advocacy for women’s rights
cundity. Nature is revered for its powers of birth and regener-
(e.g., campaigning for the greater presence of females in lead-
ation, and humanity is understood to be intimately connect-
ership positions) as women worldwide seek to make their re-
ed to and responsible for the natural world.
ligions more conducive to women’s authentic agency and de-
velopment.
As a response to and reaction against patriarchal religion
and, more specifically, as a result of the rejection of the use
This threefold project of critique, recovery, and recon-
of male imagery and language for the divine, spiritual femi-
struction has been carried out most extensively within Chris-
nists often draw instead on the symbolic power of the God-
tianity and Judaism, where it has often (though not unpro-
dess. For instance, female gods such as Ishtar, Diana, or the
blematically) gone by the name of feminist theology.
Great Mother may be invoked in feminist rituals, and appeal
However, the same process is occurring to some degree in
may be made to various ancient Goddess traditions (e.g.,
all religions and constitutes the greater bulk of writing in
Gimbutas, 1974; Spretnak, 1981). The way the Goddess is
women’s studies in religion (e.g., Gross, 1993; Mernissi,
conceptualized in these movements varies. She may be wor-
1991; Plaskow, 1991; Robinson, 1999; Ruether, 1983; el
shipped as supreme being, personification of the earth, or al-
SaDda¯w¯ı, 1980).
ternatively, function as a nonrealist symbol of female perfec-
Some women, like Daly, have found the feminist cri-
tion. In any case the Goddess is visualized through
tique of religion to be decisive. They argue that the historical
immanent or other means than traditional, transcendent cat-
religions cannot be reformed in line with gender justice and
egories. The term thealogy (in contradistinction to theology),
identify as postreligious and secular (e.g., Taslima Nasrin) or
coined by Naomi Goldenberg (1979, p. 96), is now widely
prefer to express their religious experience and spirituality
employed to signal the importance of Goddess worship and
through means other than traditional religion (e.g., Carol P.
symbolism to the movements and to refer to the growing
Christ; Daphne Hampson).
body of literature that offers scholarly reflection on spiritual
The development and study of new religious move-
feminism (e.g., Christ 1979, 1997; Eller, 1993; Goldenberg,
ments that express women’s spiritualities. This brings us
1979; Long, 1994; Raphael, 1999). However, some spiritual
to a third area of activity in women’s studies in religion: the
feminists prefer not to be defined in relation to the enterprise
development and study of new religious movements that
of theology to the degree that it is viewed as an inherently
draw on the articulation of women’s spiritualities. Within
patriarchal discipline that entails a retreat from praxis into
the Western world, the demise of organized religion has been
systematic theorizing about doctrine. Other elements that
accompanied by a growth in unofficial spiritualities, many
have proved attractive to spiritual feminists include pagan
of which largely attract female adherents. For example, one
and Wiccan traditions. Participatory rituals, occasionally
of the fastest growing is the mind-body-spirit movement that
with magical overtones, are often held to coincide with pagan
offers holistic means to self-improve one’s bodily and spiritu-
feasts such as the spring equinox and summer solstice. Some
al well-being using techniques such as yoga, meditation, Tai
of the key figures in feminist spirituality identify as witches
Chi, and reflexology.
(e.g., Zsuzsanna Budapest; Starhawk). This both reclaims the
witch as a positive female role and at the same time honors
The most studied strand of new women’s spiritualities
those women who were historically persecuted for witchcraft
is often termed feminist spirituality. Feminist spirituality,
because of their refusal to succumb to (often religious) au-
while of importance in its own right as a religious phenome-
thority.
non, offers women’s studies an important example of a form
of religious expression that has been created explicitly by
Feminist spirituality movements are deliberately eclectic
(mainly Western) women for women who have chosen to
and syncretistic, and this, combined with the rejection of in-
jettison the negative patriarchal inheritance of historical reli-
stitutional organization, accounts for their variety. To a cer-
gions and create anew an inclusive worshipping community
tain extent these feminist strategies of connection and appro-
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WOMEN’S STUDIES IN RELIGION
9789
priation are similar to those employed by women who seek
The androcentrism of the Religionswissenschaft school
to rebuild the traditional religions. Both entail the recovery
was diagnosed by Gross: “Homo religiosus as constructed by
of suppressed or forgotten symbolism and traditions and the
the history of religions does not include women as religious
construction of new religious expressions on this basis. How-
subjects, as constructors of religious symbol systems and as
ever, the borrowing of religious symbols—such as the incor-
participants in a religious universe of discourse” (Gross,
poration of goddess traditions into feminist spirituality—
1977, p. 10). While it was claimed that women were includ-
risks offending those from the indigenous cultures of Africa,
ed under the generic man, examination of scholarship by his-
America, Australia, China, and India whose symbols have
torians of religion demonstrated that this was not the case.
been reappropriated for use by Western women if it is done
For instance, Saiving found that Eliade’s Rites and Symbols
without due sensitivity to their proper context. There is also
of Initiation (1958) devotes just 9 of its 175 pages to female
debate about whether spiritual feminists are engaged in the
initiations (Saiving, 1976, p. 184). While this is attributable
recovery or imaginative re-creation of religious history. Con-
to the lack of reliable ethnographic data on women’s rites,
troversially the archaeologist Marija Gimbutas postulated the
Saiving takes issue with Eliade’s extrapolation from the more
existence of peaceful goddess-worshipping matrifocal cul-
extensive data on male initiation rites to his conclusions
tures in Neolithic Europe that were superseded by warfaring
about initiation as a human phenomenon: “What he says
patriarchal tribes that worshipped male gods. That a prepatr-
about the human meaning of initiation corresponds almost
iarchal golden age of female-affirming religious culture ever
exactly to what he says about male initiation” (Saiving, 1976,
existed has been disputed—even by feminists sympathetic to
p.189). Similarly, though Eliade’s magisterial three-volume
Goddess spirituality (e.g., Eller, 2000; Hewitt, 1993). Irre-
work A History of Religious Ideas (1978–1985) seeks to relate
spective of whether conjecture plays a part in such hypothe-
“the spiritual history of humanity” (Eliade, 1978, p. xvi),
ses, innovation in ritual celebration is of more importance
Christ finds: “The history of religion which Eliade tells is dis-
to feminist spirituality movements than appeal to historically
torted by dualism, Idealism, and false universalization of
verifiable traditions.
male experience” (Christ, 1991, p. 94). If women’s religious
data is omitted from the construction of models and theories
The critique and transformation of the academic
about religion, it comes as no surprise when women are treat-
study of religion. A fundamental task of women’s studies
ed as curious exceptions to the (male) norm. Thus Gross
scholarship has been to interrogate and overhaul the presup-
notes: “Most of the time, Eliade writes about women as sym-
positions, explanations, key principles, and accepted canons
bols to homo religiosus, rather than as real people. When he
and methods that shape the academic study of religion. As
does, infrequently, write about women as real people, it is
has been indicated, women’s studies in religion arose from
because their behavior represents a special case that does not
the realization that the academic study of religion was an an-
fit his general descriptions or theories” (Gross, 2002a,
drocentric enterprise. A central goal of women’s studies has
p. 46).
therefore been to dismantle the epistemological and method-
ological architecture of the discipline constructed from with-
While the Religionswissenschaft school had been sensitive
in the parameters of androcentrism and to rebuild religious
to the dangers of allowing Christian models of religion to
studies so as to incorporate into its framework critical aware-
function as a key to the interpretation of other religious tra-
ness of the role gender plays both in shaping religion and in
ditions, the movement had been blind to the way gender af-
shaping its study in order to offer a fuller and truer account
fects scholarship. The quest for a universal account of reli-
of the religious experiences of humankind.
gion as such was conducted using inadequate data, erroneous
inferences and dubious hypotheses. Women’s studies schol-
As women’s studies entered the scholarly arena, the aca-
arship demolished the assertion that the discipline of reli-
demic study of religion was dominated by the Religion-
gious studies was scientific and impartial and demonstrated
swissenschaft school, led by scholars such as Mircea Eliade,
the illusory nature of the claim to objectivity. As Kinsley in-
Joseph Kitagawa, and Charles Long. The laudable ambition
dicates: “The effect [of women’s studies] has been to show,
of this influential movement was to study any and all human
often in shocking and dramatic ways, the extent to which his-
religious phenomena dispassionately, impartially, and non-
tory of religions has not been true to its own mandate. It has
judgmentally, free from religious and all other bias that
been neither all-inclusive nor objective in its study of human
might interfere with the goal of the objective and scientific
religiousness” (Kinsley, 2002, p. 2).
study of religion. Religion was understood to be a universal
human phenomenon that, despite its cross-cultural and his-
This powerful feminist critique of the scientific study
torical variety, has distinctive transcultural features in com-
of religion crystallized a thoroughgoing reconceptualization
mon (such as initiation rites) that are shared by the timeless,
of the subject, initiating a change in the discipline that has
supposedly genderless, and otherwise decontextualized homo
been characterized by several scholars as no less than a con-
religiosus, “religious man.” This ahistorical, undifferentiated
ceptual paradigm shift (see Christ, 1987, 1991; Gross, 1983;
generic subject was soon subjected to critical scrutiny by
King, 1995; Warne, 1989). Within religious studies as a
women’s studies scholars and homo religiosus exposed as the
whole there is an increased sensitivity to the influence of gen-
false universal it was.
der in shaping religious and research perspectives and greater
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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WOMEN’S STUDIES IN RELIGION
caution in the formulation of generalizations about religious
empathy—as important feminist commitments—should re-
beliefs, symbolism, and practices. The methods of studying
place the ethos of objectivity as the appropriate feminist and
religion have been expanded as women’s studies scholarship
morally responsible means of conducting research in religion
has penetrated the specialist academic disciplines in the study
(e.g., Christ, 1987, 1997). In order to take proper cogni-
of religion. While the study of religious texts remains an im-
zance of the inherent presence of scholarly subjectivity and
portant element in religious studies, it has been recognized
the perspectival nature of human knowing, it has become
that, to the extent that it exists, sacred literature is of limited
common for women’s studies scholars (and other scholars of
use for ascertaining the reality of ordinary women’s (and
religion) as creators of knowledge, in an act of self-reflexivity,
men’s) religious lives on the ground. Women are often ab-
to disclose to their readership as prolegomenon to their re-
sent from holy writings, and when women are mentioned in
search, their authorial standpoint, social position, interests,
texts and teachings, there is the danger of distorted or ideal-
background, and any other relevant features in order to make
ized portrayals of their lives.
explicit those factors that may shape and color the research
questions, objectives, methods of study, and conclusions.
Women’s studies have helped to dislodge the disci-
The theoretical aspects of feminist epistemology and stand-
pline’s overemphasis on and priority given to text-based re-
point theory find an important place in feminist philosophy
search by shifting the focus to other sources and methods of
of religion (see Anderson, 1998; Jantzen, 1998).
obtaining information about women and their religions.
Within the specialisms of anthropology and sociology of reli-
EXPERIENCE, IDENTITY, AND DIFFERENCE. The process of
gion, more extensive use of fieldwork has improved data
articulating one’s standpoint as a situated subject has become
gathering through the increased use of interview techniques
a critically important exercise in women’s studies, not least
and the collection of oral testimonies. With greater numbers
as a means of shedding light on three dominant but problem-
of female researchers engaged in fieldwork, there is wider ac-
atic analytical themes: experience, identity, and difference.
cess to women’s spaces, allowing more detailed study of fe-
To be a person in the world necessarily entails location in
male-dominated religious subcultures. Scholarly interest in
a particular place and time, and humans are further shaped
popular and folk religion, where women are often more
(though not determined) by social identities and roles that
prominent, has also aided the documentation of women’s re-
contribute to self-understanding and form identities, that
ligious participation.
make one subject to different life experiences, that give one
particular outlooks or perspectives on the world, and that en-
One important methodological question that arises with
able differences to be discerned between oneself and other
respect to the conduct of fieldwork concerns the relationship
differently situated subjects. A greater appreciation of the
between the researcher and the subject of research—the ob-
role of social location in creating and shaping human diversi-
server and the observed. Women’s studies scholarship ex-
ty has allowed women’s studies in religion to offer more so-
posed the false claims to objectivity made by scholars within
phisticated analyses of the factors that affect women’s reli-
the so-called scientific study of religion, and this has given
gious lives and to dispel some of the generalizations about
rise to a wider hermeneutical suspicion of the ethos of objec-
“women’s experience” that characterized certain less-critical
tivity, including a questioning of whether the methodologi-
early feminist critiques of religion (see Davaney, 1987). If
cal values of impassive detachment and scholarly neutrality
previously more sweeping assertions were made about
are genuinely attainable (and desirable) in the field and
women’s lives on the basis of a monolithic understanding of
whether fieldwork observations can supply an accurate ac-
womanhood, there is now recognition of the analytical inad-
count of religion uninfluenced by the observer’s presupposi-
equacy of “woman” as a unified category. Women have di-
tions, values, and evaluative and interpretive faculties (see
verse needs, desires, ideals, and so on and are embodied sub-
Franzmann, 2000; Knott, 1995). The issues at stake can be
ject to differentials such as sexuality, religion, nationality,
ethically perplexing, involving, for example, matters of
ethnicity, “race,” class, caste, and age. As such women’s reli-
whether fieldwork necessarily objectifies women who are
gious lives are shaped by a complex interaction of forces, and
studied; whether the establishment of trust and friendship
they cannot be understood adequately using the category of
have a place in ethnographic research; whether scholarly
gender alone. For example, the plight of dalit women in
noninvolvement implies tacit approval of unjust power rela-
India is as much concerned with issues of economics and
tions between those who are studied; and how far a research-
caste as it is with gender (see Jogdand, 1995).
er should stand back from cultural practices that she or he
judges to be harmful, degrading, or otherwise questionable
It is clear that women who belong to religions in the ad-
(see Jacobs, 1991).
vanced industrialized countries of the Northern Hemisphere
are affected differently by political, economic, and environ-
Feminist and other researchers committed to social jus-
mental forces than those within the more rural economies
tice for women may find the research values of noninterfer-
of eastern Europe and the Southern Hemisphere. Traditional
ence and neutrality conflict with a perceived duty to engage
forms of religion and ritual practices and the family units
in the consciousness-raising of research subjects and to speak
that preserved them are subject to transformation through
out against the discrimination and oppression of women.
the impetus for economic development and the demise of
Some female scholars suggest the values of engagement and
rural communities. While many women are affected by these
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WOMEN’S STUDIES IN RELIGION
9791
changes transculturally, the effects are often most acute in
through which women’s lives could be understood, whereas
developing countries since it is women in traditional societies
for some women the discriminating factors were as much as-
who tend to safeguard and preserve religious customs and
sociated with economic injustice, racial prejudice, and impe-
values from the modernizing and Westernizing tendencies
rialistic domination. The idealism of the women’s movement
that globalization brings. In this context, in countries such
tended to neglect these conflictual elements, and those in-
as India and Pakistan, women have found themselves pedes-
volved in women’s studies failed to see the monopoly of
talized by religious nationalisms eager to promote them as
power that Western women possessed as shapers of the new
antisecular symbols of national pride, identity, and purity.
discourse (see Williams, 1985). Feminist theory, it was
When it comes to ecological activism, religious women have
thought, included all women and could address their univer-
campaigned more vigorously for sustainable development
sal concerns.
and global resource management in countries that are direct-
In the same way that the Religionswissenschaft school had
ly affected by the destruction of habitat through deforesta-
initiated a flawed attempt to distill the essential nature of
tion, the industrial pollution of rivers, and the stripping of
pure religion, uncontaminated by social, political, or any
natural resources compared to those in more affluent na-
other context that gives religion its variety and complexity,
tions, where a sense of connection to and responsibility for
so too Western feminists constructed anemic accounts of
the environment has to a large extent been compromised by
women’s nature and experience that had the blood of real
mass consumption and consumerism (see Ruether, 1996).
lives drained out of them. Women’s studies scholars were
Crucially the way geopolitical economic forces affect
falling into the same homogenizing traps and reproducing
contemporary religions cannot be understood without recog-
the same errors as their male predecessors. The social, politi-
nition of the influence of the shameful history of Western
cal, and other contextual elements that form women’s lives
imperialism, colonial expansion and exploitation, racism,
and create distinct identities were submerged under the rhet-
slavery, and the imposition of Christianity onto indigenous
oric of a nebulous undifferentiated “women’s experience.” In
peoples. These wrongdoings were perpetrated under the
a repeat performance of the mistakes of androcentric scholar-
guise of promoting civilization and religious salvation, and
ship, the formulations of feminism that were articulated rep-
their enduring legacy has been Third World debt, apartheid,
resented the interests and perspectives of the white Western
racial discrimination, religious unrest, the emergence of fun-
women who had created them, and the dominant feminist
damentalisms, tribal warfare, genocide, displaced peoples,
critiques of religion were based on the predominant religion
and an obscene discrepancy between the economies of the
of the West, Christianity. These analyses lacked the stand-
rich North and poor South. The historical legacy of Western
points of other women from different contexts whose life ex-
imperialism and its contemporary afterlives cast a long shad-
periences could provide additional perspectives that previ-
ow over international relations and religious identities.
ously had been omitted.
C
This historical background has had a profound influ-
ONTEXTUALITY AS A CHARACTERISTIC OF WOMEN’S
S
ence on women’s studies and continues to act as an obstacle
TUDIES IN RELIGION. The scope of women’s studies broad-
to the global solidarity of women. While women are united
ened as new writings emerged from women keen to assert
in fighting sexism, they are divided by injustice with regard
their distinct identities and name their particular experiences
to “race,” religion, class, nationality, economics, sexual ori-
(see Kwok, 2002). These built on the feminist critique of re-
entation, and so on. In these respects women can be the per-
ligion but also reacted against it. For example, African Amer-
petrators as well as the victims of discrimination and injus-
ican women (avoiding feminist nomenclature) adopted Alice
tice—as were white Western women during the colonial era.
Walker’s term womanist to describe their theological and eth-
For those women still experiencing the aftermath of colonial
ical projects, located in the experiences of not only sexism
empire building, the Western message of women’s liberation
by males but also racial and economic oppression by the
is an ambivalent one. Feminism is a suspect category for a
white majority in the United States (e.g., Cannon, 1988;
significant number of nonwhite and non-Western women
Grant, 1989; Williams, 1993). Initially united by their
who associate the term with the bourgeois liberal individual-
Christian heritage, womanists have since shed their exclu-
istic claims of white, educationally privileged, and economi-
sively Christian focus. Similarly Ada María Isasi-Díaz and
cally elite middle-class women whose gender analyses do
colleagues coined the term mujerista theology to express the
nothing to address the racism, classism, and economic injus-
religious reflection and liberative praxis that arises from the
tice suffered by most of the world’s women. For some, femi-
ethnically diverse Latina women living in the United States
nism also stands for sexual licence and family breakdown.
who are united by their common experience of sexism, pov-
For these reasons, many nonwhite and non-Western
erty, and racism (Isasi-Díaz et al., 1992). Numerous other
women—including some who campaign for women’s libera-
local and contextualized women’s theologies also emerged
tion—eschew the feminist label (see Isasi-Díaz, 1993, p. 4).
differentiated on geographical, ethnic, and other grounds
that reflect the pluralism of Christianity (humanity’s most
In the early days of the women’s movement many West-
populous and geographically dispersed religion) and that ex-
ern women were unaware of these sensitivities. Western fem-
press the shared perspectives of women united by marginal-
inists would often write as though gender were the only lens
ization, communal struggle, and religious empowerment
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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WOMEN’S STUDIES IN RELIGION
(e.g., Brock et al., 1987; Katoppo, 1979; King, 1994;
tions to what has become a subject discipline in its own right:
Oduyoye, 2001; Kwok, 2000).
in 1986 the American Academy of Religion Lesbian-
Feminist Issues and Religion Group was established (see Al-
As a result of this proliferation of contextualized ap-
pert, 1997; Daly, 1978; Harrison, 1985; Heyward, 1984;
proaches, women’s studies in religion are more diverse, com-
Hunt, 1983; Lorde, 1984; Stuart, 2003). In addition to ex-
plex, and internally divided but also more inclusive as the
ploring the intersection of religious and sexual identity, these
many social allegiances and religious loyalties of women are
writers have expanded the understanding of terms such as
given expression. Further diversification seems inevitable as
eros, embodiment, desire, and friendship.
increasing numbers of women from traditions other than
Christianity organize themselves into distinct local constitu-
INTERDISCIPLINARITY AS A CHARACTERISTIC OF WOMEN’S
encies.
STUDIES IN RELIGION. As women’s studies in religion have
embraced these new identities and contingencies, the pur-
The ideological diversity that exists leads to dissonant
view of the field has grown and diversified by the welcome
responses to religious issues that concern women. For exam-
introduction of new intellectual resources and interdisciplin-
ple, there is no consensus on the use of the h:ija¯b (veil) in
ary approaches that have preserved women’s studies from be-
Islam, which has become a particularly contested and
coming stagnant and irrelevant. For example, the insights of
polysemic religious symbol. The requirement that Islamic
postcolonial theory are commonly employed by female
women dress modestly in public is interpreted differently in
scholars from non-Western contexts (e.g., Donaldson and
different social and historical locations. The practice of veil-
Kwok, 2002). The Argentinean liberation theologian Mar-
ing is frequently characterized by non-Muslims as nothing
cella Althaus-Reid has combined the class analysis of libera-
other than an illustration of the religion’s oppression of
tion theology with feminism, postcolonial theory, and queer
women. While some Muslim feminists may agree with this
theory to offer new insights into the oppression of the eco-
assessment and applaud the influential action of Egyptian
nomically and sexually disenfranchised (Althaus-Reid, 2000,
feminists who first cast off the veil in the 1920s, other Mus-
2004). Sharon Welch and Mary McClintock Fulkerson have
lim women, where veiling is not compulsory, have reclaimed
both incorporated poststructuralist theory into their influen-
the practice both as a symbolic act asserting Islamic identity
tial feminist liberation theologies, and Fulkerson has also
over against Western liberalism and in order to enter public
drawn on the empirical social sciences (Fulkerson, 1994;
life free of the male gaze (see Leila Ahmed, 1992; Hoodfar,
Welch, 1985). Terms such as woman, experience, identity,
2001).
subjectivity, and difference are critically examined using the
The veiling issue illustrates the complexity and multiple
tools of postmodern feminist theory (see Chopp and Da-
layers of meaning that religious symbols can have for women
vaney, 1997). Religious feminists are examining issues of sex-
and also demonstrates the need for women’s studies scholars
ual difference, the symbolic order, and the divine through
to actively foster intercultural and interreligious sensitivity
the psychoanalysis and philosophy of French feminists such
and dialogue as a means of overcoming prejudicial intoler-
as Luce Irigaray and Julia Kristeva (e.g., Joy et al., 2002,
ance and supremacist tendencies and of learning from en-
2003; Kim, et al., 1993). Perhaps most significantly for
counters with those who are other. This has been theorized
women’s studies, the intellectual vibrancy of gender
by writers such as Rita Gross, Ursula King, and Maura
studies—which continues to anchor theoretical work in
O’Neill and put into practice by initiatives such as the Asian
women’s studies—is leading to increased interdisciplinary
Women’s Consultations on Interfaith Dialogue (AWRC)
collaboration between male and female scholars of religion
(AWRC, 1990, 1995; Gross, 2002b; King, 1999; O’Neill,
(e.g., Peskowitz and Levitt, 1997).
1990). Nevertheless further critical reflection and practical
FROM WOMEN’S STUDIES TO GENDER STUDIES IN RELI-
measures by women are required in this area—especially
GION. The evolution of gender studies as an academic disci-
given the continuing augmentation and exploitation of reli-
pline in its own right has had a considerable impact on
gious suspicions and hostilities for political, terror, and mili-
women’s studies in religion. If women’s studies scholars have
taristic purposes.
learned that factors other than gender must also be taken into
To the extent that religions have sought to control and
account when seeking to understand women’s religious lives,
circumscribe female sexuality, women who have chosen to
gender studies have shown that gender itself is not a straight-
live outside the framework of heterosexuality and straight
forward category: sexed identities are more diverse, fluid, and
conventions have found themselves doubly oppressed by reli-
performative attributes than previous scholarship and reli-
gious teachings, ideals, and practices that concern sex and
gious or cultural prescriptions had appreciated (e.g., Butler,
gender. Yet lesbians and other queer women have found
1990). These insights, which gave birth to queer theory, have
homes in religions and have drawn on their marginal experi-
resourced lesbians and other women who point to the inade-
ence to theorize about religion and sexuality and to campaign
quacies of religious attitudes to sexual orientation. Feminist
for societal acceptance and civil rights. Women who have
theory has benefited from the more nuanced accounts of
identified as lesbians, such as Rebecca Alpert, Mary Daly,
gender that now exist, which have challenged the feminist
Beverley Harrison, Carter Heyward, Mary Hunt, Audre
fundamentalisms that stress either secure and normative sex
Lorde, and Elizabeth Stuart, have made important contribu-
differences or that appeal to aspirations of androgynous
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WOMEN’S STUDIES IN RELIGION
9793
sameness. The advent of gender studies has also created a
lished periodicals that publish on women and religion in-
much-needed intellectual space for men’s studies in religion
clude Arvind Sharma and Katherine Young’s Annual Review
to flourish (e.g., Boyd et al., 1996). This, along with the syn-
of Women in World Religions, the American Journal of Femi-
ergistic collaboration of male and female scholars of religion
nist Studies in Religion, and in the British Isles Feminist Theol-
who employ gender theory in their work, has raised impor-
ogy, which has a broader compass than its name suggests.
tant foundational questions about the future of women’s
From Australia come the biannual Women-Church: An Aus-
studies in religion.
tralian Journal of Feminist Studies in Religion and the annual
online journal Seachanges: The Journal of Women Scholars of
One question involves whether gender theory as a dis-
Religion and Theology. Christian journals include the Year-
course might subsume feminist theory and how such a sce-
book of the European Society of Women in Theological Research;
nario would affect women’s studies. It has already been noted
In God’s Image, the Asian women’s theological journal; Re-
that some female scholars of religion do not identify them-
vista Con-spirando: Latin American Review of Ecofeminism,
selves or their work as feminist. It is for this reason that the
Spirituality, and Theology. Hawwa: Journal of Women of the
phrase feminist studies in religion was considered an inade-
Middle East and the Islamic World and Al-Raida, published
quate title for this encyclopedia entry. The question of ap-
by the Institute for Women’s Studies in the Arab World, are
propriate nomenclature for the discipline is more than an ex-
English-language journals. Within Judaism there exists Brid-
ercise in terminology. The term gender studies in religion
ges: A Journal for Jewish Feminists and Our Friends; Nashim:
better reflects the fact that both females and males are affect-
A Journal of Jewish Women’s Studies and Gender Issues; and
ed (albeit diversely) by the many ways gender matters shape
Women in Judaism, a multidisciplinary electronic journal.
religions. It also addresses the concerns of the significant
While such journals facilitate scholarly exchange, it is still
numbers of female and male students who (rightly or wrong-
mainly Western women who have access to these and other
ly) find feminism threatening and women’s studies courses
resources.
exclusionary. Increasingly academic work in women’s studies
is based in gender studies departments. In these respects gen-
While few doubt that the entry of women’s studies in
der studies in religion is a more inclusive subject discipline
religion into the academic arena constituted a major event
and offers a more adequate terminological label than either
in the history of the study of religion, the extent to which
feminist or women’s studies in religion. However, while the
women’s studies have transformed the discipline of religious
trend toward gender studies may attract more students into
studies is a moot point (see Plaskow, 1999; Warne, 1998).
the field, it may also call into question the continued need
The pattern across specialisms is uneven. Whereas anthropo-
for separate women’s studies courses on educational curricu-
logical, psychological, and historical studies of religion have
la, leading to closures or mergers of academic programs. The
integrated feminist insights into mainstream scholarship,
danger is that absorption into gender studies may further di-
feminist writings remain on the fringes of sociology and phi-
lute the status and visibility of scholarship that concentrates
losophy of religion (see Sharma, 2002). There is more work
on women’s religion or lead to a loss of provision altogether.
to be done before the marginalization of women’s scholar-
ship finally comes to an end. However, much has been
THE ACADEMY AND WOMEN’S STUDIES IN RELIGION. As a
achieved. One need only compare the revised edition of this
cross-disciplinary subject, work in women’s studies in reli-
encyclopedia with its first edition (1987) to see the abundant
gion is often carried out as a subsidiary aspect of established
growth and reconceptualization of the subject on the
cognate disciplines within religious studies, theology, or (less
grounds of gender. Ursula King’s trenchant criticisms of the
frequently) women’s and gender studies departments. As a
neglect of women’s scholarship in the first edition did not
result the subject has struggled for acceptance in the acade-
go unheeded (King, 1990). This second edition of The Ency-
my, and it remains marginalized and underfunded. Never-
clopedia of Religion gives eloquent testimony to the manifest
theless women’s scholarship is supported and shared through
influence of women’s scholarship in engendering religious
numerous international and faith-based organizations, net-
studies.
works, and conferences. The World Wide Web has proved
particularly effective in making widely available religious and
SEE ALSO Androcentrism; Ecology and Religion, overview
other online resources to large numbers of interested women
article; Eliade, Mircea; Feminine Sacrality; Feminism, article
inside and outside of academia.
on Feminism, Gender Studies, and Religion; Feminist The-
ology, overview article; Gender and Religion, overview arti-
Of the enormous body of literature devoted to women
cle, article on History of Study; Gender Roles; Goddess
and religion, Serinity Young’s Encyclopedia of Women and
Worship, overview article; Gynocentrism; Lesbianism;
World Religion (1999) deserves mention as the first compre-
Men’s Studies in Religion; New Religious Movements, arti-
hensive reference work in the subject. And if women’s studies
cle on New Religious Movements and Women; Patriarchy
in religion have often been forgotten within the wider
and Matriarchy; Spirituality; Thealogy; Wicca.
women’s studies discourse, this oversight has been corrected
in the Routledge International Encyclopedia of Women, in
BIBLIOGRAPHY
which “Religion and Spirituality” comprises one of its thir-
The literature on women’s studies in religion is vast and varied.
teen major sections (Kramarae and Spender, 2000). Estab-
The most comprehensive treatment of the subject is in the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9794
WOMEN’S STUDIES IN RELIGION
Encyclopedia of Women and World Religion. For an indication
Christ, Carol P. “Why Women Need the Goddess: Phenomeno-
of how the field has changed since its inception, compare this
logical, Psychological, and Political Reflections.” In Woman-
entry with its forerunner “Women’s Studies” by Constance
spirit Rising: A Feminist Reader in Religion, edited by Carol
H. Buchanan in the first edition of the Encyclopedia of Reli-
P. Christ and Judith Plaskow, pp. 273–287. San Francisco,
gion. Gross’s Feminism and Religion offers a detailed overview
1979.
of the impact women’s (and especially feminist) studies have
Christ, Carol P. “Toward a Paradigm Shift in the Academy and
had on religion; and their direct influence on the subject spe-
in Religious Studies.” In The Impact of Feminist Research in
cialisms and methods of religious studies are discussed by
the Academy, edited by Christie Farnham, pp. 53–76.
Sharma (2002). The edited collections listed here typically
Bloomington, Ind., 1987.
offer a combination of essays on theoretical questions in gen-
Christ, Carol P. “Mircea Eliade and the Feminist Paradigm Shift.”
der and religion and on the contemporary and historical im-
Journal of Feminist Studies in Religion 7, no. 2 (1991): 75–94.
pact of religions on women’s lives. All the works below are
referred to in the Women’s Studies in Religion entry.
Christ, Carol P. Rebirth of the Goddess: Finding Meaning in Femi-
nist Spirituality. New York, 1997.
Ahmed, Durre S., ed. Gendering the Spirit: Women, Religion, and
the Post-Colonial Response. London, 2002.
Daly, Mary. The Church and the Second Sex. New York, 1968.
Ahmed, Leila. Women and Gender in Islam: Roots of a Modern De-
Daly, Mary. Beyond God the Father: Toward a Philosophy of
bate. New Haven, Conn., 1992.
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R
the reconciliation of doctrinal controversy), Wo˘nhyo states
OBERT EVANS BUSWELL, JR. (1987 AND 2005)
that his fundamental intent is to harmonize the differences
that characterize the various schools of Buddhist philosophy
and merge their views into two all-inclusive perspectives.
WORD SEE LANGUAGE; LOGOS
These were, first, the dependent origination approach (saeng-
gi-mun), in which the myriads of qualities were shown to be
the products of a perdurable causal process, and, second, the
WORK. Once, at the dawn of creation, in the Golden
return to the source approach (kwiwo˘n-mun), in which all
Age, when earth and sky were conjoined (or when there was
such phenomenal characteristics were abandoned so that one
only sky), when only children, or the first human pair, in-
could return to their ultimate source, the one mind. This di-
habited the world, there was no “work.” Only God, or the
chotomy is seen, with slight variations, in many of Wo˘nhyo’s
gods, worked their divine eternal play, the uncompelled
writings.
sport of inexhaustible creativity. Only the primordial smith,
Perhaps Wo˘nhyo’s most influential works were his com-
the primal maker, seeded or molded the earth as archetypal
mentaries to the Tasheng qixin lun (Awakening of faith in
sower or first craftsman. The fruits of the earth were available
Maha¯ya¯na) and the Huayan jing (Skt., Avatam:saka Su¯tra,
to all.
Flower Garland Su¯tra). In the former commentary, Wo˘nhyo
The world range of the myth indicates the universality
outlines a four-stage soteriology—from nonenlightenment,
of the theme. In ancient narratives from the Vedic, Greek,
to apparent enlightenment, advanced enlightenment, and fi-
and Judeo-Christian traditions, from Africa, from North and
nally ultimate enlightenment—that demonstrates how ordi-
South America, the subsequent fall from this paradisiacal
nary persons can hope to achieve spiritual liberation. Both
state is widely associated on the one hand with some false
of these texts had such a profound effect on the philosophical
move or a human choice based on some petty, selfish desire
development of Fazang (643–712), the systematizer of the
and on the other with the plunge into the condition hu-
Chinese Huayan school of Buddhist thought, that Wo˘nhyo
maine—nakedness, the loss of immortality, the withdrawal
is now considered to be an important vaunt-courier of that
of the sky, the opening of Pandora’s box of woes, the cycle
school. Wo˘nhyo’s many outlines (chongyo) to Buddhist
of birth and death, and the sentence to hard labor for life.
su¯tras also sought to treat those texts in terms that would re-
sult in fraternal harmony rather than sectarian controversy.
The tale is compelling on several counts. Most people
The synthetic tendencies in Wo˘nhyo’s thought were to in-
experience lack of ease in their endeavors—as Marsilio Ficino
spire all future Korean Buddhist writers and establish doctri-
notes in a letter on the work of the mind (Epistolae 2.1), they
nal synthesis as the hallmark of the Korean Buddhist tradi-
seem to be rolling the stone of Sisyphus up the steep slopes
tion. It is for this reason that Wo˘nhyo is traditionally
of the mountain—and wish to find rest. Equally it can be
regarded as the founder of the synthetic Po˘pso˘ng school, one
argued that on some level everyone, even the unemployed,
of the five Buddhist scholastic schools of the mature Silla tra-
the idle rich, and the thief, is working at something and longs
dition.
to find fulfillment in that work. Indeed, the history of labor,
from Adam and Eve to the arts (or, by extension, to the most
SEE ALSO Buddhism, article on Buddhism in Korea; Fa-
advanced technology), is literally the history of humankind.
zang; Huayan; U
˘ isang.
At the same time, myth provides the notion of a deeper
level of universality: The sentence to work symbolizes hu-
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E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9798
WORK
the sweat of the brow. Similarly, according to a common Af-
of paying creation back for the life than one has received as
rican theme God originally meant the world to be a tilled
a gift. Both work itself, as a reflection of the primal structur-
garden, with no bloodshed, work, or sorrow. Depicting a re-
ing of the world, and the cycles of rest that punctuate it are
versed sequence of the human encounter with toil and ease,
ways of acknowledging the creative source as supreme. The
ancient Chinese myth relates that the primal figure Gun la-
injunction to serve the earth directly, to earn one’s daily
bored in vain to tame the great flood; only his son Yu, by
bread literally, is an expression of this inexorable law of just
going with the flow of things, was able to complete the task
returns. It is honored by the apostle Paul (“If any would not
and make the earth suitable for cultivation. A distinct line
work, neither should he eat”; 2 Thes. 3:10), the Chan master
is drawn between the first human participation in divine
Hyakujo (“No work, no food”; in Paul Reps, Zen Flesh, Zen
work—the easy yoke of conformance to the cosmic order—
Bones, New York, 1957, p. 70), and Gandhi in his invocation
and the labor under which humans burden. In the words of
of the Bhagavadg¯ıta¯ 3.12 (“He who eats without offering the
the Hebrew scriptures, this is the heathen world of the “work
sacrifice eats stolen food”). Since the world itself is based on
of men’s hands” (Dt. 4:28, 2 Kgs. 19:18, Is. 2:8), the cosmos
sacrifice (the supreme deity’s creation of everything from
bereft of hierophany. It is a treadmill on which humans are
nothing, or from his own substance), “this body, therefore,
bound to do it all themselves, including the manufacture of
has been given us, only in order that we may serve all Cre-
their own clay gods.
ation with it” (Gandhi, 1960, p. 12). This fullhearted accep-
PHYSICAL WORK. Removed from sacred context, human ac-
tance of the human condition as a call to labor in the sweat
tivity is in itself simply neutral bodily movement. Whether
of one’s face may be the supreme act of obeisance (the S:u¯f¯ı
the task is slopping the pigs or pushing papers around in a
servant of God prostrate in the dust of the desert), or it may
corporate office, work may be experienced as exhausting or,
be an act of total obedience in penance for the original sin
if the natural and efficient operation of the body is discov-
of disobedience, as Simone Weil proposed (Weil, 1952).
ered, it may be felt as easy, enjoyable, even rewarding, at least
In another view, physical work expresses the primary
up to the point when muscle fatigue or mental torpor takes
function of the human being among all creatures: Humans
over. But work unrelated to any higher meaning threatens
are enjoined to subdue the earth and thus to reassert the hier-
to inspire the “work ethic” that so fascinated Max Weber:
archical order of creation. At the same time, work subdues
Labor itself becomes the end of life, at best valorized as the
the earth of the human body, as anyone who has engaged
worship of accomplishment, success, or physical prowess, at
in extended physical exertion will testify. Not only Western
worst crystallized into a nightmare of the most menial physi-
monastics but the Eastern Fathers as well called for severe
cal chores, undertaken in a tortured attempt to keep one’s
labor (along with weeping) as ascetic practice. The early
own body (and perhaps the body of one’s immediate family)
Shakers (for whom the terms work and worship were as syn-
alive “between a sterile earth and an uncontrollable sky”
onymous as they were for the Benedictines) called their fren-
(Agee, 1960, p. 325).
zied exercises laboring and communally shook off their physi-
By contrast, esoteric traditions in both primal myth and
cality to the tune of such songs as The Zealous Laborer (“Oh,
organized mystical discipline assign human activity to a hier-
how I long to be released / from every feeling of the beast”).
archy of levels among which physical human bodies consti-
Yet consciously applied physical work is more than simple
tute only the most readily discernible plane. Transcending
mortification of the flesh. It can be a strengthening, cleans-
that plane is the world of the mind, which has its own work
ing, a temporary bypass of the usual, interfering complex of
and rest; beyond that, the realm of the inner self, or spiritual
mental associations, comparable to any other form of medi-
being. Within this context, religious work is the actualization
tation.
of principle through action, to be realized on all three levels.
MENTAL WORK. In an essay that serves to define work at the
mental level, Simone Weil reflected that the purpose of aca-
Physical work may be taken as a starting point of experi-
demic study is ultimately to “help form . . . the habit of that
ence, since one has to begin where one is: in the physical
attention which is the substance of prayer” (Weil, 1973,
world. But bodily work serves as a metaphor for work on
p. 108). From the view of esoteric tradition, the function of
some other level, as in the New Testament parables about
mental work is to direct activity to the level of spirit (or the
laborers, or in this passage by the Palestinian tanna T:arfon:
harmonious universe, or the gods). This is accomplished,
“The day is short, and the work is great, and the laborers are
first, by practicing a condition of attention at rest in which
sluggish, and the reward is much, and the Master is urgent”
physical or intellectual activity can proceed naturally, and
(Avot 2.20, cited in Sayings of the Fathers, New York, 1945,
second, by deliberately dedicating the activity to the sacred
p. 43). The performance of physical work may even be expe-
realm. The outward work may be offered for the welfare of
rienced as metaphor, as when sweeping the floor is taken as
all (the bodhisattva’s vow) or to the god or goddess in charge
a spiritual task and becomes a means of revelation (cleansing
of the specific field of endeavor; or its fruits may be sacrificed
myself, or the face of God).
to the supreme self. By this direction of attention or inten-
Religiously viewed, physical work serves outwardly to
tion, outward work of whatever kind is acknowledged to be
maintain the world, in the sense of renewing its structure
sacred or construed as living prayer in the sense of the Chris-
(maintaining the order of the cosmos) or in the simple sense
tian monastics’ laborare est orare or what the Tibetan monk
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WORK
9799
Chögyam Trungpa has called “meditation in action.” Such
life from his cook, who explains his observation of the Dao
mental work serves the heart of orthodox spiritual praxis,
in carving up an ox: There are natural spaces through which
which decrees all activity to be valorized at every moment by
the blade simply passes, and the carcass falls apart of itself.
dint of its relationship to the divine and all work to have for
Surely this is the message of Jesus’ invitation “Come
its goal the realization of one’s natural being. This is the al-
unto me, ye that labor and are heavy laden, and I will give
chemical opus of transformation to a higher state.
you rest” (Mt. 11:28). If the Dao can arise in the interstices
SPIRITUAL WORK. Preparation for the spiritual event of self-
between a cleaver blade and the joint of the bullock, why not
realization is traditionally the only real work there is. It de-
in the space between an iron and a shirtsleeve, or between
mands the most stringent of efforts, calling as it does for the
an editor’s blue pencil and the manuscript page? In that
elimination of such obstacles as egocentrism and attachment
space, work itself literally constitutes rest, earth and sky are
to results and the abandonment of compulsive human activi-
conjoined, and the sentence of human work resolves back
ty (the attempt to make things go as one would like them
into its source, becomes what it has always been in reality:
to). In the S:u¯f¯ı classic Mant:iq al-t:ayr (The conference of the
God’s work, the play of his creation.
birds) Far¯ıd al-D¯ın EAt:t:a¯r warns that on the path to God “a
SEE ALSO Art and Religion; Attention; Fall, The; Golden
hundred difficulties will assail you. . . . You will have to
Age; Shabbat.
make great efforts. . . . The Spiritual Way reveals itself only
in the degree to which the traveller has overcome his faults
BIBLIOGRAPHY
and weaknesses, his sleep and his inertia, and each will ap-
The richness of the subject is hardly matched by the number of
proach nearer to his aim according to his effort” (trans. Nott,
works that directly address it at any length. Dennis Clark’s
New York, 1954, pp. 98, 107).
Work and the Human Spirit (New York, 1967) offers a very
general sociocultural discussion from the Christian view. Et-
Yet it is in keeping with the mystical paradox that when-
ymological considerations are well served by Klaus R. Grin-
ever this spiritual effort is encountered consciously, the out-
da’s study Arbeit und Mühe: Untersuchungen zur Bedeutungs-
ward effort is negated. When the simple working of the laws
ge-schichte altenglischer Wörter (Munich, 1975), which
of nature are perceived through attention, experienced as my
demonstrates that words in English meaning “work” and
own nature, and allowed to act unimpeded by personal inter-
those meaning “effort, labor, suffering” stem from entirely
ference, work on any level becomes “not doing,” “nonac-
separate semantic fields. Readers who wish to address the
tion,” “inaction.” In the words of Zhuangzu, “The mind of
theme of sacred and profane meanings of work may be
moved by James Agee’s intense, poetic vision of physical toil
a perfect man is like a mirror. It grasps nothing. It expects
at a level utterly bereft of sacrality; see the section “Work”
nothing. It reflects but does not hold. Therefore, the perfect
in Agee and Walker Evans’s Let Us Now Praise Famous Men
man can act without effort” (trans. Watson). Similarly, the
(1941; Boston, 1960), pp. 319–325.
Dao de jing refers repeatedly to the sage who works without
Max Weber’s The Protestant Ethic and the Spirit of Capitalism
doing; the Bhagavadgita states that “the knower of truth,
(1958; New York, 1976) presents his classic interpretation
seated in the Self, thinks ‘I do nothing at all, though seeing,
of the development of the “work ethic” of modern capitalism
hearing, touching, smelling, eating, going, sleeping, breath-
through the influence of ascetic Protestant doctrine. Gan-
ing, speaking, letting go, grasping, opening and closing the
dhi’s plea for widespread commitment to “bread labor” as a
eyes’ ”(5.8f).
service to creation is offered in a small collection of his pub-
lished statements and newspaper essays, Bread Labour: The
Nondoing is an entirely pragmatic matter, as witnessed
Gospel of Work (Ahmedabad, 1960). For a document of the
even by the dry psychological records of Mihaly Csikszent-
Catholic view of work, see the encyclical Laborem exercens
mihalyi’s “flow experience” reports, descriptions of moments
from the pen of John Paul II, published as On Human Work
in which subjects engaged fullheartedly in activity have expe-
(Washington, D.C., 1981). Much of the discussion is devot-
rienced a release from habitual limitations and the work is
ed to social-humane issues, but see pages 9–15 and the sec-
seen to “flow by itself.” “The secret of power,” wrote Emer-
tion “Elements for a Spirituality of Work” on pages 53–60.
son, “is delight in one’s work. . . . Place yourself in the
Simone Weil’s The Need for Roots (1952; New York, 1971) pres-
stream of power and wisdom which animates all whom it
ents her vision of physical labor as simultaneously the most
floats, and you are without effort compelled to truth, to right
torturous “subjection to matter” and the most transcendent
and a perfect contentment.” The arts have been classically sa-
human activity. Her wonderful essay “Reflections on the
cralized in this sense, of course. The spirit of the Shaker
Right Use of School Studies with a View to the Love of
God,” in Waiting for God (1951; New York, 1973),
craftsmen no less than that of medieval scribes fostered an
pp. 105–116, offers profound insights regarding attention in
atmosphere of meditative stillness in which the direction of
work at any level. The same volume includes a brief discus-
the work would present itself effortlessly in the moment of
sion of physical work on page 170.
the creative act. Similarly, Simone Weil’s statement that “at-
Finally, two books explore in depth the theme of craft as a way
tention consists of suspending our thought, leaving it de-
of self-knowledge: Carla Needleman’s The Work of Craft
tached, empty, and ready to be penetrated by the object” has
(New York, 1979) and D. M. Dooling’s A Way of Working:
the ring of an instruction in Zen art. In a frequently translat-
The Spiritual Dimension of Craft (New York, 1979), a collec-
ed passage from Zhuangzu, Prince Wenhui learns the art of
tion of essays by various hands.
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9800
WORLD RELIGIONS
New Sources
practice rather than by any scholarly consensus or rigorous
Fox, Matthew. The Reinvention of Work: A New Vision of Liveli-
analytic considerations. At the same time, the notion of
hood for Our Time. San Francisco, 1994.
world religions can be shown to have a complex historical
His Holiness the Dalai Lama and Howard Cutler. The Art of Hap-
relation to some earlier conceptual schemes for delineating
piness at Work. New York, 2003.
the variety of religious traditions, schemes that it presumably
Schnall, David. By the Threat of Your Brow: Reflections on Work
has replaced.
and the Workplace in Jewish Thought. New York, 1991.
Until the early decades of the nineteenth century, a well-
Volf, Miroslav. Work in the Spirit: Toward a Theology of Work.
established convention going back to the Middle Ages had
New York, 1991.
been to divide the world population into four groups: Chris-
K
tians, Jews, Muh:ammadans (as Muslims were commonly
AREN READY (1987)
Revised Bibliography
called then), and, finally, those others who were attached to
countless varieties of idolatry (also called pagans, heathens,
or polytheists). This four-part classification implied, howev-
er, not a recognition of four distinct religions as we think of
WORLD RELIGIONS. There are three overlapping
them now, but a division of the world’s nations into, first,
yet divergent senses in which the term world religions is com-
the correctly faithful believers in the true and only God (i.e.,
monly used today. In its broadest sense, it is shorthand for
Christians of various sorts), then two major groups with er-
the “religions of the world,” that is, any religion that current-
rant or heretical opinions and attitudes toward God (Jews
ly exists or formerly existed somewhere in the world. The
and Muh:ammadans), and then the rest, who were altogether
emphasis, however, tends to be on extant religions rather
ignorant of God and therefore paid inappropriate reverence
than those that flourished in the past, and in this connota-
to various substitute objects, or idols. In effect, in this frame
tion another often favored synonym is “living religions” or
of mind, there was only one religion—the true one—and
“living faiths.” In the second, somewhat more restrictive and
others were various ways of straying from it. The plurality
evaluative sense, only a certain number of religions is meant:
of religions presupposed by the concept of world religions,
usually, “the major religions of the world,” meaning the type
therefore, came as a sea change in the way in which Europe-
of religions that can claim to have played a distinct and sig-
ans thought about themselves—understood first and fore-
nificant role in the historical process of a nation or a region,
most as Christendom—and about their relation to the rest
or the type of religions that purportedly have had universal
of the world.
aspirations and an appeal that transcends the limits of a par-
ORIGIN AND EARLY USES OF THE TERM. The coinage of the
ticular locality or ethnic group. Thirdly, especially when the
term world religion—in German, Weltreligion—was proba-
term appears in the context of an academic curriculum,
bly not unrelated to the advent of similar terms, such as
course title, book title, and so on, world religions is often
world history (Weltgeschichte, a concept especially associated
adopted expressly to signal that the subject matter covered
with G. W. F. Hegel) and world literature (Weltliteratur, as-
therein is not limited to Christianity, the Biblical tradition,
sociated with Goethe), which began to circulate in the early
or the so-called Judeo-Christian perspective, but is inclusive
nineteenth century. Whatever this relation may have been,
of all or many other religions. Whichever sense of the term
there is little doubt that the term originated in German. In
is meant, it is far more frequently used in the plural form
summarizing the nineteenth-century controversy over the
than in the singular. In fact, the cardinal presupposition un-
notion of world religions, the Dutch historian of religion
derlying the concept of world religions is the multiplicity of
P. D. Chantepie de la Saussaye, in his Manual of the Science
religion; it is predicated on the idea that religion is a genus
of Religion (1891, p. 54), credibly notes that the word was
comprising many species, and that Christianity, for example,
first introduced by Johann Sebastian von Drey in 1827. A
is but one of them. This idea, though a truism nowadays, is
prominent German Catholic theologian and cofounding edi-
distinctly modern, if not to say altogether unprecedented in
tor of the Tübingen Theological Quarterly, Drey in that year
the history of the West.
published in this journal a two-part article entitled “Von der
Although regularly mentioned in scholarly tracts as well
Landesreligion und der Weltreligion” (loosely translated, “on
as in nonscholarly media, world religions is not a technical
the religion of a country and the religion of the world”),
term. There has been little critical discussion of the concept
wherein he argued that the Christian Church, in its true
or its history; nor is there an established definition agreed
catholicity, was an institution pertaining to what was univer-
upon by religion specialists. The term itself originated in cer-
sally human, and as such it differed fundamentally from the
tain academic contexts of the nineteenth century, and it was
cult of any particular nation. In effect, world religion was the
indeed a matter of considerable scholarly debate among Eu-
term he applied uniquely and exclusively to Christianity
ropean scientists and theologians then, but those arguments
(Christentum), in contradistinction from all the indigenous
are now largely forgotten and further obscured by contempo-
religions of Europe and elsewhere, roundly called paganism
rary usage, which appears to take little account of past con-
or heathenism (Heidentum). What is significant here, there-
cerns. It is therefore best to understand that the meaning of
fore, is not only the appearance of the term—albeit in the
this term at present is largely determined by conventional
singular—but also the pairing of world religion with its pre-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WORLD RELIGIONS
9801
sumed other, Landesreligion, or, literally, “religion of the
exemplified by Arabic and Hebrew), as well as from all the
land,” meaning “religion of a country,” or more commonly,
rest—that is, the speakers of the noninflectional (or aggluti-
“national religion.”
native) languages of Asia and Africa. In the course of the
nineteenth century these groupings of languages became in-
Half a century later, this pairing of terms was to acquire
creasingly understood not only in the linguistic sense, but
further significance in the context of a debate among certain
also in an ethnic and, finally, a racial sense. In view of the
Dutch and German scholars. The debate had to do with the
newly emergent idea of Aryan Europe and, concomitantly,
distinction between two supposedly different types of reli-
the possible ancestral relation to the “noble race” (“Arya”)
gion: purportedly “universalistic” religions on the one hand
of ancient India, the recognition of Buddhism as a world reli-
and religions that were said to be ethnically, nationally, or
gion had implications far beyond the technical question of
racially particular on the other. Meanwhile, the most perti-
how to classify religions of the world.
nent development in the intervening decades was the Euro-
pean “discovery” of Buddhism. As Philip Almond has shown
The question of religious versus racial identity was
in The British Discovery of Buddhism (1988), it was only in
brought into even sharper focus by a related notion—also
the course of the nineteenth century that Europeans came
based on the new understanding of language groups—that
to believe that: (1) that certain traditions of ritual practice
Christianity, insofar as it began as one of the numerous Jew-
and cultic observance, philosophic systems, legends, and
ish sects, is Semitic in its historical origin, no less so than
clerical institutions found in various parts of Asia actually
Islam and Judaism. This notion was at once intriguing and
constituted a single religion; (2) the essential identity of these
disturbing to many nineteenth-century Europeans who con-
greatly divergent and diffuse phenomena could be traced
sidered themselves Aryan yet claimed Christianity as their
back to a particular historical moment and location in north-
own, so much so that various theories were advanced imply-
ern India, indeed, to a specific historical personage who lived
ing that Christianity was only incidentally and tangentially
several centuries before Jesus of Nazareth; and (3) the suc-
related to the religion of the ancient Israelites. Some argued
cessful dissemination of this religion in Asia was such that
that Christianity grew not so much out of ancient Judaism
it either rivaled or possibly surpassed Christianity in the size
as out of Panhellenism—that is, the widespread Greek cul-
of its adherents. Among the ramifications of this understand-
ture of the Mediterranean world in late antiquity (for exam-
ing of Buddhism as a distinct religion was a sudden aware-
ple, Emile Burnouf, La Science des religions: Sa méthode et ses
ness that there was another religion in some way comparable
limites, 2nd edition, 1872). Others propounded a theory of
to Christianity. Like Christianity, which grew out of an older
the Indian origin of Christianity (Louis Jacolliot, La Bible
religion unique to the ancient Israelites, it was thought that
dans l’Inde: Vie de Iezeus Christna, 1869) or even went so far
Buddhism grew out of Hinduism (more commonly called
as to suggest that Christianity began in a community of Bud-
Brahmanism then), the quintessential religion of India. Bud-
dhist missionaries residing in Egypt (Arthur Lillie, Buddhism
dhism, too, supposedly began as a reform movement initiat-
in Christendom, or, Jesus, the Essene, 1887).
ed by an extraordinary but historical figure, Gautama, bear-
Although these enormously popular nineteenth-century
ing a moral message and spiritual appeal to all humanity.
speculations have been largely discredited by mainstream
Like Christianity, it was also observed, Buddhism disap-
scholarship, it is important to remember that such efforts to
peared eventually from the land of its origin but spread swift-
Hellenize and Aryanize Christianity and to separate it from
ly beyond national, ethnic, and regional boundaries, not to
its presumed Semitic parentage was not unrelated to the new
mention among people of different social strata. In effect,
recognition of Buddhism as a world religion, and, moreover,
European scholars came to recognize in Buddhism a second
to the understanding that Buddhism was an Aryan religion
world religion, though this did not necessarily lead them to
in its essential beginning, though now extant only among the
relinquish the claim for the unique and absolute superiority
non-Aryan nations of eastern Asia in its various corrupted
of Christianity.
forms. At the same time, Islam—the powerful domain of an
alien religion well known to European Christians for centu-
The discovery of Buddhism was among the most impor-
ries—came to be increasingly represented as the religion of
tant achievements of the European scholarship on India,
the Arabs, therefore, as a quintessentially Semitic religion.
which had gained momentum since Sir William Jones’s cele-
This opinion—which formed the basis of the argument that
brated pronouncements in 1786 suggesting the affinity—
it was not a world religion—was held by some prominent
and hence the likely commonality of origin—between the
scholars, despite the widely acknowledged fact that the great
classical languages of India and of Europe. This was to be
majority of Muslims, then as now, were not Arabs.
the basis of the idea of the Indo-European (or Aryan) lan-
guage family, a group of related languages purportedly char-
These newly emergent trends of thought were largely
acterized and distinguished from other groups by the purity
implicit, and yet essential to the scholarly debate about world
of their grammatical form (i.e., inflection). This idea helped
religions that took place in the 1870s and 1880s. The schol-
redefine Europeanness, aligning Europe with ancient India
ars who engaged in this debate appear to have been uniform-
and Persia, while separating it from the Semitic (those who
ly of the opinion that Buddhism, in addition to Christianity,
spoke languages allegedly marred by “imperfect inflection,”
was a world religion, thus differing in their conception of the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9802
WORLD RELIGIONS
term from that of Drey half a century earlier. The controver-
ter, the usual translation of wereldgodsdiensten and Weltrelig-
sy was above all over the status of Islam. Some scholars
ionen was either “universal religions” or, as Tiele himself
counted, as a matter of course, Christianity, Buddhism, and
sometimes preferred, “universalistic religions.” Although the
Islam as world religions (presumably on the grounds that all
nineteenth-century Dutch and German scholarly debate
three were major religions, each with a transnational spread,
over the notion of world religions did not extend to the En-
thus de facto demonstrating their “universalistic” aspirations
glish-speaking world, it was known among the scholars (Jas-
and capabilities); other scholars, however, strenuously main-
trow, 1901, pp. 122–123), and perhaps more importantly,
tained that Islam was not a world religion but instead quint-
a parallel distinction between what continental European
essentially a national religion specific to the Arabs, that it was
scholars called “national religions” and “world religions” had
adopted by non-Arabs only for extraneous political reasons
been drawn under different names. To cite two of the most
or because it was imposed upon them by force (see Kuenen,
prominent examples, the renowned Christian socialist and
1882; Pfleiderer, 1907). These contentious arguments led
progressive Anglican Frederick Denison Maurice published
some others to question the cogency of distinguishing world
his Boyle Lectures under the title The Religions of the World
religions from national religions in the first place, and to mit-
and Their Relations to Christianity (1847). He argued that,
igate the earlier claims for the scientific usefulness of these
although all religions purported to unite and encompass all
categories (see Rauwenhoff, 1885; Tiele, 1885; Jastrow,
humankind in their aspiration to rise above the merely
1901).
human, only Christianity actually achieved this goal, and
There was no clear resolution to the debate in the end;
that all other “religions of the world” were but melancholy
rather, it appears that the matter was decided by default. For,
testimonies to the impossibility of fulfilling their ideals on
by the early decades of the twentieth century, when the use
their own terms. In short, in his view, Christianity alone ac-
of the term world religions in the plural became well estab-
counted for the whole, and was therefore universal, while all
lished, it was simply taken for granted that Christianity,
other religions were limited and particularistic. A second ex-
Buddhism, and Islam were world religions. Ernst Troeltsch,
ample is from across the Atlantic: the distinguished Unitari-
for example, in his essay entitled “The Place of Christianity
an minister James Freeman Clarke of Boston published a se-
among the World Religions” (1923), named all three as
ries of articles in 1868—issued in 1871 in a single volume
world religions without any explanation. More fundamental-
as Ten Great Religions: An Essay in Comparative Theology and
ly, the demarcation between world religions and national reli-
reprinted many times—where he drew the same distinction
gions was effectively undermined, as the latter category
between the truly universal religion, which he termed “cath-
dropped out of use entirely.
olic religion,” namely Christianity, and all the rest, which he
called “ethnic religions.”
Perhaps no one was more instrumental in making this
turn definitive and authoritative than Max Weber. In the last
It was in this sense of “universal religion” that the term
decade of his life, he undertook an ambitious multivolume
world religion, in the singular, first came to be used by certain
project under the general title The Economic Ethic of the
Anglophone theologians toward the end of the nineteenth
World Religions (Wirtschaftsethik der Weltreligionen), which
century. John Henry Barrows—an American Presbyterian
remained unfinished at the time of his death in 1920. As can
minister who served as the president of the World Parliament
be discerned from his introductory essay of the same name,
of Religions in 1893—lectured in India under the title
originally published independently in 1915, he treated world
“Christianity, the World-Religion” (1897), signaling his
religions strictly as a conventional nomenclature referring to
conviction that Christianity alone was the truly universal re-
the major religions of the world, and he included Hinduism
ligion. Similarly, William Fairfield Warren—the occupant of
and Confucianism in the list; in addition, he found it neces-
arguably the first chair of comparative religion at an Ameri-
sary to consider in the same context “Ancient Judaism,”
can university and later president of Boston University—
though he stopped short of naming it a bona fide world reli-
gave the same appellation to Christianity when he wrote The
gion. Weber was of the opinion that any numerically sub-
Religions of the World and the World-Religion (1892). Far
stantial or otherwise significant religion was of interest pre-
from being a synonym for “religions of the world,” then, for
cisely because of its uniquely characteristic ethos, each
these authors, world-religion (in both cases hyphenated) sig-
specific to the history and culture of a particular people. Put
nified one unique religion, their own, which, in their opin-
differently, all of those Weber called “world religions” were,
ion, happened to be universally viable. In effect, they viewed
in his view, what nineteenth-century scholars called “nation-
the contrast between Christianity and all other religions as
al religions.”
Maurice and Clarke had, and at the same time, their usage
of the term world-religion was consistent with Drey’s original
ADAPTATION OF THE TERM IN ENGLISH. The use of the term
sense of Weltreligion.
world religions in English most probably began with its ap-
pearance in C. P. Tiele’s article “Religions,” published in the
It is difficult to determine with certainty how this ex-
ninth edition of the Encyclopaedia Britannica (1885). This
clusivist or Christian supremacist connotation of world-
was a rather literal translation of the term wereldgodsdiensten
religion came to be displaced or overridden by the other plu-
from his native Dutch; for, until then and sometime thereaf-
ralistic use of the term assumed by Tiele and others, or, for
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WORLD RELIGIONS
9803
that matter, how the novel theory originating in the scientific
a category in addition to world religions depends on whether
discourse of continental Europe—suggesting, specifically,
a given author defines the term world religions as “all religions
that Buddhism at least should be regarded as a world religion
of the world” or as “major religions.” In any case, the supple-
in addition to Christianity—was first received in the En-
mentary status of “the rest” seems inevitably to have re-
glish-speaking world generally. As it happened in the Ger-
mained anomalous and problematic, thereby threatening the
man-speaking world, the claim for the “uniquely universal”
symmetry and stability of each classification system, whether
status of Christianity eventually became less pronounced in
it be the fourth category (idolaters) in the traditional system,
the notion of world religion(s), while the other, seemingly
that of national religions in the nineteenth-century scientific
indifferent sense of the term, comprising any numerically
system, or the generic category of tribal religions among
significant religions, eventually prevailed.
world religions in the system in use at the beginning of the
twenty-first century.
It was during the decades between the two world wars
that the use of the term world religions, as well as the standard
SEE ALSO Comparative Religion; Study of Religion.
list of about a dozen religions so designated, became conven-
tional. What is remarkable about this turn of events is, first,
BIBLIOGRAPHY
the relatively precipitous establishment of the convention,
There has been little scholarly discussion or critical examination
and secondly, its unchallenged stability to this day. It is also
of the idea of world religions. Regarding the ideological impli-
striking that the rhetorical emphasis shifted, suddenly turn-
cations of applying this concept to a specific geographical lo-
ing to what was regarded as current, alive, and immediately
cation, Timothy Fitzgerald considers the case of India in
present, whereas during the nineteenth century all of the
“Hinduism and the World Religion Fallacy,” Religion 20
non-Christian religions—with the conspicuous and ever
(1990): 101–118. Russell T. McCutcheon critiques an as-
troublesome exception of Islam—were represented as by-
pect of the current pedagogic practice of religious studies, as
gone religions, as fossil-like remnants of “ancient,” “archaic,”
predicated on the notion of world religions, in Manufactur-
“defunct,” or “past” religions that had been superceded by
ing Religion: The Discourse on Sui Generis Religion and the
the coming of Christ.
Politics of Nostalgia (New York, 1997). For an overall history
of the idea of world religions, see Tomoko Masuzawa, The
Since the beginning of the early twentieth century, then,
Invention of World Religions (Chicago, 2005).
there has been a list of world religions that could be called
It is important to consider this history in relation to the formation
standard or customary, albeit with some individual varia-
of the concept of religion(s) more generally, and for this pur-
tions—some addition, subtraction, further division, or
pose particularly informative are two articles by Jonathan Z.
merging. The typical list almost invariably includes Chris-
Smith, “Religion, Religions, Religious,” in Critical Terms for
tianity, Buddhism, Islam, Hinduism, and Judaism; it also
Religious Studies, edited by Mark C. Taylor, pp. 269–284
frequently identifies Confucianism, Daoism, and Shinto¯ (at
(Chicago, 1998), and “Classification,” in Guide to the Study
of Religion, edited by Willi Braun and Russell T. McCutch-
times grouped together as “Chinese and Japanese religions”
eon, pp. 35–44 (London, 2000).
or “East Asian religions”), as well as Parsiism (or Zoroastrian-
ism), Jainism, and Sikhism.
Historically, F. Max Müller has been regarded by many scholars
as the progenitor of the science of religion and of the modern
In addition to these purportedly major religions, a typi-
scholarly classification of religions, as delineated in his Intro-
cal world religions textbook or curriculum often includes dis-
duction to the Science of Religion (London, 1873); it is all the
cussion of traditions that are supposedly minor in scale,
more notable, then, that Müller expressly avoided engaging
numbers, or world-historical significance. In earlier times,
in the debate concerning the notion of world religions and
these minor traditions were often referred to as “savage” or
that he never made use of the term. For critical discussions
by his contemporaries of the category of world religions and
“primitive” religions, though nowadays these appellations are
systems of classification, the following texts may be consult-
generally avoided and variously replaced by “primal,” “pre-
ed: C. P. Tiele, Geschiedenis van den Godsdienst tot aan de
literate,” “tribal,” or even “basic” religions. The content of
heerschappij der Wereldgodsdiensten (Leiden, 1876), translated
the category, under whatever name, has remained more or
by J. Estlin Carpenter as Outlines of the History of Religion to
less constant; it refers to those cultic practices, mythic lore,
the Spread of the Universal Religions (London, 1877), as well
and cosmologies that fall outside of the above-named major
as Tiele’s entry, “Religions,” in the ninth edition of the Ency-
religions. Such small-scale religions are recognized generical-
clopaedia Britannica (Edinburgh, 1885); Abraham Kuenen,
ly as a type, and examples of this type are said to be found
Volksgodsdienst en Wereldgodsdienst (1882), translated by
in profusion, particularly in Africa, the Americas, the Pacific
P. H. Wicksteed as National Religions and Universal Religions
islands, Oceania, Central and Southeast Asia, and other
(London, 1882); L. W. E. Rauwenhoff, “Wereldgodsdiens-
ten” (in Dutch), Theologisch Tijdschrift 19 (1885): 1–33;
pockets of indigenous tribal life. Within this group, individ-
P. D. Chantepie de la Saussaye, Lehrbuch der Religionsgesch-
ual cases and examples are specified by their geographical lo-
ichte, vol. 1 (Freiburg, Germany, 1887), translated by Be-
cation or by certain subcategories coined by European schol-
atrice S. Colyer-Furgusson as Manual of the Science of Reli-
ars in the eighteenth and nineteenth century, such as
gion (London, 1891); Maurice Vernes, L’Histoire des
shamanism and animism. Whether these minor traditions en
religions; son espirit, sa méthode, et ses divisions, son enseigne-
masse are treated as part of world religions or as constituting
ment en France et à l’etranger (Paris, 1887); Morris Jastrow
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9804
WORLD’S PARLIAMENT OF RELIGIONS
Jr., The Study of Religion (New York, 1901); and Otto Pfl-
ence and that have undergone many reprints and revised edi-
eiderer, Religion und Religionen (Munich, 1906), translated
tions. Those include The Religions of Man by Huston Smith
by Daniel A. Huebsch as Religion and Historic Faiths (New
(1st ed., New York, 1958); The Concise Encyclopedia of Living
York, 1907).
Faiths, edited by R. C. Zaehner (New York, 1959); The Reli-
gious Experience of Mankind by Ninian Smart (1st ed., New
Regarding the earliest examples of texts employing the modern
York, 1969); and Religions of the World by E. Geoffrey Par-
notion of world religions (though not necessarily adopting
rinder (New York, 1971).
the term) and exhibiting more or less the same list of reli-
gions as is encountered today, the following were among the
TOMOKO MASUZAWA (2005)
most renowned and authoritative: George Foot Moore, His-
tory of Religions, 2 vols. (New York, 1913–1919); Robert Er-
nest Hume, The World’s Living Religions: An Historical Sketch
(New York, 1924); and John Clark Archer, Faiths Men Live
WORLD’S PARLIAMENT OF RELIGIONS.
By (New York, 1934). Whereas nineteenth-century books,
Held in Chicago from September 11 to 18, 1893, in con-
pamphlets, and lectures on the subject of world religions
junction with the Columbian Exposition, the World’s Par-
were often intended for future Christian missionaries and for
liament of Religions was a milestone in the history of inter-
others likewise seeking a confirmation of Christian superiori-
religious dialogue, the study of world religions, and the
ty in comparison to other religions, the texts just mentioned
impact of Eastern religious traditions on American culture.
are meant expressly for liberal arts college students and for
the general public. In this connection, also noteworthy is
The parliament’s several delegates from Asia were among the
what appears to be the first correspondence course in world
first authoritative representatives of their traditions to travel
religions and an early instance of a university extension enter-
to the West. The earliest Veda¯ntist and Buddhist organiza-
prise based in Chicago. The textbook for the course—twelve
tions in the United States to cater primarily to Westerners
monthly issues containing essays by prominent scholars, in-
can be traced directly or indirectly to the conference and its
cluding Müller (Oxford), Jastrow (Pennsylvania), and
delegates.
Chantepie de la Saussaye (Amsterdam), among others, and
edited by Edmund Buckley—is entitled Universal Religion:
Though awakened by the “Yankee Hindoo” motif of
A Course of Lessons, Historical and Scientific, on the Various
New England transcendentalism during the early part of the
Faiths of the World (Chicago, 1897).
nineteenth century and furthered by the educational efforts
of the Theosophical Society (founded in New York in 1875),
The earliest books that mention world religions in the title—in En-
American interest in Eastern spirituality was enhanced by the
glish and in the contemporary sense of the term—are Charles
Samuel Braden’s Modern Tendencies in World Religions (New
publicity created by the conference. The number of courses
York, 1933) and Modern Trends in World-Religions, edited
in “comparative religion” at American colleges rose apprecia-
by A. Eustace Haydon (Chicago, 1934).
bly as a result of the event. At the same time the parliament
provided an occasion for dialogue, enabling Christian apolo-
Meanwhile, the extant portion of Max Weber’s unfinished proj-
gists to present forceful counterarguments to those of their
ect, Die Wirtschaftsethik der Weltreligionen (literally, The Eco-
Eastern colleagues, linking faith in Christ with “progress”
nomic Ethic of the World Religions), was published posthu-
mously as Gesammelte Aufsätze zur Religionssoziologie, 3 vols.
and moral superiority and justifying missionary endeavor.
(Tübingen, Germany, 1921). The introductory essay by the
Indeed, while the parliament was undeniably liberal Protes-
same name as the overall project had been previously pub-
tant in tone, it was also a pioneering ecumenical event, inter-
lished independently in Archiv für Sozialwissenschaft und Soz-
national in scope. Roman Catholic and Jewish spokespeople
ialpolitik (1915); it has been translated as “The Social Psy-
took their places alongside representatives of those “main-
chology of the World Religions” and included in From Max
stream” Protestant denominations that were, at that time,
Weber: Essays in Sociology, edited and translated by H. H.
usually perceived as the dominant form of American reli-
Gerth and C. Wright Mills (New York, 1946),
gious life.
pp. 267–301. Weber’s most famous work, The Protestant
Ethic and the Spirit of Capitalism, translated by Talcott Par-
The idea of sponsoring a parliament of religions was
sons (New York, 1930), constitutes but a segment of this
proposed to the Columbian Exposition by Charles C. Bon-
massive project, as do three other monograph-length works
ney (1831–1903), a civic leader and devout layman of the
by him that were separately published in English: The Reli-
Swedenborgian Church; his role could be said to epitomize
gion of China, translated by Hans H. Gerth (New York,
the rising influence of the laity in American religion at the
1951); Ancient Judaism, translated by Hans H. Gerth and
time. Paul Carus (1852–1919), the Open Court Press editor
Don Martindale (New York, 1952); and The Religion of
and publisher, influential through his early introduction of
India, translated by Hans H. Gerth and Don Martindale
Eastern classics to Western readers, was also an active pro-
(New York, 1958).
moter of the event. The leadership of the parliament itself,
The subject of world religions in general gained much popularity
however, was clerical—preeminently in the person of John
in the English-speaking world in the second half of the twen-
Henry Barrows (1847–1902), a prominent Chicago Presby-
tieth century. In the decades following World War II, curric-
terian minister.
ula for the secular study of religions proliferated, particularly
in American colleges and universities. Concurrently, there
Nonetheless, the most lasting impression at the confer-
appeared a number of texts that came to have enduring influ-
ence was made by three colorful, articulate representatives of
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WORSHIP AND DEVOTIONAL LIFE: JEWISH WORSHIP
9805
Hinduism and Buddhism: Swami Vivekananda (1863–
world’s religious energies to the world’s problems. A parlia-
1902), Anaga¯rika Dharmapa¯la (1864–1933), and Shaku
mentary document, “Toward a Global Ethic,” called on the
So¯en (1859–1919). Vivekananda, a disciple of the saintly
planet’s spiritual leaders to work assiduously toward univer-
Ramakrishna Paramaham:sa (1836–1886), was the founder
sal justice, peace, nonviolence, and ecological awareness. The
of the Ramakrishna Mission, which has planted outposts of
major address at the closing ceremony was given by the Dalai
intellectual Hinduism (frequently known as Vedanta Socie-
Lama, who urged the implementation of these values.
ties) throughout the West. Dharmapa¯la, a Singhalese reform-
For all that, it cannot be said that the 1993 parliament
er, was the founder of the Maha Bodhi Society, which aimed
had the impact of the first. It was but one voice and one in-
at revitalizing and promoting Buddhism in dialogue with
terreligious experience among many in the late-twentieth-
modern thought; the society came to have a great deal of in-
century world, whereas the first parliament in a real sense
teraction with Western Buddhists. Shaku, a Japanese Zen
created, or epitomized, a new era in world spiritual inter-
priest, was particularly influential through his students, who
action.
included the first Zen monks to settle in America (a decade
or so later) and the layman D. T. Suzuki (1870–1966),
A third Parliament of the World’s Religions, inspired by
whose books have done much to introduce Zen to the West.
the second, was held in Cape Town, South Africa, in Decem-
ber 1999. While inspiring for the some six thousand at-
The parliament was not without difficulty or dissent.
tendees, it too was of less historical significance than the first.
Islam was inadequately represented; the participation of
Roman Catholics sparked much controversy within their
SEE ALSO Ramakrishna; Suzuki, D. T.; Vivekananda.
church; and many conservative Protestants were horrified by
the entire project. The gathering’s coincidental connection
BIBLIOGRAPHY
with the American “triumphalism” of the Columbian Expo-
Barrows, John Henry, ed. The World’s Parliament of Religions. 2
sition, in the heyday of Western expansion, sent a strangely
vols. Chicago, 1893. Original publication of parliament talks
ambiguous message. But the parliament’s American fruits, in
and papers.
the form of both increased academic study of world religion
Seager, Richard Hughes. The World’s Parliament of Religions.
and non-Western religious presences in America, foreshad-
Bloomington, Ind., 1995. An excellent scholarly study of the
owed the religious pluralism of the twentieth century and re-
parliament in historical context.
main visible in the twenty-first.
Seager, Richard Hughes, ed. The Dawn of Religious Pluralism.
At the same time, non-Western delegates like Viveka-
La Salle, Ill., 1993. A new collection of key parliament ad-
dresses.
nanda (though often seen by conservative coreligionists as
too prone to universalism and modernism) became key pro-
Teasdale, Wayne, and George F. Cairns, eds. The Community of
moters of reform within their own faiths. Moreover, the par-
Religions: Voices and Images of the Parliament of the World’s
Religions. New York, 1996. Documents of the 1993 parlia-
liament was viewed by nationalists as legitimating their
ment.
homeland’s spiritual culture against colonialism, and so
played a role in the cultural and, ultimately, political renais-
Ziolkowski, Eric J., ed. A Museum of Faiths: Histories and Legacies
sance of nations like India and Sri Lanka.
of the 1893 World’s Parliament of Religions. Atlanta, 1993.
Collection of essays on the 1893 parliament, emphasizing its
In 1993, on the centenary of the first parliament, a sec-
subsequent influence.
ond Parliament of the World’s Religions (apart from one or
ROBERT S. ELLWOOD (1987 AND 2005)
two smaller interreligious events called congresses or parlia-
ments) brought some six thousand attendees to Chicago.
The effects of a hundred years were evident. Among the most
conspicuous delegates were Tibetan Buddhists, Western
WORSHIP AND DEVOTIONAL LIFE
This entry consists of the following articles:
Neopagans, and Native Americans, all unrepresented in
JEWISH WORSHIP
1893. The distinguished student of American religious plu-
CHRISTIAN WORSHIP
ralism Diana Eck noted in a major address that when Swami
MUSLIM WORSHIP
Vivekananda came to Chicago there were no known Hindus
HINDU DEVOTIONAL LIFE
in that city, while in 1993 some twenty Hindu temples
BUDDHIST DEVOTIONAL LIFE IN SOUTHEAST ASIA
BUDDHIST DEVOTIONAL LIFE IN EAST ASIA
served the Chicago area. The same was true also with Bud-
BUDDHIST DEVOTIONAL LIFE IN TIBET
dhism, Islam, and other religions once mysterious to most
DAOIST DEVOTIONAL LIFE
Americans.
The twentieth-century event was far more participatory
WORSHIP AND DEVOTIONAL LIFE: JEWISH
than the earlier one, despite the dramatic opening procession
WORSHIP
in 1893. The halls of the hotel in which the 1993 event was
Although never discouraging private, incidental prayer, Ju-
held echoed with the sounds of chants, gongs, drums, and
daism gives absolute priority to the formal worship of the
prayers as well as speeches. This parliament focused not only
community. Jewish law (halakhah) establishes that even indi-
on getting acquainted but also on the application of the
viduals praying privately must first recite the fixed texts,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9806
WORSHIP AND DEVOTIONAL LIFE: JEWISH WORSHIP
meeting their own needs through added intentionality (kav-
obligation or in celebration. Many holy days called for spe-
vanah) before adding freely composed prayers only in re-
cial Temple rituals: the sacrifice of paschal lambs at Passover,
stricted locations. This worship functions as a constant re-
the complex expiatory offerings of the high priest on Yom
minder to Jews of their existential situation: they are
Kippur, the blowing of the shofar (ram’s horn) on Ro Dsh ha-
members of the people Israel, living a life enabled by God
Shanah, circumambulation with lulav (palm branches) at
in a divinely created and maintained world, corporately heirs
Sukkot, or the singing of hallel (Psalms 113 to 118) on most
to the irrevocable covenants between God and Israel. The
festivals.
formal prayers grow from this relationship, expressing praise,
petition, and thanksgiving to God, as well as reminding Jews
We know of few settings where Jews gathered for wor-
of the expectations it places on them for a life lived constant-
ship outside of the Temple while it functioned. Synagogues
ly in the divine presence. In reciting these prayers, Jews locate
existed in Israel and in the Diaspora, but probably as places
themselves within a sacred history that extends from cre-
for reading and studying scripture or for meetings, not for
ation, through the exodus and Sinai revelation, to the future
regular communal prayer. Communities whose local priests
messianic fulfillment of God’s promises.
were serving in Jerusalem (the ma Eamad) apparently gath-
ered for a scripture-centered worship during those weeks. At
Jewish worship includes prayers by which to respond to
least one dissident group, objecting to the administration of
the inherent holiness found in every moment of life, from
the Temple, retreated to the Dead Sea and conducted regu-
the seemingly mundane (like the proper functioning of bodi-
lar, nonsacrificial worship. Textual evidence from the Dead
ly orifices), to the seemingly miraculous (like seeing rainbows
Sea Scrolls, as well as from liturgical passages in contempo-
and flowering trees). It touches on every moment of normal
rary Jewish literature, suggests that a recognized register of
waking life, from rising, dressing, eating, and studying to in-
prayer language was emerging, in Hebrew and in continuity
terpersonal relations. The Babylonian Talmud (Menah:ot
with biblical prayer texts. Jewish prayer in Greek likely also
43b) cites the second-century CE Rabbi Meir that everyone
existed in some circles, but evidence is sparse.
must recite one hundred blessings daily. By this practice, one
R
acknowledges the sanctity of all these moments, praising
ABBINIC PRAYER. With the destruction of the Temple, the
covenantal, biblically-mandated worship of God ceased, cre-
God as sovereign of the universe for all aspects of the divine
ating a spiritual crisis. Many competing substitute methods
relationship with creation.
of worship were likely proposed, most of which failed to gain
The first preserved Jewish prayer books, from the ninth
authority. Some Jews may also have chosen simply to wait
century CE, begin as lists of these hundred blessings. Jewish
for a restoration of the cult, as had happened after the de-
worship calls for the regular recitation of many of these bless-
struction of the Solomonic Temple by the Babylonians. The
ings during statutory formal worship of God, thrice daily
worship system that became universal Jewish prayer seems
with additional services on holidays. Concatenations of bless-
to have begun as a substitution for sacrifices among the rab-
ings structure the central statutory prayers. These prayers
binic class under the leadership of Rabban Gamli Eel at Yav-
ideally are recited with a minyan, a quorum of ten worship-
neh in the last decades of the first century CE. In a revolution-
ers, usually but not necessarily in a synagogue, in the pres-
ary move, Rabban Gamli Eel decreed that instead of priestly,
ence of a Torah scroll. Individuals, however, may recite most
sacrificial worship in Jerusalem, now every Jew everywhere
of these prayers for themselves. Any member of the minyan
was responsible for daily verbal prayer (Mishnah Berakhot
(adult Jews, traditionally only men) may lead public prayers,
4:3). Sages of his academy organized a prayer of eighteen
taking on the role of the sheliah: tsibbur, the emissary of the
blessings, known then as “the prayer” (ha-t Dfillah) to be recit-
congregation. No clergy are necessary, although a congrega-
ed at every weekday service, with shorter versions for holy
tion may appoint a hazzan, or cantor, as a professional
days. Later Jewish communities call this prayer the Eamidah,
sheliah: tsibbur, and in modern liberal contexts rabbis often
for the standing posture in which it is recited, or sh Dmoneh
lead services.
Eesreh, the eighteen. The recitations of this prayer assumed
the names of the daily sacrifices and were recited at corre-
ORIGINS. This system of worship apparently developed in re-
sponding hours while facing Jerusalem’s Temple Mount.
sponse to the destruction of the Jerusalem Temple by the Ro-
The content of this prayer is complex, but its focal point on
mans in 70 CE. While the Temple functioned, Jewish corpo-
weekdays is a petition for messianic redemption, including
rate worship of God was sacrificial, consisting of daily and
the rebuilding of the Temple. On Sabbaths and holidays, a
festival sacrifices offered by the priestly families on behalf of
single blessing reflecting on the holiness of the day replaces
the nation and in response to God’s biblical covenantal com-
its thirteen petitionary blessings.
mands. These sacrifices, like those of the Jews’ neighbors, re-
quired scrupulous attention to detail, both in the choice of
Scholars today debate whether Rabban Gamli Eel’s court
unblemished sacrificial victims and in the performance of the
decreed simply the thematic structure of this prayer, enabling
cultic acts. Priests offered lambs morning and afternoon, as
individuals to develop their own precise language, or whether
well as incense and grain offerings and additional sacrifices
they promulgated a verbatim tightly composed set of prayers.
to mark Sabbaths and holidays. Individual Jews who could
Classical rabbinic texts preserve only snippets of these
attend brought various other offerings, either from personal
prayers. The sheer variety of language that developed in sub-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WORSHIP AND DEVOTIONAL LIFE: JEWISH WORSHIP
9807
sequent centuries around the common Yavnean structure
formed on Sabbaths and festivals, are not cyclical. They cor-
suggests some freedom. In either case, we know little about
respond either to the content of the Torah reading or to the
how quickly Jews throughout Israel, let alone throughout the
day and are not uniform universally. They include only a
Diaspora, responded to this revolutionary decree. Materials
small fraction of the prophetic corpus.
embedded in the late-fourth-century Christian Apostolic
A specified number of congregants participates in the
Constitutions (VII:33–38) suggest that Greek versions were
lection each time, either by personally reading a section of
also extant.
the text or, more frequently, by reciting blessings over the
It is possible that rabbinic prayers became Jewish prayers
text read by a designated reader. The pentateuchal text must
more broadly and became the worship of the preexistent syn-
be chanted from a properly prepared parchment scroll that
agogue only as rabbinic influence grew in the third and
contains a perfect copy of the entire Torah; the scroll itself,
fourth centuries. Archaeological evidence points to a flower-
like ancient Hebrew texts, contains neither vowels nor musi-
ing of synagogue construction in Byzantine Palestine, and
cal notation. In this way, the reading ritually recapitulates the
these synagogues show some evidence of rabbinic presence.
revelation of Torah at Mount Sinai. Today, the rest of the
Rabbinic tradition records that only in the third century did
congregation follows in printed Bibles that often include ver-
rabbis rule that only blessings formulated as “Blessed are
nacular translation or commentaries. Until medieval Jews
You, Lord our God, King of the universe” were appropriate
adopted other vernaculars, Aramaic translation (targum) ac-
(Babylonian Talmud Berakhot 40b). This is also the period
companied all readings of scripture. The scrolls of Song of
where rabbis finalized the protocols for joining the t Dfillah
Songs, Ruth, Lamentations, Ecclesiastes, and Esther are read on
with the recitation of sh Dma E.
Passover, ShavuEot, the Ninth of Av, Sukkot, and Purim, re-
spectively.
The sh Dma E, the recitation of Deuteronomy 6:4–9,
11:13–31, and Numbers 15:37–41, forms the second major
Psalms also play an important role in Jewish worship,
component of rabbinic prayer. Its origin is obscure, but its
but not in a lectionary context. The synagogue perpetuates
recitation morning and night as a liturgical unit surrounded
the Temple’s festival recitation of hallel (Psalms 113 to 118),
by blessings is presumed in the earliest rabbinic texts. In re-
as well as the daily psalms originally recited by the Levites
citing these biblical passages, one declares loyalty to God and
there (Psalms 24, 48, 82, 94–95:3, 81, 93, 92). Other psalms
God’s commandments. The passages command Jews to sur-
eventually became standard as introductory morning prayers
round themselves physically with reminders, placing the text
(p Dsuqei dDzimra, verses of song). Although the full list varies
on the entrances to their house (mezuzah), wearing it on their
from rite to rite and is expanded on Sabbaths, all today
forehead and arm (t Dfillin), and knotting fringes on the cor-
include daily the core of Psalms 145 to 150 as well as
ners of their clothes (tsitsit). The complex blessings surround-
Exodus 15.
ing the biblical passages focus on Judaism’s central theologi-
Other nonsacrificial Temple rituals specific to various
cal tenets: God is creator, the revealer of Torah, and the one
holidays were also integrated into the synagogue service,
who saves.
often in the additional service (musaf). The Ro Dsh ha-Shanah
musaf includes an elaborate ritual for the blowing of the sho-
Whether or not all synagogue communities conducted
far; the Yom Kippur musaf includes an extended recollection
rabbinic prayer, the rabbis presumed early that their worship
of the high priest’s rituals in the Temple; Sukkot rituals in-
would take place in the presence of the Torah scroll and that
clude waving the four species (lulav) during hallel and parad-
the sheliah: tsibbur for the tDfillah would stand before the ark
ing with them with special songs before or after musaf. Jews
housing it—presumably located in the communal syna-
of priestly descent also pronounce the priestly benediction
gogue. The third major component of rabbinic prayer is na-
(Nm. 6:24–26) over the assembled congregation. Outside of
tive to the synagogue: the public reading and exposition of
Israel this occurs only during the musaf of festivals; in Israel,
scripture. This apparently had its roots in the Second Tem-
Sabbaths are added. In Jerusalem, in proximity to the loca-
ple period. The rabbis maintained the pattern of reading
tion of the Temple, priests pronounce it daily.
Torah on the Sabbath and the Monday and Thursday mar-
ket days. Cyclical reading of the entire Torah apparently de-
The Hebrew of the core prayers described above also al-
veloped gradually during the rabbinic period, with two cycles
ludes deeply to biblical language but rarely cites verses verba-
emerging: an annual cycle with the entire Pentateuch being
tim. Probably in the mid-first millennium it became com-
read in one year, and a so-called triennial cycle with the en-
mon to construct new prayers as florilegia of biblical verses.
tire text being read twice in seven years. Originally, each
Prayers of this style appear around the earlier core, both in
community followed its own cycle. By the Geonic period
the introductory psalms and in the supplicatory prayers
(late sixth to eleventh centuries), the Babylonian annual cycle
(tah:anun) that came to follow the Eamidah. However, allu-
gradually displaced all alternatives. Since then, on Simh:at
sions to the Bible and to midrashic comment on it continued
Torah (Rejoicing of the Torah) at the conclusion of the fall
to inform the rich body of liturgical poetry (piyyut) that em-
festivals, Jews complete Deuteronomy and immediately begin
bellished the core prayers on Sabbaths and holidays in that
Genesis. Evidence for ritual reading from the Prophets (hafta-
period and later. Prayers constructed of verses characterize
rah) appears first in Luke 4:17. These readings, only per-
the liturgy of Karaite Jews, a group rejecting rabbinic teach-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9808
WORSHIP AND DEVOTIONAL LIFE: JEWISH WORSHIP
ings that emerged in the closing centuries of the first mil-
bers of greater society. This meant, for some, transforming
lennium.
Jewish worship into something less strange in Christian eyes.
MEDIEVAL ADDITIONS. Various elements of private liturgy
Elements of this transformation included increased deco-
also became part of public prayer in the medieval period, out
rum, more formal music, more preaching, and shortened
of concern for their popular neglect. These include the series
prayers (by removing much piyyut and mystical accretions).
of blessings intended to accompany one’s actions while rising
Reform Judaism adopted vernacular prayer and theologically
in the morning (birkhot hashah:ar) and a symbolic study of
driven changes to its contents. This allowed for radical ab-
both written and oral Torah. This Torah study provides an-
breviation of the traditional liturgy, but the structure de-
other opportunity to recall and vicariously participate in the
scribed above usually remained discernable. Rabbis and can-
Temple sacrifices by reciting the biblical and rabbinic texts
tors were increasingly liturgical experts performing for a
describing them.
largely passive audience. After 1948, the presence of the State
of Israel encouraged a cultural expression of Judaism, gener-
This complex of prayers constituted public worship for
ating a return to Hebrew prayer and concepts of Jewish peo-
all Jews until modernity. All the regional rites preserved this
plehood. In this period, women too became full participants
basic structure, differing only in specific wording and, espe-
in the non-Orthodox synagogue, counting for the minyan
cially, in their poetic additions. Medieval Jews increasingly
and serving as its professionals. Feminism has generated an-
considered their received rites to be authoritative and unal-
other set of changes to prayer language with demands for
terable, appropriately meeting God’s desire for worship. Me-
egalitarian language. While Orthodox Judaism (as it became
dieval and early modern Jews adapted their fixed prayers to
known in this period) can allow only aesthetic changes to the
new situations through interpretative strategies, investing
worship service, a full spectrum now exists between it and
their received prayers with new, frequently mystical, mean-
the most radical Reform settings, where immediate response
ings. These meanings could find expression through medita-
to cultural change is normative.
tions on the fixed texts or though additions in the interstices
of the prayer book of qavvanot, texts expressing the mystical
SEE ALSO Biblical Temple; Domestic Observances, article
intentions of the prayers. Frequently, one generations’ inno-
on Jewish Practices; Folk Religion, article on Folk Judaism;
vative response became the fixed liturgy of their descendents.
Priesthood, article on Jewish Priesthood; Rites of Passage,
Most widely accepted were memorial prayers added in the
article on Jewish Rites; Siddur and Mah:zor; Synagogue.
wake of the Crusades and liturgies influenced by the customs
of sixteenth-century Lurianic Qabbalah, like the Psalms and
songs welcoming the Sabbath (qabbalat shabbat).
BIBLIOGRAPHY
Since the publication of a series of Hebrew articles by Ezra Fleis-
Especially with the expulsion of Jews from Spain in
cher beginning in 1990, there has been significant scholarly
1492, the regional nature of the rites changed. Rather than
disagreement over the origins of rabbinic liturgy. For a re-
adapting to the rites of their new homes, the refugees who
view of these articles, see Ruth Langer, “Revisiting Early
were dispersed throughout the Mediterranean and Europe
Rabbinic Liturgy: The Recent Contributions of Ezra Fleis-
preserved their Sephardi (Iberian) rites. This led to the de-
cher,” Prooftexts 19, no. 2 (1999): 179–194; and Ezra Fleis-
mise of almost all Mediterranean and Eastern rites and meant
cher and Ruth Langer, “Controversy,” Prooftexts 20, no. 3
that communities now sometimes supported multiple syna-
(2000): 380–387. Among those disagreeing with Fleischer
are Stefan C. Reif, Judaism and Hebrew Prayer: New Perspec-
gogues with different customs. Heredity more than location
tives on Jewish Liturgical History (Cambridge, U.K., 1993),
determined liturgical details. Influenced by Lurianic mysti-
which provides the most comprehensive recent scholarly sur-
cism, Hasidism, beginning in the eighteenth century, delib-
vey of Jewish prayer, including important discussions of me-
erately adopted elements of Sephardi-rite liturgy into their
dieval and early modern dynamics. See also Reuven Kimel-
eastern European Ashkenazi context.
man, “The Literary Structure of the Amidah and the
Rhetoric of Redemption,” in The Echoes of Many Texts: Re-
Little is known about women’s participation in this sys-
flection on Jewish and Christian Traditions, Essays in Honor of
tem. Women seem to have attended services more in late an-
Lou H. Silberman, edited by William G. Dever and J. Ed-
tiquity and in Christendom than under Islam. From the
ward Wright (Atlanta, 1997), pp. 171–218. Also of impor-
twelfth century, there is evidence in the Rhineland both for
tance are Kimelman’s “The Shema E Liturgy: From Covenant
women’s sections of synagogues and for women who led
Ceremony to Coronation,” Kenishta: Studies of the Synagogue
other women in prayer there. In some places women prayed
World 1 (2001): 9–105. Fleischer challenges the still influen-
the statutory prayers but in their vernacular; others learned
tial theory, informed by form-critical methods, of Joseph
Hebrew; others were probably regularly “prayerful” but did
Heinemann, Prayer in the Talmud, translated by Richard S.
not know the official prayers. Prayer books produced for
Sarason (Berlin, 1977). Earlier methods are generally no lon-
women presume their participation in the normative liturgy,
ger accepted. However, Raymond Scheindlin’s translation of
but such early modern Yiddish prayers (teh:ines) often parallel
Ismar Elbogen, Jewish Liturgy: A Comprehensive History
(Philadelphia, Jerusalem, and New York, 1993; German ed.,
rather than participate in the “men’s” liturgy.
1913), incorporates the editorial updates of the 1972 He-
MODERNITY. With Napoleon (1769–1821), western Euro-
brew edition. Even though Elbogen’s historical reconstruc-
pean Jews became citizens and sought to become full mem-
tions are now deemed unreliable, his descriptions of the litur-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WORSHIP AND DEVOTIONAL LIFE: CHRISTIAN WORSHIP
9809
gy remain valid. Important discussions also appear in Lee I.
John (19:32–36 refers to the prohibition against cracking the
Levine, The Ancient Synagogue: The First Thousand Years
bones of the lamb eaten at Passover). References in early
(New Haven and London, 2000). Another dimension of at-
Christian literature to the Cross or to the death of Jesus
tention to the nonverbal dynamics of early liturgy appears in
should most frequently be understood as including Jesus’ res-
Uri Ehrlich, The Non-Verbal Language of Jewish Prayer (in
urrection and glorification, the total paschal mystery as that
Hebrew; Jerusalem, 1999).
paradigm of salvation in which the Christian participates.
The subsequent history of Jewish prayer is less well studied. Reif’s
Judaism and Hebrew Prayer provides the only comprehensive
CHRISTIAN INITIATION. The public ministry of Jesus began
overview. Hebrew liturgical poetry is the focus of many re-
with his baptism by John in the river Jordan. The accounts
cent important publications in Hebrew. On the dynamics of
of that baptism report that when Jesus came up from the
this genre, see Joseph Yahalom, Poetry and Society in Jewish
water the Holy Spirit descended upon him and the voice of
Galilee of Late Antiquity (in Hebrew; Tel Aviv, 1999). On
God proclaimed him to be the Son of God. This outpouring
early medieval liturgy, see Lawrence A. Hoffman, The Can-
of the Holy Spirit is referred to (Acts 10:38) as an anointing
onization of the Synagogue Service (Notre Dame, Ind., and
by virtue of which Jesus is the expected “anointed one” (the
London, 1979); Naphtali Wieder’s collected articles, The
Messiah, or Christ). Such ritual washings as the baptism of
Formation of Jewish Liturgy in the East and the West (in He-
John were common in Judaism in the first century of the
brew; Jerusalem, 1998); and Ezra Fleischer’s Eretz-Israel
Prayer and Prayer Rituals as Portrayed in the Geniza Docu-
common era, and many scholars suppose that the early
ments (in Hebrew; Jerusalem, 1988). On dynamics of liturgi-
Christian baptismal rituals were influenced by the initiatory
cal development see Ruth Langer, To Worship God Properly:
ritual employed for converts from paganism to Judaism,
Tensions between Liturgical Custom and Halakhah in Judaism
where circumcision was followed by a ritual washing.
(Cincinnati, 1998). Collections of important studies include
E. D. Goldschmidt, On Jewish Liturgy: Essays on Prayer and
Early Christian baptism. The earliest accounts of
Religious Poetry (in Hebrew; Jerusalem, 1980) and Israel Ta-
Christian baptism focus on the confession of Jesus as Lord,
Shma’s The Early Ashkenazic Prayer: Literary and Historical
usually in response to preaching, and on the ritual washing.
Aspects (in Hebrew; Jerusalem, 2003). On the impact of mys-
The earliest church order, Didache (before CE 100), describes
ticism on the liturgy, see especially Meir Bar-Ilan, The Mys-
that washing, following extended catechesis, as preferably ac-
teries of Jewish Prayer and Hekhalot (in Hebrew; Ramat Gan,
complished by immersion in running water, but it allows for
Israel 1987); Moshe Hallamish, Kabbalah: In Liturgy,
water to be poured over the initiate three times. In either
Halakhah, and Customs (in Hebrew; Ramat Gan, Israel,
case, the baptism is to be performed “in the name of the Fa-
2000); and Louis Jacobs, Hasidic Prayer (London and Wash-
ther, and of the Son, and of the Holy Spirit.” It is uncertain
ington, 1972; reprint, 1993). On women and prayer, see
whether such references to the anointing and sealing of
Daughters of the King: Women and the Synagogue, edited by
Susan Grossman and Rivka Haut (Philadelphia, New York,
Christians as that in 2 Corinthians 1:21 refer to an actual
and Jerusalem, 1992); and Chava Weissler, Voices of the Ma-
anointing with oil in first-century initiatory ritual, but such
triarchs: Listening to the Prayers of Early Modern Jewish
anointings do appear in the course of the second century. In
Women (Boston, 1998).
Syria an anointing prior to the water bath was called rushma
On the liturgies of the modern liberal movements, see Jakob J. Pe-
(“mark”) and has been interpreted as a Christian surrogate
tuchowski, Prayerbook Reform in Europe: The Liturgy of Euro-
for the circumcision that preceded the water bath in Jewish
pean Liberal and Reform Judaism (New York, 1968); Eric L.
proselyte baptism. Elsewhere such baptismal anointing was
Friedland, “Were Our Mouths Filled with Song: Studies in Lib-
associated with the outpouring of the Holy Spirit upon Jesus
eral Jewish Liturgy” (Cincinnati, 1997); and Eric Caplan,
and so was performed after the water bath. Such postbaptis-
From Ideology to Liturgy: Reconstructionist Worship and Amer-
mal anointing (referred to as the “seal”) was frequently ac-
ican Liberal Judaism (Cincinnati, 2002).
companied by imposition of the baptizer’s hands upon the
RUTH LANGER (2005)
initiate. Such is the pattern reported for North Africa by Ter-
tullian (On Baptism 7–8).
The most extensive of the early church orders, the Apos-
WORSHIP AND DEVOTIONAL LIFE:
tolic Tradition (third century), usually assigned to Hippoly-
CHRISTIAN WORSHIP
tus at Rome, reveals a more extensive initiatory process. After
The death of Jesus of Nazareth by crucifixion and his resur-
three years as catechumens (learners), candidates for baptism
rection on the first day of the week constitute the root para-
are selected after careful scrutiny and enter a final period of
digm of Christianity and, as such, are central to Christian
intensive preparation under direct supervision of the bishop.
worship in all its dimensions. Because that death and resur-
At the end of that period, concluded with a two-day fast, the
rection occurred at Jerusalem at the time of the Jewish Pass-
initiates keep vigil through the night from Saturday to Sun-
over (Heb., Pesah:; pascha in the Greek transliteration of the
day until cockcrow. Then, stripped of their clothing and hav-
Aramaic), this paradigm is frequently referred to as “the pas-
ing renounced Satan and his service, they are anointed with
chal mystery.” Paul’s First Letter to the Corinthians (5:7) iden-
an exorcised oil. Next, entering the water, they profess belief
tifies the death of Jesus with the sacrifice of the Passover
in each of the persons of the Trinity in response to a three-
lambs, and that same identification is made in the Gospel of
fold creedal examination and are immersed after each profes-
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WORSHIP AND DEVOTIONAL LIFE: CHRISTIAN WORSHIP
sion. Coming up from the water, they are anointed with an-
through catechesis to baptism, anointing, and eucharist has
other oil, the “oil of thanksgiving” (later known as chrisma
held an important place in the agenda of recent liturgical re-
or muron), and reassume their clothing. They are then led
form, the Rite of Christian Initiation of Adults in the Roman
to the bishop before the gathered congregation and anointed
Catholic church being a significant instance.
again by him with the imposition of his hands upon their
T
heads. The bishop then kisses each initiate, and they take
HE HOLY EUCHARIST. As early as the Didache, participa-
tion in the communion meal, or Eucharist, was limited to
their places in the congregation to participate in the prayer
the baptized, and such participation in the Eucharist is regu-
of the community and in the eucharistic meal for the first
larly found as the conclusion of the initiatory process. The
time. This complex initiatory ritual set the pattern discern-
Eucharist is, indeed, the locus of that koino¯nia, or commu-
ible, with significant variations, in later centuries. The East-
nion, which is the mode of the Christian’s unity with other
ern churches maintain only one postbaptismal anointing,
Christians in the unity of the church, and of the church’s
while the anointing by the bishop was eventually separated
unity with Christ: a unity expressed and realized in the be-
from baptism in the Western church, coming to be known
liever’s feeding on Christ’s body and blood through the eu-
as “confirmation.”
charistic signs of bread and wine. The Didache speaks of the
It is widely supposed that the initiation described in the
Eucharist as a sacrifice, and this may reflect a sense of conti-
Apostolic Tradition took place on Easter at the conclusion of
nuity with the zevah: todah, the “thank offering” of the Sec-
the paschal vigil. In the course of the third century such pas-
ond Temple period in which those who offered a sacrifice
chal baptism became the norm in most churches, and many
consumed part of it, thus keeping communion with God, to
scholars have suggested that the custom was much more an-
whom the victim was offered.
cient. Such a time for baptism is rendered particularly appro-
In later centuries both this offering of the eucharistic
priate by the baptismal theology of Paul (Rom. 6), which as-
gifts of bread and wine to God as a memorial of and thanks-
sociated baptism with participation in Christ’s burial and
giving for Christ’s death and resurrection, and the consecra-
resurrection, and by Jesus’ references to his coming passion
tion of these gifts to identify them with Christ’s body and
and death as his “baptism” (Lk. 12:50).
blood, would achieve explicit expression in the eucharistic
Normalization of infant baptism. While primitive
prayer, the central prayer of the Eucharistic liturgy. The Ap-
baptismal practice with its extensive catechesis took adult
ostolic Tradition presents the text of a eucharistic prayer that
baptism to be normative, in the third century the baptism
opens with a dialogue between the officiating celebrant and
of young children, although opposed by some, was practiced
the congregation which has remained virtually unchanged in
frequently. By the fifth century it was perhaps more common
the West, and proceeds to a thanksgiving for the redemptive
than the baptism of adults, and by the sixth century the cat-
work of Christ, which comes to its climax in a recitation of
echumenate was reduced to a formality. Vestiges of that
the charter narrative describing the institution of the Eucha-
formative process perdured, nonetheless, and were still evi-
rist by Jesus on the night before his crucifixion. The earliest
dent in the rites used by Western Christians at the time of
such institution narrative is that in Paul’s First Letter to the
the Reformation. The reforms of the sixteenth century re-
Corinthians (chap. 11), written around 55 CE, which many
moved from the baptismal rite many of the ceremonies that
exegetes consider to have been a text transmitted through li-
had belonged formerly to the catechumenate, and the post-
turgical tradition.
baptismal anointings were also dropped from Protestant bap-
tismal practice. Infant baptism continued to be the norm,
In the Apostolic Tradition that narrative’s concluding
however, and increasingly a postbaptismal formative process
command, “When you do this, make my memorial,” is fol-
of instruction and discipline led to a rite of confirmation
lowed at once by the clause that accompanies the narrative
after age seven for both Catholics and Protestants, although
in virtually all early liturgies, although the wording varies
for Catholics that rite usually followed well after admission
considerably. Such a clause, known technically as anamn¯esis
to the Eucharist.
(“memorial”), is generally believed to have been attached to
the institution narrative from the first inclusion of that narra-
Opposition to the baptism of those too young to make
tive within the body of the eucharistic prayer. In the prayer
a personal profession of faith occurred from time to time in
of the Apostolic Tradition the anamn¯esis reads, “Remember-
the Middle Ages and became a significant wing of the Refor-
ing therefore his death and resurrection, we offer to thee this
mation with the Anabaptists. Since the seventeenth century,
bread and cup, giving thanks to thee that thou hast made us
such refusal to practice pedobaptism and the insistence on
worthy to stand before thee and to minister to thee.” This
believers’ baptism has been characteristic of several Protes-
is the earliest extant example of such an inclusion of the nar-
tant churches, the Baptists being the most numerous. While
rative and the anamn¯esis in the body of the eucharistic prayer,
Roman Catholics, Anglicans, and churches of the Evangeli-
but it is typical of the prayers of the fourth century and later.
cal and Reformed traditions continue to baptize infants, as
In the Apostolic Tradition the anamn¯esis is followed by an in-
do the Eastern churches, liturgical studies in the twentieth
vocation of the Holy Spirit upon the oblation of the church,
century have focused attention on the rich initiatory rituals
praying that all who receive the holy gifts, being united, may
of the patristic age, and restoration of that classic passage
be filled with the Holy Spirit for the strengthening of faith.
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WORSHIP AND DEVOTIONAL LIFE: CHRISTIAN WORSHIP
9811
Such an invocation of the Holy Spirit is referred to as an
requirement of the Fourth Lateran Council (1215) that all
epikl¯esis.
must communicate at least once annually.
That pattern for the eucharistic prayer was expanded in
In spite of the moderating expressions of sensitive theo-
most of the Eastern empire in the fourth century. In the first
logians, such emphasis on the sacrificial character of the Mass
place, after the opening dialogue, a praise of God as creator,
(as the Eucharist was known in the West) and diminution
hymned by the heavenly hosts, was added before the christo-
of its character as communion meal grew stronger in the later
logical thanksgiving. Such an opening praise of the creator,
medieval period and established the eucharistic agenda of the
ending in the singing of the Sanctus (a liturgical hymn al-
Reformation. While the reformers’ understandings of
ready in the Temple liturgy reflected in Isaiah 6:3 and con-
Christ’s presence in the Eucharist varied widely, there was
tinued in the synagogue liturgy after the destruction of the
broad agreement on two matters: the suppression of all refer-
Temple), is characteristic of eucharistic prayers of Cappado-
ence to the Eucharist itself as a sacrifice and insistence on
cia, Syria, Palestine, and eventually Alexandria. A second de-
general reception of Holy Communion as constituting the
velopment in these fourth-century prayers is the focusing of
divinely instituted memorial of Christ’s death on Calvary, it-
the epikl¯esis on the oblations of bread and wine, invoking the
self the sole and sufficient sacrifice for the sins of the world.
Holy Spirit for their consecration as the body and blood of
For the reformed liturgies the narrative of the institution of
Christ. Also, the older content of that supplication, the gath-
the Eucharist, already central in medieval tradition as the for-
ering of the church into union with God, was expanded into
mula of consecration, achieved even greater prominence, its
a series of intercessions.
scriptural origin excepting it from the general reaction
against liturgical elements that could be ascribed to human
Influenced perhaps by a transitional phase in liturgical
composition.
evolution at Alexandria, a different pattern for the eucharistic
prayer emerged in the West. First visible in northern Italy
Protestant eucharistic liturgies in general sought to give
in the late fourth century (in De sacramentis, a series of post-
expression to the cardinal principle that it is only faith in the
baptismal instructions commonly ascribed to Ambrose of
sufficiency of Christ’s redeeming work which justifies sin-
Milan), this Western eucharistic prayer appears in virtually
ners. Protestants opposed all liturgical practice that could be
its final form in the Gelasian Sacramentary, an eighth-century
interpreted as a human “good work.” Even so, such major
document reflecting usages of sixth-century Rome. In this
reformers as Martin Luther and John Calvin assumed that
Western pattern the opening dialogue leads into a variable
the Eucharist would continue to form the core of the Chris-
prayer of praise and thanksgiving, sometimes general in its
tian observance of Sunday as it had from the first century,
content but more frequently phrased to reflect the varying
but the popular disinclination to frequent Communion
emphases of particular feasts or seasons of the liturgical year.
proved too strong in the end, and in Protestant worship the
This variable praise leads into the Sanctus, and thereafter the
Eucharist became an occasional observance, being celebrated
prayer is relatively invariable and comes to be known as the
only monthly or even less frequently. This brought the read-
Canon Actionis or Canon Missae, titles that reflect its regu-
ing and preaching of the word of God much more strongly
larity. This canon is supplicatory throughout, with interces-
to the fore and established the contrast between Roman
sions and commendations of the eucharistic gifts preceding
Catholic and Protestant forms of worship still visible today,
and following a prayer for their consecration, the institution
although the extent of that contrast has been reduced vastly
narrative, and anamn¯esis.
in the twentieth century, especially as a result of the Second
Vatican Council (1962–1965).
This Canon Missae became the standard eucharistic
THE LITURGY OF THE WORD. As early as the second century
prayer for all the Western church from the ninth century.
the eucharistic meal was preceded by readings from the scrip-
Unlike the Eastern prayers discussed above, this Western
tures, preaching, and extended prayers of intercession. Justin
prayer contained no explicit invocation (epikl¯esis) of the Holy
Martyr, in chapter 67 of his first Apology, addressed to the
Spirit for the consecration of the eucharistic gifts as Christ’s
emperor Antoninus Pius around 155 CE, describes the assem-
body and blood. Theological reflection associated that con-
bly of Christian worshipers on Sunday and tells us that on
version of bread and wine increasingly with the words of
such occasions there were readings from the “memoirs of the
Jesus in the narrative of the institution: “This is my body”
apostles” or the prophets for as long as time permitted. Then
and “This is the chalice of my blood of the new and eternal
the “president of the brethren” preached about what had
covenant.” While occasional theologians expressed the view
been read, exhorting the congregation to perform good
that such identification of the gifts with the body and blood
deeds. After that, the congregation prayed in common for
of Christ was to be understood symbolically or typologically,
themselves and for all the church. At that point, the gifts of
a more realistic interpretation prevailed, especially from the
bread and wine for the Eucharist were placed on the table,
eleventh century, and this encouraged a perception of the
and the eucharistic prayer was begun.
Eucharist as a sacramental representation of Christ’s redemp-
tive sacrifice, complete and efficacious even if none but the
The basic outline of the Liturgy of the Word has re-
celebrating priest received Communion. That the people
mained largely the same to the present, although introducto-
were disinclined to frequent Communion is indicated by the
ry entrance rites (chants and prayers) appropriate to rich new
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WORSHIP AND DEVOTIONAL LIFE: CHRISTIAN WORSHIP
architectural settings of the liturgy were added from the fifth
and ninth hours, plus evening, midnight, cockcrow, and
century on. By that time, too, other musical elements, such
morning. These hours, interpreted as commemorative of
as the singing of psalms or verses with “Alleluia” between
moments in Christ’s passion or focused on expectation of his
scripture readings, as well as within the Eucharist proper, had
triumphant return, are set forth as occasions for private
begun to appear in many areas. In spite of these enrichments
prayer, although it seems that the morning hour (and occa-
and eventual variation in the number of scripture readings,
sionally the evening) were also times of public assembly. In
the basic picture given by Justin is still clearly discernible.
the fourth and following centuries, public offices of prayer
in the morning and evening form the daily pattern of the
PREACHING. While in most traditions today the sermon re-
church’s liturgical prayer, although monastic influence led to
tains the place it had in the second century, at the conclusion
of the scripture readings, preaching has never been limited
a much more complex regimen. The fully developed monas-
to that liturgical context. Throughout Christian history the
tic liturgy consisted of a major vigil at cockcrow, and other
gift of prophetic proclamation has been exercised within,
assemblies for prayer at around 6:00 AM and at every third
parallel to, and apart from the regular ritual patterns of
hour thereafter until the hour of retiring. The establishment
Christian worship. While preaching has regularly been con-
of urban monasteries in connection with major basilicas
sidered a responsibility of officiating clergy, it has not been
brought a conflation of this monastic regimen with the sim-
limited to them. At times, patterns in the official cultus have
pler cathedral hours of prayer, and in the medieval period
come to leave little place for preaching, and in such circum-
all clergy were obligated to recite a liturgy of the hours deeply
stances preaching has flourished alongside that cultus and on
shaped by the presuppositions of the monastic tradition.
occasion as a vehicle of opposition to it. Even where preach-
Sixteenth-century reforms of the hours of prayer, such
ing continued within the traditional Latin liturgy in the later
as that by Thomas Cranmer in the English Book of Common
Middle Ages, it frequently formed the centerpiece of a larger
Prayer, returned to the simpler regimen of two hours in the
bloc of catechetical and devotional material in the vernacu-
day, morning and evening, but Cranmer’s work still betrayed
lar, known by the collective term prone. Its variable content
such monastic characteristics as the systematic reading in
established by the preacher, a prone might include such di-
course of all the psalms (albeit within the space of a month,
dactic materials as the Ten Commandments or the Apostles’
rather than a week as had been the custom). Twentieth-
Creed, practical pastoral elements such as the announcement
century reform of the Liturgy of the Hours in the Western
of proximate fasts or festivals or the publication of the banns
churches has continued this emphasis on the morning and
of marriage, and devotional elements such as intercessions
evening offices as times of public liturgical prayer, while pro-
(replacing the Latin prayers of the faithful, which had fallen
into desuetude in the early medieval period). Such a prone,
viding for certain of the intervening hours for private use.
including the sermon, might be found before the eucharistic
LITURGICAL ARTICULATION OF TIME. The Liturgy of the
liturgy, at its midpoint following the scripture readings, or
Hours reveals the Christian perception of times as themselves
apart from the liturgy. This provided the format for the
symbolic of the paschal mystery and as the framework within
Preaching Service, which achieved great popularity in some
which the church watches for the coming of Christ. Howev-
quarters of the Protestant Reformation where proclamation
er, derived as this daily regimen was from the traditions of
of the word of God in preaching took on the character of
Judaism, the hours of the day were not the only time cycle
an alternative to the liturgical tradition. Such a preaching tra-
to receive Christian expression. This was equally true of two
dition continues to form the mainstream of much Protestant
other important cycles in the Old Testament, the week and
worship today, set in a context of instructional and devotion-
the year.
al elements of the free composition that characterized the
medieval prone. Other strongly homiletical traditions have
Liturgical week. None of the numerous scholarly ef-
set the sermon in the context of the Liturgy of the Word,
forts to get behind the Jewish seven-day week and to discover
even when no eucharist followed, or in the context of the tra-
its origin apart from the history of Israel has achieved defini-
ditional Liturgy of the Hours.
tive success. That seven-day cycle seems to have been present
with the earliest settlement of Israel in Canaan, and the ques-
LITURGY OF THE HOURS. Scholars disagree in their recon-
tion of the ultimate origin of the week must remain unset-
structions of the regimen of daily prayer among Christians
tled. What can be said more surely is that the cycle was de-
of the first two centuries, but there is broad agreement that
fined by the treatment of every seventh day as a day of rest
this regimen, however described, grew out of the Christian
for servants and draft animals and, by extension, for the
continuation of patterns of daily prayer in first-century Juda-
whole people. This Sabbath (meaning “to stop” or “that
ism and the daily service of the synagogue, which furnished
which stops”) recurs every seventh day without regard to
the public framework of that prayer.
other time cycles, such as the month or the year, making the
The Didache (chap. 8) orders the Lord’s Prayer three
week an independent cycle. Not originally a day distin-
times a day, but it is not clear what hours are intended. The
guished by obligations of worship, the Sabbath came to af-
third-century Apostolic Tradition speaks of seven times for
ford peculiar opportunity for public worship because of the
prayer during the day, the frequently mentioned third, sixth,
rest from ordinary employment which it demanded.
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WORSHIP AND DEVOTIONAL LIFE: CHRISTIAN WORSHIP
9813
While early Christians participated in the worship of the
weeks, only 364 days, would adjust for its significant error.)
synagogue as opportunity afforded, it is likely that the Sab-
Tertullian speaks of these Wednesday and Friday fasts as
bath, with its extended synagogue liturgy, was an especially
“stations,” a term encountered earlier in the Shepherd of Her-
important occasion for Christian witness. Some have sug-
mas, and it is clear that in the third century they were days
gested that the Christian observance of the first day of the
of liturgical assembly, even for the Eucharist, in addition to
week, Sunday, found its beginnings in the gatherings of
the assembly on Sunday. While always secondary to Sunday,
Christians for their characteristic table fellowship following
the primitive prominence of Wednesday and Friday contin-
the conclusion of the liturgy at the closing of the Sabbath
ued in the later history of the Christian week and is still man-
at sundown. Others have insisted that it was in the evening
ifest in various ways in the several traditions.
from the first day to the second (Sunday to Monday) that
According to Tertullian (On Fasting 14.3) it appears
Christians began to assemble, on the model of the appear-
that some Western Christians (probably Romans) were devi-
ances of the risen Christ reported in John 20. What seems
ating from the common practice of the church by ordering
sure in either case is that the first Christians continued to ob-
certain Sabbaths (i.e., Saturdays) in the year to be observed
serve the week as defined by the Sabbath and that, once
with fasting, a custom that Innocent I (Epistle 25, CE 416)
growth of the movement required gatherings at a longer in-
reports for every week at Rome. Tertullian had complained
terval than daily, assemblies of a specifically Christian charac-
that fasting on the Sabbath was forbidden except for the Sab-
ter were on the first day of the week, the day of Christ’s resur-
bath before Easter. In this he seems to reflect correctly a tra-
rection.
dition still followed in all the Eastern church, a tradition
Several writers have suggested that, because that weekly
probably rooted in the Jewish prohibition against fasting on
assembly was the time of the Eucharist, the Lord’s Supper
the Sabbath. This suggests a much stronger continuation of
(kuriakon deipnon; 1 Cor. 11:20), the first day of the week
Sabbath observance among Christians than some writers
came to be known as “the Lord’s Day” (kuriak¯e h¯emera).
(e.g., Willy Rordorf) have supposed. Such continuation of
Whether that is the reference of that phrase in Revelation
observance, if there was any, would concern the Sabbath rest
1:10 or not, it is clear that the term was used for the first day
rather than a day for liturgical worship. The association of
of the week as early as the Didache (chap. 14). Sources from
rest from secular employment with Sunday rather than the
the second century speak of that first day of the week, the
Sabbath stems from the time of Constantine, but the direct
first day of creation, as the Eighth Day, the day beyond the
identification of Sunday as the Christian Sabbath and its rig-
creation itself and the day of the new creation accomplished
orous observance according to Old Testament norms appears
by Christ’s paschal sacrifice (1 Cor. 5:7). Such thought re-
first in English and Scottish Protestantism, especially in the
flects the strong sense of Christ’s spiritual presence in the
seventeenth century. Apart from that, the term Sabbath has
community constituted by the outpouring of the Holy Spirit
continued to be understood to refer to the seventh day of the
(Acts 2), a “realized eschatology” that throughout Christian
week and was employed to designate that day in all medieval
history expresses the sense of the presence in worship of both
liturgical books.
Christ’s redeeming action in the past and a prolepsis of his
Liturgical year. While it seems likely from such texts
future appearing in judgment at the end of history. The
as Acts 20:7 that the beginnings, at least, of the Christian
meeting of that memory of the past and that hope for the
week go back to the apostolic period, other passages such as
future in the Eucharist on each Lord’s Day has been a cons-
Colossians 2:16 suggest that liturgical time patterns of Juda-
tant dimension of classical Christian liturgical experience.
ism were considered, at least in the gentile mission, to be
matters of little importance, given the expectation of the
Beyond that festal Sunday, the weekly celebration of the
proximate Parousia. Still other texts, however, make it clear
paschal mystery, Christians very early began to observe every
that even Paul, the apostle to the gentiles, was far from insen-
Wednesday and Friday as fast days (Didache 8). Friday was
sitive to the festivals of Israel and did not hesitate to relate
the day of Jesus’ crucifixion, and most early interpreters of
them to the paschal mystery.
this custom treat Wednesday as the day of his betrayal by
Judas Iscariot. However, one third-century source, Didas-
The Christian Pascha. Many scholars have, with modi-
calia apostolorum, places Jesus’ arrest in the early hours of
fications, held to the notion that the celebration of the annu-
Wednesday, a chronology that would put his last supper with
al paschal festival of Easter was established on the Sunday
his disciples on Tuesday night rather than on Thursday, as
after Passover at Rome in the apostolic period. This assertion
is the more common tradition. This alternative chronology,
can be documented only from the fifth century, and many
Annie Jaubert has suggested, may reflect the impact on early
other scholars consider it to be contravened by documents
Christianity of the Essene community at Qumran. The
of the second century that seem to assert that there was no
unique calendar of that group always situated the Passover
annual observance of Pascha (Easter) at Rome prior to Soter,
in the night from Tuesday to Wednesday and was so ar-
bishop there from 165. According to Karl Holl, the Passover,
ranged that all important liturgical days occurring on fixed
continued by Christians at Jerusalem in the night from 14
dates of the month would fall on Wednesday, Friday, or Sun-
to 15 Nisan, was accommodated to the structure of the week,
day. (It remains unclear how such a calendar of exactly 52
by moving the feast to Sunday, only after the establishment
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WORSHIP AND DEVOTIONAL LIFE: CHRISTIAN WORSHIP
of a gentile hierarchy in Jerusalem following the Bar Kokhba
make it clear that the themes of the two festivals merged in
Revolt (c. 132–135). Prior to that, the Christian Pascha
the celebration of Christmas.
would have been observed annually on the same date as the
Coincidence with pagan festivals has also been argued
Jewish Passover, being in fact a continuation of the Jewish
for the early Eastern date for the nativity of Jesus, January
festival, reinterpreted in light of the tradition that identifies
6, the Epiphany (Gk., epiphaneia, “manifestation”), al-
the crucifixion of Jesus as coinciding with the slaughter of
though the argument is much less firm in this case. Here
the lambs for the festival of Passover at the Temple. By the
again, Duchesne’s computation from a fixed date for Christ’s
time of such an adjustment of the Christian Pascha to the
death (April 6 in Asia Minor, according to the fifth-century
structure of the week, Christians of Jewish background had
church historian Sozomen), taken to be as well the date of
been driven out of Aelia Capitolina, the new Roman city
the Incarnation, would yield the nativity nine months later,
built on the ruins of Jerusalem, to settle elsewhere, some in
on January 6. That date seems to have been treated as the
Mesopotamia, others in Asia Minor. It is in that latter area,
especially, that we discover our earliest documents of a Chris-
beginning of the year and, with that, the beginning of the
tian celebration of Pascha, kept on the Jewish date in the
reading of the gospel. Preference for a particular gospel in a
night following 14 Nisan, the anniversary of the Crucifixion.
particular church would lead to the association of different
Late in the second century, controversy developed over
themes with the festival of Epiphany: at Jerusalem the read-
whether the Christian Pascha should be observed on that
ing of Matthew led to an emphasis on the nativity; at Alexan-
date or whether its preliminary fast should be terminated
dria a preference for Mark emphasized the baptism of Jesus;
only on Sunday, the weekday of the Resurrection. This con-
at Ephesus the predominance of John stressed the Cana wed-
troversy was finally concluded by a decision in favor of a Sun-
ding feast. While such an explanation is only hypothetical,
day Pascha by the first ecumenical council at Nicaea in 325.
those three themes are associated with Epiphany in the later
By that time, however, the Pascha was almost universally ob-
fourth century. By that time the December 25 festival of the
served on Sunday, and the original one day of fasting (now
nativity had been accepted in the East (with the exception
the Sabbath) had been extended to six days, the Holy Week
of Jerusalem and Armenia), and the January 6 festival of
that is still the most solemn time of the year for Christians.
Epiphany had been adopted in the West. At Milan, Epipha-
ny celebrated the baptism of Jesus, but at Rome it formed
Even when transferred to Sunday, the paschal solemnity
a duplication of the nativity observance, limited to the com-
continued to be spoken of as a memorial of the passion of
memoration of the visit of the Magi. That visit of the Magi,
Jesus. Much more than that was included in the content of
the baptism of Jesus, and the miracle at Cana formed the tria
the festival, however, and it can best be described as a total
miracula that were celebrated at Epiphany in Gaul. There a
festival of Christ celebrating the incarnation, passion, death,
preparatory period, eventually six weeks, preceded the nativi-
resurrection, and glorification of the Savior. That unitive
ty festival, and this was adopted in the seventh century at
content was refracted, especially during the fourth century,
Rome, though shortened first to five weeks and later to the
and distinct events came to be associated with particular
present four. As Epiphany and Christmas had been consid-
days: the death of Jesus with Friday of Holy Week, his resur-
ered the beginning of the liturgical year, so this season of
rection with Easter Sunday, his ascension into heaven with
preparation came to be considered the beginning of the year,
the fortieth day after Easter, and the outpouring of the Holy
and it is with the first Sunday of Advent that Western liturgi-
Spirit upon the church with the fiftieth day, corresponding
cal books begin.
to the Jewish Feast of Weeks (Shavu!ot), or Pentecost. From
the end of the second century, at least, that entire fifty-day
Lent. The emergence of Pascha as the preferred time for
period from Pascha to Pentecost had been kept as the extend-
the rites of initiation, in accordance with the death/
ed paschal rejoicing, and recent reforms of the liturgical year
resurrection theology of baptism taught by Paul, led to the
have sought to restore the integrity of that festal period.
development of a period for final catechesis and ascetical for-
mation prior to paschal baptisms. While such a period is in-
Christmas and Epiphany. Since the eighteenth century
dicated as early as the third-century Apostolic Tradition, its
it has been commonly observed that the celebration of the
length is indefinite prior to Nicaea. Thereafter it is spoken
nativity of Christ on December 25, first discernible at Rome
of as the fast of forty days and spans a period of six weeks
around 336, represents a Christian adaptation of the winter
either prior to Easter (as in Rome and fourth-century Alexan-
solstice festival established by the emperor Aurelian in 274
dria) or prior to Holy Week (as in Syria, Constantinople, and
CE. Some more recent studies have revived interest in the hy-
eventually all the Eastern churches). The forty-day duration
pothesis of Louis Duchesne, who suggested that the date was
of the fast has traditionally been associated with Jesus’ fast
arrived at by counting forward nine months from March 25,
immediately following his baptism by John, and recent
a date taken in the West in the third century to be that of
studies have supported Coptic sources that place the original
Jesus’ death. Duchesne held that the impatience of symbolic
fast of forty days immediately following Epiphany (celebrat-
number systems for fractions made this to be as well the date
ing Jesus’ baptism) at Alexandria. After Nicaea the prepas-
of Christ’s conception. However arrived at, that date would
chal situation of the fast is universal, although its separation
have coincided with the solar festival at Rome, and later data
from the six-day paschal fast in the Eastern rites may still re-
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WORSHIP AND DEVOTIONAL LIFE: MUSLIM WORSHIP
9815
flect the wider separation of them in early Alexandria. There,
of the Liturgy (Glasgow, 1945), have been addressed in a new
Coptic tradition maintains, the fast of forty days concluded
edition (New York, 1982) with appended notes by Paul
with the administration of baptism in the sixth week and the
Marshall taking account of some more recent developments.
Feast of Palms on the following Sunday, an arrangement
Josef A. Jungmann’s The Early Liturgy: To the Time of Grego-
similar to the later Byzantine conferral of baptism on the Sat-
ry the Great (1959; reprint, London, 1966) is an excellent
urday of Lazarus, the day before Palm Sunday. After Nicaea
survey, less detailed than his magisterial two-volume Mis-
sarum Sollemnia: Eine genetische Erklärung der römischen
that Palm Sunday is the day before the paschal fast and, in
Messe, rev. ed. (1949; reprint, Freiburg, 1958), translated as
the late fourth century, is considered to be the first day of
The Mass of the Roman Rite, 2 vols., rev. ed. (New York,
Holy Week at Jerusalem.
1959).
Although preparation for baptism constituted the origi-
For more particular studies of rites of initiation, G. R. Beasley-
nal agenda of the Lenten period, by the end of the fourth
Murray’s Baptism in the New Testament (New York, 1962)
century in the West it was also a period for the ritual humili-
is the standard treatment of that period. For the patristic pe-
riod, see Hugh M. Riley’s Christian Initiation (Washington,
ation of penitents, those who for grave sin had been severed
D.C., 1974), and for the medieval, John D. C. Fisher’s
from the communion of the church. Such penitents were
Christian Initiation: Baptism in the Medieval West (London,
publicly reconciled in Holy Week so as to be able to celebrate
1965). Aidan Kavanagh’s The Shape of Baptism: The Rite of
Easter as restored Christians, and their penitential exercises
Christian Initiation (New York, 1978) examines reforms
during Lent gave that color to Lenten piety. In Byzantine tra-
since the Second Vatican Council against the background of
dition, which has known no such formal reconciliation of
the earlier tradition. Much recent concern with the Eucharist
penitents in Holy Week, the Western penitential concern
has focused on the eucharistic prayer, and several contribu-
was long absent from Lent, although similar penitential piety
tions to this discussion, which have appeared in the liturgical
did enter that tradition through monasticism from the eighth
journal Worship, have been collected in Living Bread, Saving
century on.
Cup: Readings on the Eucharist, edited by R. Kevin Seasoltz
(Collegeville, Minn., 1982). For a systematic treatment of
Christian liturgical traditions that observe the Lenten
the evolution of that central prayer of the Eucharist, see Allan
fast experience Lent as a time of ascetical development, of
Bouley’s From Freedom to Formula (Washington, D.C.,
“dying to self,” so as to participate fully in the renewal of life
1981).
in the celebration of Christ’s resurrection. This participation
New Sources
in Christ’s dying and rising, focused in the annual obser-
Bond, Gilbert I. Community, Communitas, and Cosmos: Toward
vance of Lent, Holy Week, and the fifty days of Easter rejoic-
a Phenomenological Interpretation and Theology of Traditional
ing, is that same paschal mystery experienced by each Chris-
Afro-Christian Worship. Lanham, Md., 2002.
tian in baptism, in every celebration of the Eucharist, and
Bradshaw, Paul K. The New SCM Dictionary of Liturgy and Wor-
indeed in every dimension of the complex of worship and
ship. London, 2002.
sacramental life for which the paschal mystery of Christ’s re-
Davies, Horton. Worship and Theology in England. 3 vols. Grand
demptive death and resurrection is the root paradigm.
Rapids, Mich., 1996.
Hurtado, Larry W. At the Origins of Christian Worship. Grand
SEE ALSO Anamnesis; Baptism; Christian Liturgical Year;
Rapids, Mich., 2000.
Christmas; Church, article on Church Membership; Cult of
Lang, Bernard. Sacred Games: A History of Christian Worship. New
Saints; Easter; Epiphany; Eucharist; Initiation; Jesus; John
Haven, Conn., 1997.
the Baptist; Liturgy; Lord’s Prayer; Monasticism, article on
Old, Hughes Oliphant. The Reading and Preaching of Scriptures
Christian Monasticism; Pilgrimage, articles on Eastern
in the Worship of the Christian Church. Grand Rapids, Mich.,
Christian Pilgrimage, Roman Catholic Pilgrimage in Eu-
1997.
rope, Roman Catholic Pilgrimage in the New World; Sacra-
Swanson, R. N., ed. On Continuity and Change in Christian Wor-
ment, article on Christian Sacraments.
ship: Papers Read at the 1997 Summer Meeting and the 1998
Winter Meeting of the Ecclesiastical History Society. Wood-
BIBLIOGRAPHY
bridge, U.K., 1998.
The principal liturgical texts relevant to Christian initiation are
Thompson, Bard, ed. A Bibliography of Christian Worship. Metuc-
presented in English in Edward C. Whitaker’s Documents of
hen, N.J., 1989.
the Baptismal Liturgy, 2d ed. (London, 1960), and John D.
Webber, Robert, ed. The Complete Library of Christian Worship.
C. Fisher’s Christian Initiation: The Reformation Period (Lon-
7 vols. Peabody, Mass., 1993.
don, 1970). Texts relevant to the Eucharist can be read in
THOMAS J. TALLEY (1987)
English in Prayers of the Eucharist, Early and Reformed, 2d
Revised Bibliography
ed., edited by Ronald C. D. Jasper and Geoffrey J. Cuming
(New York, 1980), and Liturgies of the Western Church, ed-
ited by Bard Thompson (New York, 1961). The best survey
of the whole range of the history of Christian worship is The
WORSHIP AND DEVOTIONAL LIFE: MUSLIM
Study of Liturgy, edited by Cheslyn Jones, Geoffrey Wain-
WORSHIP
wright, and Edward Yarnold (London, 1978). The limita-
The nature of Muslim devotional life in Islam is rooted in
tions of the magnificent overview by Gregory Dix, The Shape
its basic theological presuppositions. The three primary fun-
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9816
WORSHIP AND DEVOTIONAL LIFE: MUSLIM WORSHIP
damentals of religion (us:u¯l al-d¯ın) are tawh:¯ıd (belief in the
EIBA¯DAH. The most obvious form of worship and devotion
unity of God), nubu¯wah (belief in prophets), and qiya¯mah
within Islam are those actions commonly referred to as “the
(belief in the Day of Judgment). The acceptance of these
Five Pillars of Islam.” These are: the confession of faith
three beliefs is required of all Muslims. Collectively, they
(shaha¯dah), ritual prayer (s:ala¯t, or nama¯z), the fast (s:awm)
constitute the essence of the Islamic worldview.
during the month of Ramad:a¯n, the h:ajj, or pilgrimage to
Mecca, and the paying of alms to the needy (zaka¯t). These
Tawh:¯ıd is the core concept of Islam. The sovereignty
are the minimal required devotional practices of exoteric
of a monotheistic God, who is omnipotent, omniscient, and
Islam. Collectively, they are referred to as Eiba¯dah because
simultaneously transcendent and immanent, is Islam’s defin-
they indicate and affirm the worshipper’s status as a servant
itive tenet. For Muslims there is one and only one true God,
( Eabd) before God. All of these actions require the worship-
who is identical with the God of Abraham, Moses, and Jesus.
per to first make an intention to perform them (n¯ıyah), thus
The necessity of obedience to God’s will is thus the founda-
affirming the doctrine of human responsibility inherent in
tion for all devotion in Islam. Every human being should as-
the doctrine of qiya¯mah. All of the actions of the Eiba¯dah re-
pire to live as a servant ( Eabd) of God. For this reason, the
sult in thawa¯b, or spiritual benefit, for the worshipper.
required ritual acts of worship are referred to collectively as
Eiba¯dah, which can be translated as either “worship” or “ser-
It is through the recitation of the Shaha¯dah—also called
vice.” According to the concept of nubu¯wah, God communi-
the kalimah, or word of belief—that one becomes a Muslim.
cates through prophets (nab¯ıs) and messengers (rasu¯ls).
The Shaha¯dah contains two declarations, which must be re-
cited publicly in Arabic. The first, “ashhadu an la¯ ila¯ha illa¯
Thus, human agency is essential to the process of revelation.
Alla¯h” (I bear witness that there is no god but God), is an
The centrality of this concept can be seen in the fact that the
affirmation of tawh:¯ıd. The second, “ashhadu an
first human being, Adam, is also the first prophet, as human-
Muh:ammadan rasu¯l Alla¯h” (I bear witness that Muh:ammad
ity should never be without divine guidance. It is through
is the Messenger of God), is an affirmation of nubu¯wah. This
the prophets in their roles as messengers and models of be-
public recognition of the unity of God and the spiritual au-
havior, especially the final prophet, Muh:ammad, that hu-
thority of Muh:ammad, made with proper intention, is suffi-
manity learns how to live in obedience to God’s will. Devo-
cient to make one a member of the Muslim community.
tional life in Islam rests simultaneously upon the worship of
and obedience to God, and allegiance to and veneration of
S:ALA¯T is the daily ritual prayer. Many Muslims consider
the Prophet Muh:ammad, who serves both as a teacher and
prayer to be the most important of all Islamic devotional ac-
an exemplar.
tions. Each prayer consists of a sequence of prescribed actions
coupled with the recitation of devotional phrases in Arabic
The doctrine of qiya¯mah asserts that there will come a
and short su¯rahs from the QurDa¯n. Each of these sequences
time when all human beings will be judged according to their
is referred to as a rak Dah. Sunn¯ı Muslims are required to pray
beliefs and actions. Thus, whether interpreted literally or fig-
five times a day—after dawn, at noon, in the afternoon, at
uratively, qiya¯mah asserts that human beings are fully respon-
sunset, and in the evening. Each of these prayers consists of
sible before God for their actions. Despite the apparent logi-
between two and four rak Dahs. Twelver Sh¯ıE¯ı Muslims pray
cal contradiction between an omniscient and omnipotent
the same number of rak Dahs each day but combine their
God and human free will, Islam clearly asserts that, however
prayers into three sessions. The fact that prayer punctuates
this contradiction is resolved, individuals must act as if they
the day at regular intervals affirms the importance of the
had free will and fulfill their ritual and ethical obligations
QurDanic concept of dhikr, or the remembrance of God.
with clear intention.
Generally, within Islam the root of human disobedience and
sin is seen as forgetfulness. Prayer at regular intervals encour-
Within this theological context, acts of devotion and
ages Muslims constantly to remember the presence of God.
worship serve two interrelated purposes. The first is as the
fulfillment of God’s commandments. As such, they are evi-
The time of each prayer is announced by the adha¯n or
dence of obedience to God in preparation for the Day of
“call to prayer.” Each adha¯n is recited in Arabic and includes
Judgment. But devotional actions also serve to transform the
declaration of the Shaha¯dah and the takb¯ır—the affirmation
worshipper, bringing him or her into greater conformity
that “God is Greater” (Alla¯hu akbar). Recited by the
mu Dadhdhin publicly from a minaret, the sound of the adha¯n
with the divine will. Devotion in Islam is not simply an end
has become one of the defining characteristics of living in a
in itself; it is also a means for facilitating proper ethical be-
Muslim environment.
havior. God calls on humanity not only to follow commands
related to the proper performance of ritual, but also to live
As with all acts of Eiba¯dah, the act of prayer begins with
lives devoted to justice ( Eadl) and ethical behavior (akhla¯q).
the making of proper intention or n¯ıyah. This is followed by
One who lives his life in the constant remembrance of God
wud:u¯ D, or ablutions, as one must approach God in a state of
will develop the virtue of ihsa¯n (beneficence) and become a
physical purity. One prays facing in the direction of the
more perfect human being. Devotional actions within Islam
KaEbah in the holy city of Mecca. This directional focus is
are thus simultaneously evidence of obedience to God and
called the qiblah. Within a mosque, the qiblah is marked by
mechanisms for the spiritual education of believers.
a niche called the mih:ra¯b. Thus, Muslims in communal
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WORSHIP AND DEVOTIONAL LIFE: MUSLIM WORSHIP
9817
prayer throughout the world stand in straight lines, except
avoid negative and hostile emotions. The fast is incumbent
in the sacred precinct surrounding the KaEbah itself, where
upon all adult Muslims, although the sick, the aged, preg-
it becomes apparent that Muslims in prayer are actually ar-
nant and nursing women, and travelers are exempt from its
ranged in concentric circles facing the KaEbah and each
demands. The Ramad:a¯n fast acts to remind believers of their
other.
dependence upon God and affirms their servitude before the
divine will. According to some Muslim commentators, it also
The act of s:ala¯t in Islam is a physical performance. Wor-
helps to build an attitude of self-discipline and patience
shippers use their bodies and their voices to physically ex-
(s:abr) and nurtures a sense of empathy and compassion for
press obedience to God. The performance of prayer calls for
the sufferings of the poor.
the worshipper to engage in a series of postures culminating
in complete prostration as physical evidence of submission
The fast has both individual and social dimensions, as
and obedience to God. The language used in s:ala¯t is not the
individual believers experience the fast in the context of com-
vernacular of the individual worshipper but rather the
munity. Families tend to wake collectively to prepare break-
QurDanic Arabic of the time of the Prophet. In performing
fast before sunrise. The breaking of the fast at sunset, called
s:ala¯t individual believers repeat actions initially performed by
ift:a¯r, is the occasion for shared meals with family and friends.
the Prophet Muh:ammad. Whenever Muslims engage in
It is not unusual for people to gather in the evening to listen
prayer they form a chain of piety back to the very origins of
to recitations of the QurDa¯n. The QurDa¯n is, in fact, tradition-
Islam and affirm a single ritual community with all other
ally divided into thirty equal portions, each called a juz D, so
Muslims both spatially and temporally. It is an affirmation
that the entire text may be recited over the month-long peri-
of tawh:¯ıd and nubu¯wah, which links together all Muslims
od of the fast. The end of the Ramad:a¯n fast is marked by
into a common devotional community.
the festival of E¯Id al-Fit:r. This is a day for giving charity, ex-
Prayer can be either individual or communal. On Fri-
changing gifts and cards, and visiting one’s friends and rela-
days the congregational prayer may take place in a special
tives. The sense of a shared ritual duty helps to create the
building called a masjid, literally a “place of prostration.”
sense of a single community bound by common practice and
Prayers are said behind an ¯ıma¯m khat:¯ıb, who stands at the
belief.
mih:ra¯b and leads the community through the actions of the
Zaka¯t refers to the payment of a percentage of one’s
s:ala¯t. At these Friday prayers the ¯ıma¯m khat:¯ıb delivers a ser-
wealth as alms to the poor. The giving of zaka¯t may appear
mon called a khut:bah, which generally takes the form of a
to be an ethical rather than a devotional act. It is, however,
commentary on a QurDa¯n verse, exhorting believers to lead
almost always mentioned in the QurDa¯n in tandem with s:ala¯t.
more devout and ethical lives. It should be noted that the
The giving of zaka¯t cleanses one’s wealth and renders it legit-
khut:bah can also be used for political purposes. For this rea-
imate. The giving of zaka¯t, like s:ala¯t and s:awm, affirms the
son, Muslim rulers have generally attempted to maintain a
notion that humans are not autonomous beings but rather
degree of control over the content of the khut:bah.
servants of God. One’s wealth is in fact only an ama¯nat
Along with the five daily prayers and the Friday congre-
(trust) from God, who is the real owner. Therefore, while
gational prayer, there are special prayers associated with reli-
almsgiving is an ethical action designed to support the com-
gious holidays and funerals. There are also prescribed supero-
munity, it is also an affirmation of tawh:¯ıd.
gatory prayers, which, while not required, are recommended
THE H:AJJ. At least once in a lifetime Muslims should, if pos-
and can be performed at other times of the day. Finally it
sible, make the pilgrimage to Mecca during the month of
should be noted that s:ala¯t, the ritual prayer in Arabic, is not
Dhu¯ al H:ijjah to perform the rites of the h:ajj. There is a less-
the only form of prayer in Islam. While the term du Ea¯hamza
er pilgrimage called the Eumrah, which can take place any
has a variety of meanings, it most commonly refers to person-
time, from which a believer also gains thawa¯b; but it is the
al prayer recited in one’s own language. The saying of
collective and communal action of the h:ajj that is required
du Ea¯hamza is an essential aspect of piety of Islam, which af-
(wa¯jib) by Islamic law.
firms the personal relationship of individual believers with
God.
In no other ritual context are the doctrines of tawh:¯ıd,
nubu¯wah, and qiya¯mah so clearly apparent. The h:ajj takes
While literalist traditions within Islam have seen the act
place in the city of Mecca and its environs, where the religion
of s:ala¯t as the simple fulfillment of a divine command, Mus-
of Islam was born. Having faced all of their lives in the direc-
lim mystics and esoteric interpreters have noted that there
tion of the KaEbah for prayer, worshippers now travel to the
are both exoteric (z:a¯hir¯ı) and an esoteric (ba¯t:in¯ı) dimensions
site of the qiblah. Here they encounter the structure contain-
to s:ala¯t. For them, prayer is a mystery that imprints upon the
ing the room that once housed the polytheistic deities of the
bodies and the souls of worshippers and assists in their spiri-
Arabs, until cleansed of them by the Prophet Muh:ammad
tual transformation.
and left empty to symbolize the unity of God—the essential
RAMAD:A¯N AND ZAKA¯T. Muslims fast during the lunar month
symbol of tawh:¯ıd. The most common image associated with
of Ramad:a¯n, abstaining from food, drink, and sexual intima-
the h:ajj is the circumambulation of the KaEbah, called the
cy from sunrise until sunset. They should also attempt to
t:awa¯f. As they circle the KaEbah seven times, each pilgrim re-
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WORSHIP AND DEVOTIONAL LIFE: MUSLIM WORSHIP
cites the talbiyah, proclaiming in Arabic, “Here I am. O my
of God’s word is, in a very real sense, the evocation of God,
Lord, Here I am.”
and as such it facilitates dhikr. Such actions are thus invoca-
tions of tawh:¯ıd.
However, the central act of the h:ajj takes place on the
ninth day of Dhu¯ al-H:ijjah at the Mount of Mercy, on the
VERNACULAR TRADITIONS WITHIN ISLAM. Because Arabic is
plain of EArafa¯t, where the Prophet delivered his farewell ser-
the language of the QurDa¯n, and because s:ala¯t is performed
mon. This event is called the wuqu¯f (standing). Having pre-
in Arabic, Islam’s rich vernacular devotional traditions are
viously entered into a state of ritual sanctity known as ih:ra¯m,
often overlooked. In the South Asian musical tradition of
the pilgrims stand draped only in two seamless pieces of
qawwa¯l¯ı, the Prophet Muh:ammad and S:u¯f¯ı saints are
white cloth. Dressed identically, all traces of worldly hierar-
praised in Urdu and Panjabi. The Sh¯ıE¯ı tradition has pro-
chy are eradicated and each stands equally before God, await-
duced moving poetry of mourning for Ima¯m H:usayn in
ing divine mercy. This action is not only an affirmation of
Urdu and Persian called marsiyeh. The Isma¯E¯ıl¯ı tradition in-
tawh:¯ıd; it is also an evocation of the qiya¯mah, when all be-
cludes the recitation of devotional poetry called gina¯ns.
lievers will stand at their graves dressed in their funeral
There is a rich tradition of devotional poetry in Swahili con-
shrouds to await the judgment of God.
nected with the birthday of the Prophet. Among the Alevis
of Anatolia there is a profound musical tradition called nefes
The events of the h:ajj are also evocative of nubu¯wah. Be-
in which songs about the Twelve Ima¯ms and the great pir
cause Mecca is the birthplace of Muh:ammad, wherever one
Haci Bektash Veli are sung in Turkish to the accompaniment
looks one is confronted with the remembrance of the Proph-
of the saz. While Eiba¯dah provides evidence of the unity un-
et. Although it is not technically part of the h:ajj, most pil-
derlying the world of Islam, these vernacular practices are ex-
grims travel to the city of Medina to visit his tomb. Elements
amples of its rich diversity. Much of this vernacular literature
of the h:ajj also evoke the memory of other prophets as well,
is connected with that aspect of Islamic piety that involves
especially Ibra¯h¯ım. Near to the KaEbah is the maqa¯m of
devotional allegiance to persons.
Ibra¯h¯ım, where he stood to lay its cornerstone. The well of
Zamzam marks the place where Hagar and Isma¯E¯ıl were res-
The piety of devotional allegiance. Many of the most
cued from thirst by the angel Jibr¯ıl, who struck the earth
popular forms of Muslim devotion are those associated with
with his wing to bring forth water.
devotional allegiance to holy persons, especially the Prophet
Muh:ammad. The person of the Prophet is as important as
On the tenth day of Dhu¯ al-H:ijjah, pilgrims sacrifice
the QurDa¯n in Islamic piety. As one Sh¯ıE¯ı scholar has pointed
an animal in memory of Ibra¯h¯ım’s sacrifice. This is the feast
out, when the earliest Muslims accepted Islam there were
of E¯Id al-Ad:h:a¯, the second major festival in Islam after E¯Id
only a few verses of the QurDa¯n. At that time the fundamental
al-Fit:r. On this day Muslims throughout the world make
action of accepting Islam was to give allegiance to the Proph-
their own sacrifices, sharing the meat with their own families
et. This is the root of the piety of devotional allegiance.
and giving a portion to the poor.
Certain radical reform movements within Islam, most
THE QURDA¯N AS AN OBJECT OF DEVOTION WITHIN ISLAM.
notably Wahabism, have been critical of devotion to the
Devotional piety within Islam is not restricted to the
Prophet, seeing it as a form of shirk (associating partners with
Eiba¯dah. For example, the veneration of the QurDa¯n is a ubiq-
God). But for most Muslims, devotion to Muh:ammad fol-
uitous form of piety. As the concrete presence of the word
lows instinctively from their love for God. If all Muslims
of God the QurDa¯n is not only a source of knowledge, it is
should love God, what better expression of that love can
also a focus of devotion and veneration. As God’s word it
there be than to love the one whom God loves best? And that
must be treated with respect. One should not handle it while
person is Muh:ammad, who bears the title H:ab¯ıbullah, the
in a state of ritual impurity. It is a violation of religious eti-
beloved of God.
quette to place anything else, even another book, upon the
There are a variety of expressions of devotion to
QurDa¯n. Devout Muslims wrap the QurDa¯n in silk and store
Muh:ammad. In many places the birthday of the Prophet is
it as the highest object in the room. The recitation of the
celebrated as a holiday (E¯Id M¯ıla¯d al-Nab¯ı), with special ver-
QurDa¯n is an act of piety; professional reciters of the QurDa¯n
nacular poetry recited for the occasion. Na‘t, the a cappella
are considered great artists, whose recordings are popular
recitation of devotional verse about the Prophet Muh:ammad
throughout the Muslim world.
in Arabic and vernacular languages, is especially popular in
Phrases from the QurDa¯n are used in numerous formula-
South Asia. Another important form of devotion to the
ic ways throughout the day. For example, the opening su¯rah,
Prophet is the recitation of duru¯d, the formulaic blessing of
al-Fa¯tih:ah, is recited on numerous occasions, such as when
the Prophet recited in Arabic. Muslims often recite duru¯d in
visiting the tombs of S:u¯f¯ı saints. Pious Muslims will often
conjunction with pilgrimage (ziya¯rat) to the tomb of the
evoke the phrase bismilla¯h (in the name of God) before initi-
Prophet or S:u¯f¯ı saints. It is commonly believed that if one
ating any activity—especially at the beginning of a journey.
recites duru¯d at the tomb of the Prophet in Mecca he will
One should not speak of future actions without saying
actually hear it. The recitation of duru¯d is also thought to
insha¯ Dalla¯h (God willing), affirming thereby that only God
produce spiritual effects, such as the appearance of the
is the true author and knower of future events. The evocation
Prophet to the devotee in a dream.
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WORSHIP AND DEVOTIONAL LIFE: MUSLIM WORSHIP
9819
One of the central beliefs associated with this concept
plays, which depict the events of Karbala¯D. In South Asia
of devotional allegiance is the belief in the continuing spiri-
there are processions culminating in ritual funerals for the
tual existence of the Prophet Muh:ammad. Although the
ima¯m. But for Sh¯ıE¯ı Muslims everywhere, participation in
Prophet died a physical death like any other human being,
these events is a crucial marker of religious identity. There
most Muslims believe that he is still available to his devotees
is a famous aphorism: “Every day is EA¯shu¯ra¯D, every place is
as a spiritual presence. He is said to be “present and watch-
Karbala¯D.” The events of Karbala are not seen as mere histori-
ing” (ha¯d:r-o na¯z:ir). Despite the fact that radical groups like
cal events. Beneath the appearances of ordinary reality the
the Wahabis firmly reject this notion, its supporters point to
eternal struggle between “Good and Evil” that took place
h:ad¯ıths that state that the Prophet is a manifestation of a
paradigmatically at Karbala¯D is always reoccurring. Humanity
preexistent light—the prophetic nu¯r. Thus the Prophet is
is always being asked to choose between the path of Ima¯m
not merely a model of behavior, he is also an object of vener-
H:usayn and the path of Yaz¯ıd, the path of light and the path
ation.
of darkness. The ritual recreation of the events of Karbala¯D
during the month of Muh:arram is a way of preparing for par-
Devotional allegiance in Sh¯ıE¯ı Islam. For many Mus-
ticipation in the eternal spiritual struggle between “Good
lims the piety of devotional allegiance extends beyond the
and Evil.”
person of the Prophet Muh:ammad to include those who are
identified as his legitimate representatives and successors.
It should be noted that devotion to EAl¯ı and his descen-
Once again, if one is to love the Prophet, should one not ex-
dants extends into the Sunn¯ı community as well. For exam-
press that love by loving those whom he loved? Within
ple, the day of EA¯shu¯ra¯D is commemorated by many Sunn¯ıs.
Sh¯ıE¯ısm this love focuses on the ahl al-bayt (the family of the
More importantly, the great majority of Sunn¯ıs who accept
Prophet; literally, “the people of the house”) especially the
the validity of the S:u¯f¯ı tradition accept EAli as the master of
Sh¯ıE¯ı ima¯ms. The first ima¯m, EAl¯ı ibn Ab¯ı T:a¯lib,
the esoteric sciences. He is venerated as Sha¯h-i Awliya¯ D (King
Muh:ammad’s cousin and son-in-law, is especially venerated.
of the Saints). Within the S:u¯f¯ı traditions, devotional alle-
He is identified as Mushkil Kusha, the remover of obstacles.
giance extends to include the various awliya¯ D (sing. wal¯ı;
It is not uncommon in Asia for Muslims—Sunn¯ıs as well as
saints) of the Islamic mystical traditions. Like the Prophet,
Sh¯ıEah—to say “Ya EAl¯ı Madad” (“Oh EAl¯ı, help me”) when
they are simultaneously models of behavior and objects of
attempting a difficult task. Not only is the tomb of EAl¯ı in
devotion; and, as with the Prophet, people seek their inter-
Najaf in Iraq a center of pilgrimage, but his purported tomb
cession. Within the worldview of Sufism it is believed that
in Maza¯r-I Shar¯ıf in southern Afghanistan is also a major pil-
the awliya¯ D, who trace their spiritual lineage back to the
grimage site for Muslims.
Prophet through a chain of spiritual transmission, have
The Prophet’s grandson, Ima¯m H:usayn, also has a
achieved a state of annihilation in God. For those who prac-
major role in Sh¯ıE¯ı devotional life. As the martyr of Karbala¯D,
tice it, devotion to the awliya¯ D is intimately connected to no-
killed by the Caliph Yaz¯ıd on the tenth of the lunar month
tions of tawh:¯ıd and nubu¯wah.
of Muh:arram, he has a special place in the hearts of Sh¯ıE¯ı
Devotion to S:u¯f¯ı saints takes a variety of forms. Some
Muslims. While the Sh¯ıEah believe that all the ima¯ms share
people visit living saints to formally become their disciples
in the same spiritual light, Ima¯m H:usayn was the last of the
(mur¯ıds) on the S:u¯f¯ı path (t:ar¯ıqah). Those on this path prac-
immediate ahl al-bayt who lived with the Prophet in Medina.
tice specific devotional exercises. Chief among these is dhikr,
This immediate family—consisting of Muh:ammad, his
which involves the individual or collective repetition of the
daughter Fa¯t:imah, her husband EAl¯ı, and their two children,
names of God in order to produce an altered state of con-
H:asan and H:usayn—are often represented iconographically
sciousness called h:a¯l or wajd. But many people visit the
by the image of a five-fingered hand. In South Asia these five
awliya¯ D simply to seek their blessing or to request some mate-
persons are venerated as “the five pure ones” (panjatan pa¯k).
rial benefit, such as the birth of sons, better jobs, or successful
As the final surviving grandson of the Prophet, H:usayn’s
marriages.
murder is an axial event and has deep spiritual significance.
More common than visitation to living spiritual masters
During the first ten days of Muh:arram, Sh¯ıE¯ı Muslims
is pilgrimage (ziya¯rat) to the tombs of deceased awliya¯ D. The
enter into a state of ritual mourning. People dress in black
gravesites of important S:u¯f¯ıs have, over time, become the lo-
and recite mournful poetry. They also gather in mourning
cations of major tomb complexes. Such ziya¯rats are found in
assemblies to hear the retelling of the story of Karbala¯D. It is
nearly every corner of the Islamic world. The tombs of such
commonly believed that Fa¯t:imah attends these assemblies
major figures as Ah:mad Yasav¯ı in Central Asia, Ah:mad
and gathers the tears of the mourners to present them before
al-Badaw¯ı in North Africa, MuE¯ın al-D¯ın Chisht¯ı in India,
God on the Day of Judgment. The day of EA¯shu¯ra¯D on the
and Jala¯l al-D¯ın Ru¯m¯ı in Anatolia are not only local but re-
tenth of Muh:arram is a particularly fervent day of devotional
gional and even international centers of pilgrimage. It is
activity, when the community gathers to mourn and share
commonly believed that, like the Prophet, the awliya¯ D con-
food.
tinue to exist as spiritual presences at their tombs. As with
The precise nature of mourning for Ima¯m H:usayn var-
visits to living awliya¯ D, pilgrims come to seek both spiritual
ies from region to region. In Iran there are stylized ta‘ziyah
and material blessings. Pilgrims may make vows in connec-
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9820
WORSHIP AND DEVOTIONAL LIFE: HINDU DEVOTIONAL LIFE
tion with their requests, which they later fulfill by perform-
Schimmel, Annemarie. Mystical Dimensions of Islam. Chapel Hill,
ing pious action. S:u¯f¯ı shrines have thus become centers for
N.C., 1975. Excellent overview of the S:u¯f¯ı tradition.
the feeding of the poor, as pilgrims often fulfill their vows
Schimmel, Annemarie. And Muhammad Is His Messenger: The
by feeding the less fortunate.
Veneration of the Prophet in Islamic Piety. Chapel Hill, N.C.,
There is a general air of piety and devotion within the
1985. Rich source on the role the Prophet in Muslim devo-
tional life.
precincts of a S:u¯f¯ı tomb. The awliya¯D are the true rulers of
this world, and one approaches them as one does a monarch,
Schubel, Vernon James. Religious Performance in Contemporary
with humility and respect. There is thus a proper etiquette
Islam: Shi Ei Devotional Rituals in South Asia. Columbia, S.C.,
(adab) for interacting with the awliya¯ D, whether as living
1993. Provides a detailed account of Muh:arram rituals in
South Asia in the larger context of Sh¯ıE¯ı piety. Includes a
masters or at their tombs.
lengthy explanation of the concept of the piety of devotional
In many parts of the world the death or birth anniversa-
allegiance.
ry of the awliya¯ D is celebrated with religious festivals that at
VERNON JAMES SCHUBEL (2005)
first glance may seem to conflict with the piety inherent in
ziya¯rat. In South Asia, for example, these celebrations, called
Eurs, include fairs (melas) and carnival attractions, as well as
pious devotions. Not surprisingly, aspects of these manifesta-
WORSHIP AND DEVOTIONAL LIFE: HINDU
tions of the piety of devotional allegiance are frequently at-
DEVOTIONAL LIFE
tacked by Muslim reformers, who see in them, at the very
Although there is great variety in the forms of devotional life
least, a form of popular innovation, and at the worst a kind
in Hinduism, some common themes may be identified that
of shirk that violates tawh:¯ıd. Defenders of these traditions,
characterize the general religious impulse behind their vari-
however, have argued that those who take part in these popu-
ety. One important theme is that of ritual enhancement: De-
lar expressions of piety are ultimately expressing their devo-
votional practice aims at sustaining or improving the circum-
tion to God and his Prophet. As such, their actions are with-
stances of the worshiper. These aims may be immediate and
in the proper purview of Islamic piety.
practical, such as the healing of disease, avoidance of the de-
structive influences of malevolent forces, fertility of crops,
SEE ALSO Attributes of God, article on Islamic Concepts;
animals, and persons, and maintenance of family solidarity;
Dhikr; God, article on God in Islam; Islamic Religious
or they may be more soteriological in character, such as the
Year; KaEbah; Pilgrimage, article on Muslim Pilgrimage;
pursuit of liberation (moks:a) from the bondage of rebirth. In
S:awm; Shaha¯dah.
this way, devotional life may be seen as a series of elaborate
B
strategies for the enhancement of an individual’s or group’s
IBLIOGRAPHY
Calverley, Edwin Eliot, trans. and ed. Worship in Islam (1925). 2d
situation as defined in terms of both worldly and transcen-
ed. London, 1957. Reprint, Westport, Conn., 1981. Trans-
dent goals.
lation of the Book of Worship from the great Sunn¯ı scholar
A second theme centers on the ordering function of de-
and proponent of Sufism al-Ghazza¯l¯ı’s Ih:ya D Eulu¯m al-d¯ın,
votional life. Ceremonies frequently require the creation
an important book dealing with the esoteric dimension of
E
and/or maintenance of conditions of ritual purity. This puri-
iba¯dah. Al-Ghazza¯l¯ı’s book has been widely translated and
ty may be temporary, brought about through bathing, clean-
remains popular in the Muslim world.
ing, and providing substances deemed pure and religiously
Cragg, Kenneth, and R. Marston Speight, eds. Islam from Within:
efficacious for the various rites, or it may be of a more perma-
Anthology of a Religion. Belmont, Calif., 1980. A useful an-
thology of Islamic sources containing a variety of important
nent sort, such as the employment of members of castes, es-
texts on devotion and worship.
pecially in their roles as priests, who are deemed sufficiently
Currie, P. M. The Shrine and Cult of Mu E¯ın al-D¯ın Chisht¯ı of
pure within the caste hierarchy to make their participation
Ajmer. Delhi, 1989. This book provides fascinating insight
in devotional performances ritually effective.
into the role of the awliya¯ D and pilgrimage to their tombs in
A third theme is that of negotiation or exchange, in
Islamic piety.
which devotional performances become occasions for giving
Denny, Frederick Mathewsen. An Introduction to Islam. 2d ed.
human resources of food, gifts, and devotion to supernatural
New York, 1994. Although this is a textbook it provides de-
entities and powers in exchange for human well-being, which
tailed and accurate descriptions of Eiba¯dah.
is understood to flow from those persons and powers as a
Hodgson, Marshall G. S. The Venture of Islam: Conscience and
consequence of the rite. While this negotiation process may
History in a World Civilization, vol. 1, The Classical Age of
have as its goal the pursuit of order and the existential en-
Islam. Chicago, 1974. The chapters “The SharEi Islamic Vi-
hancement of the worshiper, it may also involve episodes that
sion” and “Muslim Personal Piety” are still among the best
commentaries on Muslim piety.
are chaotic and/or playful.
Kassam, Tazim R. Songs of Wisdom and Circles of Dance: An An-
The major forms of devotional practice in the Hindu
thology of Hymns by the Satpanth Isma¯ E¯ıl¯ı Muslim Saint, Pir
tradition include sacrifice (yajña); ceremonies for the ances-
Shams. Albany, N.Y., 1995.
tors (´sra¯ddha); life cycle rituals (sam:ska¯ra); meditational or
Peters, F. E. The Hajj. Reprint, Princeton, N.J., 1995.
ascetic practices (tapas); worship of deities (pu¯ja¯); pilgrimage
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WORSHIP AND DEVOTIONAL LIFE: HINDU DEVOTIONAL LIFE
9821
(ya¯tra); personal vows (vrata); festivals and fairs (utsava,
they did not seek to confer release from the world (moks:a)
mela¯); sacred calendars (pañca¯n˙ga); and religious healing or
but to sustain it in its optimal form. The sacrifice, with its
exorcism (cikitsa¯). Some of these devotional practices have
fire at the center, served as the axis around which the cosmos,
ancient textual warrants for their authority that date back to
containing all that moves and does not move, journeyed
the period of the Vedas and that are perpetuated by members
through time and space. Since the Vedic period these rites
of the traditional priestly castes, especially brahmans. Others
have undergone gradual eclipse, and in the present day they
are preserved in oral tradition among castes and communities
are performed only occasionally by groups of brahmans who
further removed from the ritual texts and practices of the tra-
raise the funds for their performance through contributions.
ditional religious elite groups. In both cases, these devotional
Following similar patterns resting on the same religious
traditions rest on the assumptions of their participants that
beliefs and assumptions, the domestic (gr:hya) rituals articu-
they possess long-standing authority and efficacy.
lated the religious concerns of people rooted in the world of
SACRIFICE. As both the Vedas and the Brahmanas, books of
family and kingdom. The head of the household served as
ritual instruction and commentary, attest, sacrifice (yajña) is
the patron or sacrificer before the household fire by offering
among the earliest forms of devotional life. The sacrifices are
butter and grain cakes variously directed at the gods, ances-
distinguished in the later literature between those performed
tors, all beings, sages, and humans, all of whom often appear
in temporarily constructed enclosures or in the open air for
in the guise of guests and beggars. These rites, along with the
larger communities (the ´srauta, lit. “solemn,” rites) and those
life-cycle rituals (sam:ska¯ras), continue to be performed by
that are restricted to individual households and are per-
traditionalist brahmans. In addition, the Vedic tradition of
formed indoors. At the center of Vedic sacrifice is the use of
sacrifice has had a profound influence over other forms of
fire and the ritual transformation of the patron or sacrificer
devotional life beyond the boundaries of Brahmanical prac-
(yajama¯n:a), who is given rebirth through the sacrifice into
tice, from temple worship to popular fairs and festivals.
the world of the gods. Fire is personified as the god Agni,
ANCESTOR RITUALS. The S´ra¯ddha rites, or ceremonies per-
who mediates between the worlds of gods and humans and
formed for the dead, begin at the conclusion of the corpse’s
who is associated with the warmth of the world and its crea-
cremation. According to the textual traditions of the
tures. Priests who maintain sufficient purity act on behalf of
Gr:hyasu¯tras, which were contemporary with the Brahmanas,
the patron who sponsors the sacrifice and for whom the ben-
the rites should last for a year, although twelve days as a sym-
efits of the rite accrue. The Vedic ´srauta sacrifices frequently
bolic year is the more common pattern. These S´ra¯ddha rites
employed sixteen or seventeen brahmans in various special-
continue to be performed among brahmans and other castes
ized roles. The priests offered oblations of milk, butter,
traditionally understood to be “twice-born” and therefore el-
honey, grains, fruits, animals, water, and soma, the elixir of
igible for the benefits of Vedic rites and knowledge. After the
immortality (amr:ta), along with recitations of mantras. The
eldest son, serving as the sacrificer, has ignited the cremation
´srauta sacrifices included the Agnihotra, a relatively simple
fire and the body is consumed, a temporary ritual body
morning and evening series of offerings; the A´svamedha, in
(pin:d:a) fashioned from cooked rice is assembled over a peri-
which a horse roamed for a year to measure the boundaries
od of ten days. This body contains the ghost (preta) and
of the kingdom and then was captured and sacrificed to the
serves as a receptable for subsequent offerings, thus enabling
gods for the protection and well-being of the kingdom; the
the deceased to be nourished on the long journey to join the
Ra¯jasu¯ya, which consecrated the king by putting him
ancestors in the divine world. On the final day the assembled
through a ritual rebirth that included the rebirth of the cos-
body is cut into three pieces and merged with pin:d:as repre-
mos; and the Agnicayana, which reinvigorated the cosmos
senting the deceased’s father, grandfather, and great-
by constructing an altar of fire, feeding the gods offerings of
grandfather dwelling in the earth, atmosphere, and heavens,
divine drink, and providing a voice for divine speech through
respectively. These rites establish the deceased harmoniously
the sustained recitation of sacred formulas.
within their appropriate worlds and prevent them from be-
Usually a king or tribal leader served as the sponsor of
coming hungry and haunting their living descendants. In
such sacrifices on behalf of his clan and the world as a whole.
this way the ceremony honors and serves the needs of the an-
In this way, the sacrifice had as a specific goal the enhance-
cestors, seeks their influence within the world of the dead for
ment of a particular individual and as a general goal, univer-
the benefit of the living, and protects the living community
sal enhancement. The fire served as the symbol connecting
from potential peril wrought by ancestors insufficiently sus-
personal, political, cosmological, and metaphysical under-
tained in their respective worlds.
standings of the world through its capacity to serve as ele-
Other ceremonies, performed on the new-moon day of
ment, deity, animating power in all beings, and receptacle
each month, provide ritual veneration of the ancestors as part
of offerings. These offerings usually involved the blood sacri-
of the regular rhythms of the religious calendar. In these rites
fice of animals and the brewing of soma, a beverage having
a brahman—and in some parts of India, a crow—represents
hallucinogenic properties and believed to contain immortal-
the ancestor and receives offerings of pindas, water, and sesa-
izing power much desired by the gods. The aim of the ´srauta
me seeds from his descendants. Annually the descendants
rites was to reestablish or maintain the welfare of the uni-
journey to sacred sites and rivers to have pinda ceremonies
verse. They provided food, long life, sons, cattle, and power;
performed.
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WORSHIP AND DEVOTIONAL LIFE: HINDU DEVOTIONAL LIFE
LIFE-CYCLE RITES. The literal meaning of sam:ska¯ra is “re-
for achieving power and therefore had no inherently moral
fined” or “well-accomplished,” and thus the sam:ska¯ras, or
quality; it became a means by which one might appropriate
life-cycle rites, are directed at the ritual perfection or conse-
the creative heat that animates the Vedic fire and thereby di-
cration of an individual at various moments in life. The tra-
rect its power toward one’s own ends. In the epic and Pura-
ditional number of these rites varies with different texts and
nic traditions, gods and demons alike make use of ascetic
performance traditions, most of them having from twelve to
practice in order to overpower or resist their opponents. As
sixteen rituals that might be performed throughout a per-
the internalization of the creative heat of the cosmos, tapas
son’s life. These include rites for auspicious conception, the
came to be recognized by virtually every religious and philo-
birth of a son, safe delivery, birth (Ja¯takarman), naming the
sophical tradition in South Asia as a valuable or necessary
child, first solid food, first haircut, initiation into learning
component in the pursuit of both proximate and ultimate
the Vedas (Upanayana), and first hearing of the sacred
religious goals. The Bhagavadg¯ıta¯ classifies tapas according
Gayatr¯ı mantra—thus marking the transition into the first
to its uses or goals; it recognizes the purpose of release from
of the four life stages (asra¯mas), namely, studentship (brah-
rebirth, which it considers to be a “pure” goal; the purpose
macarya). The marriage rite (Viva¯ha) marks the onset of the
of obtaining supernatural powers; and the purpose of in-
second stage, that of the householder (gr:hastha). Sam:ska¯ra
creasing one’s enjoyment of worldly pleasures. These three
performance calls for fire, offerings, and brahmans to receive
goals are classified as sattva (“luminosity”), rajas (“energy”),
the offerings that remain after the gods and ancestors have
and tamas (“inertia”), respectively.
been honored.
The traditions of tapas that have been most systemati-
Although today only a relatively few groups of brah-
cally formulated are those of raja¯yoga, that is, the classical sys-
mans maintain the yajña traditions, the larger patterns of
tem of Yoga as taught by Patañjali; the controlling of bodily
Vedic sacrifice have continued to shape later devotional life.
and mental states, or hat:hayoga; and the use of complex visu-
The sacrifice’s concern for achieving ultimate conceptual
al and aural symbolization drawing upon sexual and ritual
order and performative effectiveness found new voice in the
imagery in order to achieve powerful and highly desirable re-
speculative and ascetic traditions making use of a number of
ligious experiences, or Tantra. As a form of tapas, Yoga draws
meditative techniques, the best-known of which is yoga. The
upon ancient traditions of South and Central Asian shaman-
concern for the constituency of the ancestors continued to
ism in which trances were induced through strict regulation
be articulated in the S´ra¯ddha rites, in which descendants
of diet, breathing, bodily movement, and autosuggestion in
construct new and purified bodies for the dead. The worship
order to ascend into ecstatic states. During the Upanis:adic
of the gods, which is not emphasized in yoga and S´ra¯ddha
period (c. 800 BCE–200 CE) there emerged further systematic
practices, becomes highly developed in the tradition of pu¯ja¯,
formulations that classified bodily and mental states in a fine-
which makes use of permanent or disposable images of gods
ly distinguished hierarchy leading to moks:a (release from re-
and goddesses.
birth) as its ultimate goal. One of the most important of
these various meditational traditions found precise articula-
ASCETIC AND MEDITATIONAL PRACTICES. The practice of
tion by Patañjali in his Yoga Su¯tra, written probably during
sacrifice in ancient India yielded a tradition of speculation
the Gupta period (320–540 CE), with important later com-
on the sources and meanings of the sacrifice itself. The ritual
mentaries such as the sixteenth-century Yogava¯rttika of
commentaries (Bra¯hman:as) invited meditations on the ho-
Vijña¯nabhiks:u. The social contexts of yogic devotional prac-
mologies between elements of the sacrifice and those of the
tice were small communities of ascetics assembled around a
cosmos and the individual in order to identify that which lay
guru (“teacher”) who was highly regarded for his skills in the
at the source of all reality. Knowledge paralleled ritual exacti-
practice and for personal religious charisma. This classical
tude as a source of power to participate in and even transcend
formulation of Yoga remained largely compatible with Brah-
profane time and space. The practice of asceticism (tapas)
manical orthodoxy and orthopraxis.
provided the moral, physical, psychological, and intellectual
environment in which the one who knows the inner mean-
The practice of asceticism found particular favor among
ings of the sacrifice might achieve proximate or ultimate reli-
sectarian devotees of S´iva, the mythological embodiment of
gious transformation.
ascetic power. This tradition combined the classical with the
more esoteric and eroticized practices and postures of the
Ascetic and meditational practice is probably the most
non-Vedic traditions of Tantra.
ancient Hindu religious practice. Evidence from images and
cylinder seals from the Indus Valley of the third millennium
Unlike the ascetic traditions of Brahmanic culture,
BCE suggests that ascetic practices were part of this pre-Vedic
which held sensory experience suspect and emphasized celi-
culture. As speculation about the homologies between the
bacy and the restraint of erotic impulses, Tantric practice
sacrifice and the yajama¯n:a (patron or sacrificer) grew during
pursued the senses by integrating erotic desire into ascetic
the late Vedic and Brahmanic periods, the fire of the sacrifice
transcendence. Building on the techniques of hat:hayoga, the
became identified with the bodily warmth produced during
va¯mamarga, or “left-path”—indicating deviation from the
prolonged periods of meditation. As an acquired skill result-
“right-path,” or Brahmanic orthopraxis—provides for prac-
ing from intense practice, tapas was principally a technique
titioners to become initiated into “circles” (cakras) in which
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WORSHIP AND DEVOTIONAL LIFE: HINDU DEVOTIONAL LIFE
9823
males identify with S´iva and females with S´akti, his consort.
member of the household for a period of time and is then
While Vedic and Tantric mantras are chanted the adept
taken to a nearby river, temple tank, or ocean to be im-
heightens his or her sense experience by consuming Cannabis
mersed, thereby dissolving back into its primal elements.
sativa followed by fish, meat, aphrodisiacs, and liquor, and
Similar patterns of hospitality and praise may be seen
by engaging in sexual union with the consort. The female
in pu¯ja¯s performed in temples. The temple traditions rely
practitioners, called ´saktis, imitate the active role of the God-
heavily on the images and mythologies of divine kingship:
dess in the cosmos by initiating sexual union with the males
The deity is the king or queen of the universe and the shrine
who take the role of S´iva. By a highly stylized process the
is his or her palace. The temple images are periodically en-
male adept simultaneously retrains his mind, his breath, and
throned and taken in procession around the ritual bounda-
the flow of his semen. The intensity of these forms of control
ries of the kingdom, where they are seen and adored by mul-
is understood to pull up the animating power of the universe
titudes of worshipers. The priests perform the duties
(kun:d:alin¯ı) through the physical body into the subtle body
associated with pu¯ja¯ in both large public settings and small
and finally to merge with the S´iva-S´akti principles at the cen-
private ones for client worshipers.
ter of the cosmos. This experience is believed to result in a
quick, though potentially quite dangerous, path to moks:a.
Central to the religious appeal of pu¯ja¯ for many Hindus
is the experience of dar´sana (“auspicious seeing”). When an
Tantric practice and imagery inspired much of India’s
image of a deity is prepared and placed on view in the home
erotic art, much of which is founded on the iconography of
or temple, appropriately honored and attired in festive cos-
S´iva’s ithyphallic emblem (lin˙ga) located in the center
tume, the deity makes himself or herself available to be seen
of S´akti’s “seat” or “vulva” (p¯ıt:ha¯). By reversing the logic of
by worshipers. The deity “sees” them and extends his or her
orthoprax asceticism, which stressed renunciation of sensual-
grace to them, tangibly in the form of prasa¯da, the sacred
ity as the means of overcoming attachment to the world and
food that, having been offered to the god or goddess and thus
its consequences for karman and suffering, Tantra exploited
become sanctified by its proximity to the deity, is now re-
sensual experience and placed the practitioner in the midst
turned to the worshiper. At the same time, the deity is “seen”
of heightened sensuality, using its power for mystical ends.
by the worshiper, thereby establishing a visual and personal
This radical reinterpretation of the traditions of tapas never
moment of mutual religious contact.
won favor in the Brahmanical tradition, but remained a mar-
ginal movement. It did, however, influence temple devotion-
PILGRIMAGE. As with many other religious traditions, Hin-
al life, especially in South India.
duism has long valued visits to sacred places. These places
are frequently associated with geographical features such as
WORSHIP OF DEITIES. Derived from the Sanskrit root mean-
rivers (Gangotri, Allahabad, Banaras), places marking land’s
ing “honor” or “worship,” pu¯ja¯ involves the ritual offerings
end (Kanya Kuma¯r¯ı, Rame´svaram, Dvarka¯), and mountains
of foods, service, and gestures of respect usually bestowed
(Ba¯drina¯th). Other shrines derive their sanctity from the dei-
upon deities in their iconic forms. As a devotional tradition,
ties who reside there, for example, Vis:n:u at Puri and Tirupa-
pu¯ja¯ appears to have emerged during the late Brahmanic pe-
ti, Kr:s:n:a at Vrnda¯vana, S´iva at Ujjain and Na¯sik, the God-
riod from the practice of honoring brahmans during their
dess at Ka¯makhya, Madurai, and Ka¯lighat:. Some pilgrimage
visits to the home. The practice then became amalgamated
centers have appeal throughout the subcontinent, drawing
into later bhakti, or devotional Hinduism, through its classi-
pilgrims from upper classes and providing religious merit for
cal textual formulation from the sixth century onward in rit-
those who journey the distance to receive the dar´sana of the
ual sections of the Puranas. Today, pu¯ja¯ is one of the most
deity enshrined there. Other centers are more regional, or
pervasive forms of Hindu worship, and is observed with vary-
local; they serve pilgrims from the more immediate areas and
ing degrees of complexity by most Hindus. The enduring
may have large constituencies from particular castes and
popularity of pu¯ja¯ as a devotional undertaking may be in part
groups of castes. The pan-Indian shrines are generally the
its ability to combine elements of Vedic practice with popu-
centers for the “high gods and goddesses” of the Hindu pan-
lar religious sentiment.
theon who are celebrated in the Sanskrit lore of the epics and
Pura¯n:as, whereas the regional and local shrines house deities
Pu¯ja¯s vary widely in ritual complexity, from simple of-
whose lore is carried more commonly through oral and non-
ferings of sips of water, flowers, food, the recitation of man-
Sanskritic literary sources; these regional deities are, however,
tras, the singing of devotional songs (a¯rat¯ıs, k¯ırtanas), and
frequently associated with one of the “high gods.” Pilgrim-
the waving of lighted camphor before the image, to extended
ages (ya¯tra) may be made at any time, but those undertaken
ritual episodes that draw on Vedic texts involving offering
in conjunction with sacred times in the religious year are un-
hospitality, invocations, bathing and dressing the image, and
derstood to be particularly efficacious.
offering many kinds of foods, flowers, and leaves. The image
of the deity is frequently made of perishable materials such
Pilgrims make the often arduous journey to shrines for
as clay or wood, and may be brought ceremoniously into the
many reasons: in order to honor the deity who lives there,
home. It is placed in a part of the household set aside for the
to bring offerings, to celebrate the magnificent and heroic
deity’s residence and then ritually enlivened by establishing
deeds performed there as told in the sacred lore of the shrine,
in it vital breath (pra¯n:apratis:t:ha¯). There it dwells as a living
to receive the deity’s grace through the experience of dar´sana,
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9824
WORSHIP AND DEVOTIONAL LIFE: HINDU DEVOTIONAL LIFE
or “beholding,” to gain personal religious merit, to derive
travel from place to place. It is the time when the various
specific benefits such as healing or the expiation of past mis-
mendicants cease their pilgrimages and settle in shrines and
deeds, or to enhance their personal status in their home com-
hermitages for the rainy season to observe Ca¯turma¯sya, or the
munities when they return. Pilgrims often visit shrines as
“four-month” retreat. This period has its mythical parallel in
part of the performance of a vow (vrata) in which the pil-
Vis:n:u’s cosmic sleep. The full-moon night of the month of
grimage becomes a gesture of gratitude given in exchange for
A¯´sa¯dha (June-July) is called Guru Pu¯rn:ima¯ and is the time
benefits bestowed by the deity. Pilgrimages also serve as occa-
when Hindus pay homage to their religious teachers.
sions in which Hindus temporarily move out of the hierar-
chical structures of home and village and enter into a more
With the conclusion of the rainy season, festival life in-
amorphous realm in which the pilgrims encounter one an-
creases in intensity through the relatively cool and dry
other as parts of a single generic religious community with
months that follow. The months of S´ra¯van:a (July–August)
the shrine as its symbolic center. Finally, pilgrimages to
and Bha¯drapada (August–September) are filled with reli-
shrines serve as occasions for religious educations and micro-
gious fairs (mela¯s) held at shrines and temples, where the im-
cosms of the religious life; they are journeys, at once personal
ages of the deities are displayed for worshipers to receive their
and collective, through auspicious temporal and spatial con-
dar´sana (auspicious viewing). Mela¯s are also recreational and
texts that enhance the devotees’ religious appropriation of
commercial occasions for merchants and traders to set up
their lives.
temporary booths and sell their wares. An important festival
during the waxing fortnight of the month of S´ra¯van:a is Na¯ga
VOWS. A vrata, or vow, is a ritual practice undertaken for
Pañcam¯ı (“serpent’s fifth”), because it falls on the fifth night
a specific length of time in order to achieve a particular goal.
of the fortnight. Snakes are particularly dangerous during the
It is usually undertaken by an individual and may include
rainy season because the flooding forces them out of the sub-
various forms of renunciation, such as fasting, celibacy, and
terranean holes in which they had taken refuge during the
an increased intensity of religious awareness that usually
preceding hot, dry months. Although especially associated
takes the form of reciting stories (katha¯). A vrata katha¯ (“vow
with S´iva, the veneration and propitiation of the serpent is
story”) can be either ancient or contemporary, and its pur-
acknowledged by Hindus from many different ranks. The
pose is to disclose the origin of the vow and its efficacy. As
full moon of the month of S´ra¯van:a is the occasion for the
a form of devotional practice, vrata is more commonly ob-
honoring of brothers and sisters in the celebration of Raks:a¯
served by women, and is often directed toward goddesses.
Bandhana (“tying the amulet”), in which sisters tie elaborate-
The aims to be achieved through their observance of vratas
ly decorated wrist-ornaments on their brothers.
are often quite immediate and pragmatic: the birth of chil-
dren, particularly sons; success in business and on examina-
The goddess Gaur¯ı and the gods Gan:e´sa and Kr:s:n:a are
tions; abundant harvests; healing of illness; return of an er-
celebrated during the month of Bha¯drapada (August–
rant spouse; and so forth. The vrata involves a basic exchange
September), followed in the fall season by the month of
in which the devotee demonstrates her (or his) heightened
A¯´svina (September–October) with the rituals of remem-
religious devotion and faith which the deity receives as a gift
brance of the ancestors (Pitr: Paks:a) in which the annual
and in which she or he delights. In return, if the deity is satis-
Vedic ´sra¯ddha ceremonies are performed. This is followed
fied that the vow was pure in its intent and execution, she
by the second Navara¯tri, or nine-night worship of the God-
or he rewards the devotee according to the request made in
dess, called Durga¯ Pu¯ja¯. Ra¯ma is worshiped with sacred dra-
the vow. In this way the tradition of vrata makes use of the
mas and processions celebrating his victory over the demon
Hindu renunciatory impulse in order to contribute to the
Ra¯van:a. During the following month of Ka¯rtika (October-
maintanence and enhancement of the everyday world.
November), the popular festival of D¯ıva¯l¯ı, a Vais:n:ava cele-
bration particularly popular among merchant castes, marks
FAIRS AND FESTIVALS. Just as nature passes through seasons
another year’s return of Laks:m¯ı, the goddess of wealth and
of cold weather, heat, and the rains, Hindu religious life pass-
good fortune. It is a time of housecleaning and refurbishing,
es through seasons marked by various collective religious ob-
the purchase of new clothing and cooking pots, and general
servances. Each deity has his or her own month or season.
renewal of life. It is a highly auspicious time in the Hindu
Which festivals are observed is shaped in some measure by
year, and Hindus, especially in the north, celebrate it with
caste and sectarian affiliation. In North India, for example,
great enthusiasm.
the religious year begins in the month of Caitra (March–
April), with the first festival being Navara¯tri, or “Nine
The cold season lasts through the months of Ma¯rgas¯ırs:a,
Nights,” in honor of the Goddess. As the hot season ap-
Pau´sa, and Ma¯gha, and brings about a decrease in the
proaches the festival life takes on a more austere and ascetic
rhythm of fair and festival activity. The sun is worshiped es-
character. It is the season for honoring the goddess S´¯ıtala¯,
pecially during this season, and it is a good time for Hindus
the bringer of fever diseases. Her images are cooled with
to undertake pilgrimages to near or distant shrines. As the
water in an effort to prevent her (and the cosmos she em-
weather begins to warm again during the months of
bodies) from becoming overheated and thus conveying fever
Pha¯lguna (February–March) and Caitra (March–April) the
to worshipers. The monsoon, occurring during the months
major celebration is Ma¯ha´sivara¯tr¯ı (“great night of S´iva”),
of A¯´sa¯dha (June–July) and S´ra¯van:a (July–August), disrupts
the principal festival in honor of the god S´iva. Kr:s:n:a, the
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WORSHIP AND DEVOTIONAL LIFE: HINDU DEVOTIONAL LIFE
9825
erotic cowherd, is celebrated with the dionysian festival of
already carries with it certain identifiable—and to some ex-
Hol¯ı in which devotees dance, play pranks, and douse one
tent predictable—powers, the moment of one’s birth serves
another with colored water. Although the new year does not
to define or characterize one’s character and destiny. Astro-
actually begin for another fortnight, Hol¯ı serves as the event
logical information regarding the precise time of one’s birth
of chaotic renewal that marks the end of the old year and be-
carries considerable weight in arranging marriages, and it is
gins the new year with appropriate exuberance.
commonplace for the horoscopes of prospective brides and
grooms to be scrutinized to determine if the potential mar-
As classified and prescribed by the sacred calendar, the
riage carries sufficient auspicious powers to ensure its success
Hindu year provides a temporal structure for an array of reli-
and its capacity to enhance the lives of others in the extended
gious moods and activities to take place. As one moves
family. In cases where the astrological signs may be inauspi-
through the days and weeks of the year, various occasions—
cious, avoidance or compensatory ritual undertakings may
both solemn and raucous—affirm the many gods, goddesses,
be recommended by astrological specialists.
ancestors, and auspicious as well as inauspicious powers. As
a totality of time, the religious calendar provides an eternal
RELIGIOUS HEALING AND EXORCISM. The Hindu cosmos is
architecture through which time as the experience of irrevers-
a complex structure of interacting, and at times competing,
ible duration may pass. Every year is new and different from
powers with which (or whom) Hindus must align themselves
the last, yet through the observances of sacred festivals and
to their maximum advantage through devotional actions that
fairs each year is a repetition of the enduring and paradigmat-
generate personal and collective enhancement. This en-
ic forms of religious experience and community life.
hancement is frequently represented through imagery and
ritual strategies having to do with purity, renunciation, and
SACRED CALENDARS. The Hindu sacred calendar is called
propitiation. The pursuit of these forms of enhancement
the Pañca¯n˙ga (“five limbs”). It contains the temporal struc-
shape particular ritual actions, diets, and social associations.
ture of opportunities for religious enhancement by identify-
Nevertheless, even when these efforts are undertaken, but es-
ing those segments of time that are appropriate for various
pecially if they are neglected or held in contempt, individuals
undertakings, whether they be moments of auspicious power
can fall prey to malevolent forces. These malevolent forces
or moments of danger. The Hindu year is based on the
take the forms of “hungry ghosts”—those spirits who are
twelve lunar months, which are slightly shorter than the solar
trapped in the interstitial realm between the living and the
months of the Western calendar. Each month is made up of
dead—witches, demons, and sometimes deities (such as
two fifteen-day fortnights (paks:as, “wings”). The first is the
S´¯ıtala, the goddess of smallpox) who themselves have been
waning or dark (kr:s:n:a) fortnight moving toward the new
victims of misfortune. They tend to inhabit territories of
moon night (ama¯va¯sya¯); the second is the waxing or bright
maximal pollution such as graveyards and cremation
(´sukla) fortnight, which culminates in the full moon night
grounds, places where violent and untimely deaths have
(pu¯rn:ima¯). Each day of the month is thus described by its
taken place, or in marginal areas, such as forests, at the edge
place in fortnight (e.g., “the fourth day in the bright fort-
of the inhabited worlds. They appear under cover of dark-
night”). Days occurring during the bright half of the month
ness, frequently attacking their victims in dreams. Diseases,
are generally regarded as inherently auspicious, because time,
particularly diseases of a psychosomatic or psychological
like the moon, is moving toward fulfillment; days occurring
character for which precise empirical diagnosis is lacking, are
during the dark or waning half of the month tend to be asso-
often understood to be the result of the malevolent interven-
ciated with danger and inauspiciousness and often call for
tion of one of these spirits, either out of the spirit’s own bad
more cautious behavior and an increase in asceticism. Be-
temper or as the consequence of a curse of a worldly
cause the lunar months are shorter than the solar, the calen-
opponent.
dar adds an extra month every two to three years to make
it coincide with the solar calendar.
Individuals are diagnosed as possessed by malevolent en-
tities if, in addition to physical symptoms such as fever, they
The lunar days and weeks move through cycles overseen
exhibit erratic behavior such as falling into trance and verbal-
by deities. For example, Sunday is ruled by the Sun (Ravi)
ly abusing members of their family. Certain exorcist-healers
and is therefore called Raviva¯ra; Monday is governed by the
are called upon to induce the evil spirit to come out. These
Moon (Soma) and is called Somava¯ra; Tuesday is overseen
healers, frequently from low-caste or tribal communities, are
by Mars (Man˙gala) and is known as Mangalava¯ra; Wednes-
recruited on the basis of their personal charisma and their
day, ruled by Mercury (Budha), is called Budhava¯ra; Thurs-
knowledge of and fearlessness within the territory of the de-
day, ruled by Jupiter (Br:haspati), is called Br:haspativa¯ra; Fri-
monic. They bring a specialized knowledge of mantras and
day, ruled by Venus (S´ukra), is called S´ukrava¯ra; and
medicines to the treatment of their clients or patients. Often
Saturday, ruled by Saturn (S´ani), is called S´aniva¯ra. The
the exorcist goes into shamanic trance and takes onto himself
Pañca¯n˙ga details the auspicious and inauspicious powers in-
the voice and persona of the demon or argues with it in a
herent in each lunar day (tithi). This information is useful
way suggestive both of juridical proceedings and drama. The
to Hindus in planning new undertakings such as setting out
patient is frequently accompanied by members of his or her
on journeys, opening businesses, and, especially, performing
family, so that the diagnosis and treatment of the illness serve
weddings. Because time is not merely neutral duration but
to integrate into rather than isolate the patient from his or
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9826
WORSHIP AND DEVOTIONAL LIFE: BUDDHIST DEVOTIONAL LIFE IN SOUTHEAST ASIA
her family. In some cases, shamanic healers maintain regular
(Poona, 1941), and Jan Gonda’s Vis:n:uism and S´ivaism (Lon-
practices in or around religious shrines and pilgrimage cen-
don, 1970). Little systematic research has been done on
ters and serve clientele who come to the shrine for general
vrata, but a useful introduction may be found in Diana L.
religious merit and treatment for specific disorders.
Eck’s Banaras: City of Light (New York, 1982).
C
Discussions on Hindu pilgrimage may be found in Agehananda
ONCLUSION. While each of these general types of devotion-
Bharati’s “Pilgrimage in the Indian Tradition,” History of Re-
al practice has nearly infinite variations in textual tradition
ligions 3 (Summer 1963): 135–167, and Surinder M. Bhard-
and local custom, they all serve as structures for symbols, ac-
waj’s Hindu Places of Pilgrimage in India (Berkeley, Calif.,
tions, and understanding that help to locate Hindus in com-
1973). Festivals and fairs are best discussed in sources with
plex and at times conflicting worlds of meaning. The devo-
specific ethnographic focus. Two good books are Lawrence
tional practices of Hinduism hold in common the goal of
A. Babb’s The Divine Hierarchy: Popular Hinduism in Cen-
moving individuals, groups, and the whole cosmos toward
tral India (New York, 1975) and Ákos Östör’s The Play of
conditions of greater well-being. This movement is always
the Gods (Chicago, 1980). Sacred calendars are discussed by
undertaken in the face of counter movements, symbolized
both Eck and Babb, in works cited above, and in Muriel
by particular forces such as demons or the more abstract for-
Marion Underhill’s The Hindu Religious Year (Calcutta,
mulations of cosmological entropy expressed in theories of
1921). Discussions of healing and exorcism may be found in
Sudhir Kakar’s Shamans, Mystics, and Doctors: A Psychological
the yugas or in the belief in the deterioration of wisdom, vir-
Inquiry into India and Its Healing Traditions (Boston, 1982).
tue, and well-being through the mere passing of time. Devo-
tional practices give Hindus something to do in the face of
New Sources
Bühnemann, Gudrun. Puja: A Study in Smrta Ritual. Vienna,
the desire for enhancement and the anxiety over its erosion
1988.
or nonattainment, something to do that brings them togeth-
Gold, Ann Grodzins. Fruitful Journeys: The Ways of Rajasthani Pil-
er as siblings, families, castes, communities, and as the whole
grims. Berkeley, 1988.
culture itself.
Rodrigues, Hillary. Ritual Worship of the Great Goddess: The Litur-
S
gy of the Durga Puja with Interpretations. Albany, N.Y., 2003.
EE ALSO Bengali Religions; Bhakti; Cakras; D¯ıva¯l¯ı; Do-
mestic Observances, article on Hindu Practices; Hat:hayoga;
Tachikawa, Musashi. Puja and Samskara. Delhi, 2001.
Hindi Religious Traditions; Hindu Religious Year; Hol¯ı;
van der Meij, Dick, ed. India and Beyond: Aspects of Literature,
Iconography, article on Hindu Iconography; Indian Reli-
Meaning, Ritual and Thought: Essays in Honour of Frits Staal.
gions, article on Rural Traditions; Kun:d:alin¯ı; Marathi Reli-
London; New York, 1997.
gions; Music, article on Music and Religion in India;
PAUL B. COURTRIGHT (1987)
Navara¯tri; Patañjali the Grammarian; Pilgrimage, article on
Revised Bibliography
Hindu Pilgrimage; Poetry, article on Indian Religious Poet-
ry; Pu¯ja¯, article on Hindu Pu¯ja¯; Rites of Passage, article on
Hindu Rites; Sam:nya¯sa; Tamil Religions; Tantrism, article
WORSHIP AND DEVOTIONAL LIFE:
on Hindu Tantrism; Tapas; Temple, article on Hindu
BUDDHIST DEVOTIONAL LIFE IN
Temples; Vedism and Brahmanism; Yoga.
SOUTHEAST ASIA
Mainland Southeast Asia comprises the modern countries of
BIBLIOGRAPHY
Thailand, Laos, Cambodia, Burma (Myanmar), and Viet-
Descriptions of Hindu devotional practices are scattered through-
nam, as well as parts of Malaysia and Yunnan province in
out the literature on Hinduism, but some sources distinguish
China. However, it is more useful to examine the Buddhism
themselves as places to begin in pursuit of further study. On
of the region in terms of language group or culture than of
Vedic sacrifice (yajña), see P. V. Kane’s History of Dharma-
these relatively recent nation-states. This Buddhism is in no
sastra, vol. 2 (Poona, 1941), pt. 1, chaps. 17–18, and pt. 2,
sense monolithic, and one may reasonably speak of “Bud-
chaps. 19–35, which provides detailed discussions of ritual
dhisms” of the Thai, Lanna Thai, Shan, Lao, Khmer, Mon,
procedures, although it may appeal less to nonspecialist read-
Arakanese, and Burmese. These Buddhisms are
ers. Agni: The Vedic Ritual of the Fire Altar, 2 vols., edited
by Fritz Staal (Berkeley, Calif., 1983), provides the fullest
“Therava¯din” in the sense that they are transmitted by mo-
textual and ethnographic documentation on traditions of
nastic orders that descend from Sri Lankan ordination lin-
Vedic ceremonialism in India today. On ancestor worship,
eages, and in the sense that these orders are custodians of a
see David M. Knipe’s “ S´apin:d:ikaran:a: The Hindu Rite of
foundational literature, the Pali canon. The use of Pali, the
Entry into Heaven,” in Religious Encounters with Death, ed-
classical Indic language of Therava¯da Buddhism, links the
ited by Frank E. Reynolds and Earl H. Waugh (University
Buddhisms of the region and gives them common access to
Park, Pa., 1977). A good treatment of Hindu life-cycle rites
the rich narrative and philosophical heritage of Sinhalese
can be found in Raj Bali Pandey’s Hindu Sam:ska¯ras, 2d rev.
Buddhism, to which they ultimately refer. But each Bud-
ed. (Delhi, 1969). For a discussion of asceticism in its ortho-
dhism also has its own Pali and vernacular compositions,
prax and Tantric forms, see Mircea Eliade’s Yoga: Immortali-
preserved in manuscript, inscription, and recitation, and in
ty and Freedom, 2d ed. (Princeton, N. J., 1969); Agehananda
its own practices and rites.
Bharati’s The Tantric Tradition (London, 1965); and Philip
Rawson’s The Art of Tantra (London, 1973). For a discus-
Until the late colonial period, “Therava¯da” was not the
sion of pu¯ja¯, see P. V. Kane’s History of Dhara´sa¯stra, vol. 2
marker of identity for either members of the order or lay fol-
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WORSHIP AND DEVOTIONAL LIFE: BUDDHIST DEVOTIONAL LIFE IN SOUTHEAST ASIA
9827
lowers. For them what we call Buddhism was the sa¯sana, the
And realized ultimate awakening:
teaching of the Buddha, and the system of ethics and mental
By virtue of these words of truth
culture that he instituted. Even the monastic ordination lin-
May all afflictions never be.
eages did not describe themselves as Therava¯din; instead they
The Buddha’s virtues are so many that he is ultimately be-
identified themselves with ethnic or geographic terms, such
yond praise. This idea is expressed in a Pali stanza included
as “Sinhala monks,” “Mon lineage,” or “Lanka lineage.” By
in old Thai liturgical manuscripts (Skilling, 1998):
the late nineteenth century, Therava¯da developed as a self-
conscious religion in the European sense of the term, and the
If a person had a thousand heads—
term is now a potent marker of identity in South and South-
Each head with a hundred mouths,
Each mouth with a hundred tongues— If he could live
east Asia and, increasingly, the West.
as long as an aeon
Devotion is essential to the Buddhisms of Southeast
And possessed great supernormal power:
Asia (as it is to all Buddhisms). In a certain sense the whole
He would still be unable to enumerate The virtues of
edifice of Buddhism rests upon devotion, insofar as devotion
the
Teacher in full.
is one of the primary driving forces of the ideology of merit,
which has produced much of the region’s material and spiri-
DEVOTION AND LITURGY. Devotion has produced a vast li-
tual culture. As part of a complex of beliefs and practices,
turgical corpus in Pali and in vernaculars. The shared use of
however, it resists reification and isolation, and must be
Pali does not mean that the regional Buddhisms chose the
viewed in its ritual and social contexts.
same texts for recitation or gave the Pali the same pronuncia-
tion and cadence. Texts and recitation styles differ widely in
ACTS OF DEVOTION. Devotion may be public or private.
the Mon, Khmer, Burmese, Thai, and Lao traditions. Even
Public devotion is a social act that announces an individual’s
within a single tradition they vary according to ordination
active participation in a Buddhist community. Private devo-
lineage and individual temple custom.
tion confirms and strengthens an individual’s consciousness
as a Buddhist. In both cases it is ritualized and formulaic, but
Liturgy lies at the heart of Buddhist practice. An integral
at the same time it is flexible and renewable.
part of living Buddhism, it is a teaching vehicle for both mo-
nastics and lay followers. In public rituals there is often a
Devotion is expressed through rituals that engage the
leader—a layperson, nun, or monk—who recites the formu-
“three doors” of body, speech, and mind. It is enacted physi-
las through a microphone, to be followed by the assembly.
cally through prostration, raising the hands with palms
The recitation of formulas is a powerful vehicle of inspira-
pressed together, and sitting with legs tucked behind. With
tion. Choral chanting by well-trained monks or nuns has a
speech one murmurs or recites formulas. The mental work-
musical aesthetic that, combined with the fragrance of in-
ings of devotion—the worshipper’s wishes and aspirations—
cense, the serenity of images, and the rich tapestry of mural
are ultimately private, but, as seen below, they have often
paintings, is one of Buddhism’s most sensuous expressions.
been recorded in inscriptions.
Throughout the region liturgy opens with a simple
The simplest act of devotion is homage in front of an
statement of reverence towards the Buddha, repeated three
image, usually of the Buddha, accompanied by offerings of
times: Namo tassa bhagavato arahato samma¯-sambuddhassa
flowers, incense, and candles. Its focus is the “three jewels”:
(Homage to the Blessed One, the Worthy One, the Truly
the Buddha, the dhamma, and the sam:gha (always in the
and Fully Awakened One). In public rituals this is followed
same order), and for that reason three incense sticks are usu-
by the taking of the five, eight, or ten precepts. After this a
ally offered. Reflections on the virtues of these three are the
specific ritual will take place: offering food, offering robes,
“three recollections” that structure daily chanting programs.
recitation of texts appropriate to the occasion, and so on, en-
First, praises will be offered to the Buddha, and his blessing
acted with appropriate formulas. Some rituals end with the
and protection will be invoked; the same will then be done
spreading of loving kindness towards all beings, or a brief ses-
for the dhamma and the sam:gha.
sion of silent meditation. At the end of an offering ceremony
The Buddha is seen as the acme of wisdom, power, and
the monks chant verses that rejoice in the merit performed
compassion. His many names express his many virtues: the
(anumodana¯). The liturgy closes with invocations of blessing
Awakened One, the Blessed One, the Teacher, the Protector,
through the power of the three jewels:
the Omniscient One, the Ten-Powered One, and so on. His
May all blessings come to be, may all deities protect:
power comes from his practice of the perfections (parami)
By the power of all buddhas (dhammas, and sam:ghas)
during countless previous births. This aspect of the Buddha
May you always be well.
is seen in the M:ha¯ka¯run:iko N:a¯tho (Stanzas on the greatly
The generic name for apotropaic texts is paritta (protection).
compassionate protector):
The core texts of the paritta come from the tipit:aka, and have
For the welfare, benefit, and happiness
been used in all traditions of the region for centuries. These
Of all breathing things
are supplemented by noncanonical protections, among
The Greatly Compassionate Protector
which the Jinapañjara, Sambuddhe, and Ba¯hum: are three of
Fulfilled all of the perfections
the most popular. The Jinapañjara (Cage of the conquerors)
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WORSHIP AND DEVOTIONAL LIFE: BUDDHIST DEVOTIONAL LIFE IN SOUTHEAST ASIA
stations buddhas, arhats, and the parittas themselves around
from the people. There are no young maidens or preg-
the body at specific points, thereby making a protective cage.
nant women among them. (van Vliet, 1910, p. 77)
The Sambuddhe stanzas (Skilling, 1996) invoke the power
Lay knowledge of chanting varies. Most people are familiar
of multitudes of buddhas, and the Ba¯hum: invokes the eight
with the basic chants—the three refuges, the precepts, and
victories of the Buddha, such as his defeat of Ma¯ra or his
the formulas of offering—and can at least repeat them after
taming of the maddened elephant Na¯la¯giri. The interdepen-
a leader. Many memorize short texts like the Jinapañjara,
dence of liturgy and art is seen in the fact that the eight victo-
Sambuddhe, or Ba¯hum: stanzas, and recite them in their pri-
ries are depicted in temple murals in Cambodia and Thai-
vate devotions. The same text can be recited more than once.
land.
In Thailand the number of repetitions may be determined
The formula requesting the chanting of paritta, recited
by one’s day of birth; for example, a person born on a Mon-
by lay followers to the monks three times at the beginning
day should recite the Pali stanzas beginning “yam:
of the ceremony, succinctly expresses the function of paritta:
dunimittam:” (“Whatever ill omens. . .”) fifteen times daily.
Some learn to recite chants backwards, in the belief that this
To ward off disaster, to accomplish all blessings,
increases the efficacy of the syllables.
To eradicate all suffering, fear, and illness:
Please recite the auspicious paritta.
Demonstration of devotion is not limited to temple rit-
ual. Verses of homage to the three jewels open classical and
A bewildering variety of chanting books, in all shapes and
popular texts. The Cinta¯man:i, a manual of Thai language
sizes, is readily available in the region’s bookstalls. In Thai-
and prosody dating to seventeenth-century Ayutthaya, con-
land the sixteenth printing of the Royal Chanting Book (ten
tains many examples of homage to the Buddha, some quite
thousand copies) is 427 pages long; first published in 1880,
elaborate, in a range of meters. Thai religion has always been
it is available in Pali only and in Pali with Thai translation.
inclusive and eclectic, and homage does not neglect the clas-
Other popular sellers are the Seven or the Twelve Protections
sical deities of India or local spirits of all stripes. Reverence
and the Manual for Laymen and Laywomen. Cambodian
is also due to teachers and parents, and when they are in-
paritta collections include the Anthology of Pali Paritta and
voked five joss-sticks or five candles may be offered.
Pali Recitations; for laypeople there is the Householders’ Prac-
The opening of Samutthakhot Kham Chan, a metrical
tice. A comprehensive collection used in Burma is the Great
adaptation of the nonclassical Samuddaghosa Ja¯taka, offers
Paritta. Popular throughout the region are books devoted to
extravagant praise to the Buddha followed by homage to
magic diagrams, talismans, and spells.
Brahma¯, S´iva, and Vis:n:u. A Southern Thai verse version of
Many of these collections are bilingual. Translations
a well-known ja¯taka, “The Story of the Six-Tusked Elephant
may follow the Pali, or face it on the opposite page. In one
King” (Phraya Chaddanta), invokes the protection of a ca-
translation style the Pali is embedded in the translation: Pali
talogue of deities:
and vernacular follow each other phrase by phrase. An early
I pay homage to my teachers
Thai collection in this style, the Translated Chants, dates to
Who have trained and instructed me
the beginning of the nineteenth century. Other devotional
That I might compose this tale.
poems or chants are composed directly in the vernacular.
I pay homage to the Buddha,
There is, however, no body of devotional literature, either
To the dhamma, and the sam:gha,
authored or anonymous, comparable to the vernacular Indi-
To my Mother who protected me—
an bhakti literature.
May I be free from danger.
I pay homage to my Father
Books serve as aids to memory. Monastery regulations
Who cared for me until I grew up. I pay homage to
and ritual needs require monks and novices to commit litur-
Goddess of Grain
gical repertoires to memory. Long-term monks memorize
Who guards us all and always.
the pa¯timokkha, the monk’s code, which takes up to an hour
I pay homage to all spirits
to recite. Nuns are adept at chanting, and in Thailand today
Who dwell on earth up to the sky:
it is primarily nuns who preserve the vernacular Phra Malay
To Vessuvanna, to Thousand Eyes,
recitation, often chanted at funerals. The presence of nuns
To Indra and Brahma¯ who always
Protect against danger, obstacles,
at ceremonies was noted by early Western travelers to Siam,
Disaster, and misfortune. May that called danger
such as Jeremias van Vliet, an agent for the Dutch East India
Never approach or trouble me!
Company at Ayutthaya from 1629 to 1634:
Modern studies tend to compartmentalize divinities, god-
Besides these male priests, there are connected with the
desses, and spirits as “Hindu,” “non-Buddhist,” or “animis-
principal temples many old women, who also have to
tic,” assigning them static textbook identities that miss the
shave their heads. They are dressed in white linen, and
point. In the tolerant pluralism of Southeast Asian culture
they are present at all sermons, songs, ceremonies and
they are part of a seamless hierarchy of power and merit, with
other occasions connected with the religion. They are
the Buddha, at least ideally, at the top.
not, however, subject to any extraordinary rules, and
they do everything out of religious fervour and free will.
THE CULT OF IMAGES. The production and worship of im-
Also they have to live on the alms which they receive
ages of the Buddha has fired the religious imagination to the
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WORSHIP AND DEVOTIONAL LIFE: BUDDHIST DEVOTIONAL LIFE IN SOUTHEAST ASIA
9829
point that images are everywhere—not only in temples, but
Moulmein. The latter was eloquently described by a “bygone
in the open air, homes, and schoolyards. Altars bear not just
traveler”:
one image, but dozens. In Thailand nearly every roadside
Everywhere, on the floor, overhead, on the jutting
shop boasts a shelf lined with deities, raised up on a wall fac-
points, and on the stalactite festoons of the roof, are
ing the entrance. Many of these shrines are extraordinarily
crowded together images of Gautama—the offerings of
eclectic, with a profusion of figures from the revered King
successive ages. Some are perfectly gilded; others en-
Ra¯ma V (r. 1868–1910) to bearded Chinese deities. A seven-
crusted with calcareous matter; some fallen, yet sound;
teenth-century Persian visitor to Ayutthaya observed that:
others mouldered; others just erected. Some are of stu-
pendous size; some not larger than one’s finger; and
The Siamese persevere in worshipping idols. . .They
some of all the intermediate sizes—marble, stone,
are not even like the other idolaters who worship one
wood, brick, and clay. Here and there are models of
special idol which has a determined shape and form. In
temples, some not larger than half a bushel, and some
Siam anyone who pleases makes an image out of plaster,
ten or fifteen feet square, absolutely filled with small
wood, or mud, sets it up in a particular spot and wor-
idols, heaped promiscuously one on the other. A ship
ships it. . .The scholars of Siam exclaim, “Since we
of five hundred tons could not carry away the half of
cannot experience direct contact with God in all His
them. (O’Conner 1904 [1993], p. 289, condensed)
glory and perfection, we are obliged to seek him
through substitutes, which we can behold with our own
When an image is installed there is an inauguration ceremo-
eyes. Therefore we make the idols our masters and
ny and a celebration, which may last a week or more. At cer-
gods.” (Ibn Muhammad Ibrahim 1972, p. 114)
tain times of the year, often the solar New Year, images may
Although Ibn Muhammad Ibrahim’s understanding of
be carried in procession on land or water with grand festivity
the Buddha as “God” may not be strictly accurate, he does
and merrymaking. Such a procession was witnessed by Ibn
grasp one important point: images can be made by anyone.
Muhammad Ibrahim:
The production of images is deemed a source of great merit;
There are also special occasions when the idols are
according to a uniquely Therava¯din belief, it helps to pre-
mounted on traveling palanquins and brought in from
serve the sa¯sana for its allotted five-thousand-year life span.
the outlying temples to the city temples where the king
The result of this potent authorization is that those who are
and monks worship. In such a case the Siamese say that
able to do so sponsor images, often as a family or group proj-
one idol has come to visit another. . . .Then the city
ect. In most cases an altar is not the product of a conscious
population gathers together and they play drums and
and finite iconographic program. Living altars continue to
flutes. The devout bring flowers and leaves from the
grow, to accumulate new images in accordance with the im-
trees and fasten them on the temple walls to make fes-
peratives of merit. Since to restore an image is also a source
toons. They also fashion artificial flowers from paper.
of merit, the images themselves undergo periodic repair and
(Ibn Muhammad Ibrahim, 1972, pp. 118–119)
are never finished. This is also true of temple buildings,
Other foci of devotion are cetiyas, bodhi trees, and replicas
mural paintings, and manuscripts: they must constantly be
of the Buddha’s feet or footprints. In Southeast Asia cetiya
renovated, restored, and rewritten, in the insatiable quest for
and stupa are generally synonymous, and refer to solid free-
merit and perfection.
standing structures built to house relics. Cetiyas come in all
In the middle of the twentieth century a Thai scholar
shapes and sizes; as reliquaries they are often called Phra That
remarked that:
(from Pali and Sanskrit dha¯tu, “relic”) or Phra Mahathat
(from maha¯dha¯tu, “great relic”) in Thai, Lao, and Lanna
Perhaps more than any other country in the world,
Thai. Cetiyas can enshrine images, scriptures, and other ob-
Thailand is the land of Buddha images. They range in
jects of reverence, as well as rich offerings of gold, gems, and
size from tiny miniatures to huge giants. They are made
pearls. Relics are frequently installed in Buddha images,
of many different kinds of materials—stone, plaster or
sometimes (if the chronicles are to be believed) miraculously.
terracotta, wood, crystal or jade, silver, or gold. . .For
A well-known verse venerates most of the sacred objects to-
more than 1300 years the artists of our country have
concentrated on making Buddha images, to such an ex-
gether: “I pay homage to all cetiyas, all and always, wherever
tent that at the present time the images far outnumber
they are established— / Physical relics, Great Awakening
the human population. (Luang Boribal Buribhand,
Trees, and images of the Buddha.”
1956, p. 3)
Relics and images are installed with pomp and celebra-
If one counts the small amulets highly prized by the Thai,
tion. In 1718 in the central Thai principality of Chainat, for
the statement may well be true. But the other cultures of the
example, high-ranking monks were invited from the capital
region share the same ideology of merit, and also produce
(at that time Ayutthaya) to lead the festivities for the Great
images in large numbers. A popular custom was to turn spa-
Relic. These included one day each of recitation of the
cious limestone caves into cathedrals filled with images, such
“(Summarized Account of) the Buddhist Councils”
as the Pak U grottoes on the Mekong River near Luang Pra-
(San˙ga¯yana¯), of the tipit:aka, and of the “Great Birth” or Ves-
bang in Laos, or, in Burma, the Pindiya Caves in the Shan
santara Ja¯taka. The site was decorated with offerings, para-
States and the Kaw-gun caves on the Salween River near
sols, banners, flowers, torches, and candles, and there were
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WORSHIP AND DEVOTIONAL LIFE: BUDDHIST DEVOTIONAL LIFE IN SOUTHEAST ASIA
performances of masked dance, shadow-puppet plays, and
values. Shoes must be removed before entering a temple or
drama. The event was carefully recorded in a large stone in-
shrine, or—mainly in Burma—at the very first gate, before
scription that stands at the temple today (Prachum Sila-
entering the precincts of monasteries and pagodas. Feet
charuk 4, no. 97, 1970, pp. 73–74).
should not be pointed at images or objects of respect, which
should be placed higher than the worshipper. One should
Cetiyas fill temple compounds and dot the countryside
keep to the right of revered objects, and use the right hand
of the region. Bodhi trees are planted in temple precincts.
when making offerings. Damaged or discarded objects of
A liturgical genre, both Pali and vernacular, offers homage
reverence are not thrown away or sold: they are left in tem-
to the trees of past and future buddhas. Therava¯din tradition
ples or at the foot of bodhi trees. To steal or damage an image
lists ten future buddhas, starting with Metteyya (this does
of the Buddha, a bodhi tree, a cetiya, or a religious text is a
not mean that there are no others—there are, but they are
heinous crime that will send the culprit straight to hells of
not named). A class of texts known as Ana¯gatavam:sa (Chron-
unremitting torment. Such values were incorporated into
icle of the future) is devoted to them. A Thai-language ver-
legal codes, for example the Three Seals Code of medieval
sion of one such text explains at the end that, “Any human
Siam, which stipulated severe if not gruesome punishments
beings, female or male, who offer homage and bow in respect
for those guilty of such crimes.
to the ten Lord Buddhas along with the ten Glorious Great
Awakening Trees . . . will gain fruit and benefit. They will
In some cultures access to sanctuaries is determined by
not be born in hell for as long a period as one hundred thou-
gender. In Burma, only males are allowed onto the upper
sand aeons. This is a result of the wholesome intentions of
platforms of pagodas—for example, at the Shwedagon Pago-
the person who recollects the ten Lord Buddhas.”
da in Rangoon, where they can sit in meditation or apply
gold leaf directly to the revered shrine. In Northern Thai-
Shrines housing replicas of the soles of a Buddha’s feet
land, women are barred from the raised platform upon which
(positive models) or of his footprints (negative impressions)
the images are installed; in Northeastern Thailand, females
as the primary icon are common. The replicas are made on
cannot enter the ordination hall; and in Central Thailand
stone slabs, wooden panels, or cloth painting. In addition to
they cannot sit on the raised platform within the ordination
replicas, there are also “natural” footprints, believed to have
hall.
been left by a buddha—not only S´a¯kyamuni, but also his
three predecessors in this “Auspicious Aeon.” According to
Devotion has its own vocabulary. Special terms, often
old traditions, S´a¯kyamuni left the impression of his foot or
derived from Sanskrit, are used to describe images: one does
feet at five sites in India and Sri Lanka. These are listed in
not buy an image, one rents or reveres it. One does not take
chants that venerate the five prints “from afar”: that is, it is
it home: one invites it into one’s house. The features of the
possible to render homage and request protection without
image are spoken of in a special language used also for mem-
going on pilgrimage, although several of the sites have been
bers of the royal family. Venerated images are addressed di-
localized in Burma and Thailand and are relatively accessible.
rectly, in the second person, with kinship terms identical to
Other verse compositions, in Pali, Khmer, Burmese,
those used for revered monks, such as “Great Father.”
and Thai, list the one hundred and eight auspicious signs
DEVOTION AND MATERIAL CULTURE. Worship has had an
that adorn the soles of the Ten-Powered One’s feet and in-
immense impact on material culture and technology, and
voke their protection. A Southern Thai text on the signs
thereby on the economy. Special utensils, crafted from
opens as follows:
bronze, silver, or gold, fulfill ritual functions. Offerings to
monks or idols require fine trays and bowls made from lac-
May I offer obeisance to the supreme feet of the Bud-
quer or metal. At the end of a merit-making ceremony, water
dha,
is poured from a bronze vessel into a small bowl, both pur-
The glorious and resplendent pair.
pose-made. In Thailand the monks hold ornate fans in front
My ten fingers raised in a row are bright like golden
candles;
of themselves when performing certain ceremonies; the fans
My two eyes are alight like a pair of lamps: these I offer.
are a unique art form.
My hair-knot is like a flower-garland, like beautiful gol-
Skilled bronze casters, stonecutters, and woodcarvers
den nenuphars.
produce images in a range of styles, sizes, and materials. Gold
My melodious voice is like an offering of incense and
beaters produce delicate squares of gold leaf to apply to im-
candles.
My heart I dedicate like fragrant scents.
ages. Garland makers station themselves at pagoda gates,
threading fragrant flowers such as jasmine and roses into
The text ends with the promise that whoever recites the
beautiful shapes. Annual rituals have led to the development
names of the signs will gain vast merit and meet the future
of unique products, such as the giant candles offered to
Buddha Metteyya. Such texts can be recited at home, or in
monasteries at the beginning of the three-month rains-
the presence of one of the replicas of the Buddha’s footprints
retreat, or the fine threaded sweets prepared at Nakhon Si
enshrined in temples and pavilions throughout the region.
Thammarat in Southern Thailand to offer to pretas (so-called
DEVOTION AND CUSTOM. Devotion has its own protocols—
hungry ghosts, tormented by hunger because their mouths
it invests parts of the body, direction, and space with its own
are the size of needles).
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WORSHIP AND DEVOTIONAL LIFE: BUDDHIST DEVOTIONAL LIFE IN SOUTHEAST ASIA
9831
The premodern landscape was transfigured by devotion.
usually falls in April, commemorates the birth, awakening,
Land, groves, fields, and villages were offered to temples and
and passing away of the Master, while A¯sa¯l:ha Pu¯ja¯ marks his
exempted from taxation. The architecture of the region is in
first sermon in the Deer Park at Sa¯rna¯th near Va¯ra¯n:as¯ı—the
part a response to the needs of devotion. Monastic complexes
“Turning of the Wheel of the Dharma.” The rich ritual cal-
include buildings for public worship, from simple open-
endar includes the day-long “Sermon on the Great Birth”—
sided pavilions to grand and ornately decorated halls. Large
the Vessantara Ja¯taka—formerly one of the greatest enter-
stupas have broad circumambulatories. In Thailand, distinc-
tainments of the year, and in the countryside still indispens-
tive shrines—often miniature versions of grander struc-
able as a rainmaking festival. At the New Year people fashion
tures—stand raised on pillars in gardens: these are the spirit
cetiyas from sand, and decorate them with papers parasols,
houses, which accommodate the spirit of the land. Opulent
flags, and banners.
shrines to Brahma¯, Indra, or other deities stand in front of
banks and office buildings.
For the monks the most important event is the three-
month Vassa, or “rains-retreat,” during which they remain
Special shops cater to the needs of the faithful, offering
in their home-temple and do not travel. In Thailand males
a wide range of paraphernalia, including incense, candles,
often ordain as monks especially for this three-month period
images, monastic requisites, and shrine tables. Crafts and
in order to deepen their understanding of the Awakened
trades were integrated into city plans: the gold beaters’ quar-
One’s teaching. Male government officials may obtain fully
ters in Mandalay and Bangkok, the religious supplies stores
paid leave for this purpose. Although the Vassa is originally
in central Bangkok, and the image makers district in Thon-
and primarily a monastic retreat, during this period devout
buri, across the river from Bangkok. The economy of wor-
lay followers may stay overnight in the temple each lunar
ship played a role in the exploitation of natural products and
quarter to chant and meditate. A few take extra vows of ab-
translocal trade. Lime, laterite, and stone were quarried for
stention or devote themselves to meditation throughout the
use as construction materials (lime for the manufacture of
three-month period. In Northern Thailand, collections of
stucco to decorate religious structures). Gold, bronze, and tin
texts to be chanted during this period are called Nangsu non
were mined, exported, or imported, and from antiquity the
wat (Books for staying overnight in the temple), and special
tropical forests of Southeast Asia supplied the international
quarters are erected for females within the temple precincts.
market with aromatics and exotic timber.
Other monastic rites that take place after the rains are
Pava¯ran:a¯, when monastics invite their fellows to point out
DAILY ROUTINES AND RITUAL CALENDARS. The daily mo-
any wrongs they may have committed during the rains-
nastic routine includes morning and evening chanting struc-
retreat, and Pariva¯sa, penitence for having concealed breach-
tured around homage to the three jewels. The time of the
es of certain monastic rules. In Thailand and Cambodia the
chanting (from four in the morning on) and the selection of
latter has become ritualized; large numbers of monks from
texts vary from temple to temple. Lay people may start their
many temples gather at a designated site for the period. An-
day with chanting and meditation before a private altar. In
other important festival is the offering of Kat:hina robes to
Thailand the day ends with an act of homage, as recom-
the monks.
mended by the nineteenth-century poet Sunthorn Phu in his
Svasti Raksa, a book of stanzas on etiquette for the mainte-
People make special offerings on their birthdays, or in
nance of one’s well-being:
memory of their parents or loved and respected ones on the
anniversary of their deaths. They may offer food to the
When you go to bed,
Don’t forget to salute the pillow,
monks on the early morning alms-round, or to the sam:gha
While saying your praise and gratitude
in general at a temple. Monks are invited to bless newlyweds
To your parents and your teachers. (Umavijani, 1990,
at wedding ceremonies. At funerals the monks recite texts for
p. 86)
the benefit of the deceased. In Thailand they recite extracts
from the abhidhamma, often every night for forty-nine days
The lunar calendar is used for religious purposes. Special of-
in front of the coffin in special funerary pavilions in the tem-
ferings are made on the “holy days” of the four quarters of
ple precincts. For the final passage, the cremation, monks re-
the moon, especially the lunar fortnight, when the monks re-
cite a simple stanza on impermanence. On this occasion sons
cite the pa¯timokkha. The Thai cycle of court festivals is de-
may “ordain in front of the fire,” that is, become a monk for
scribed in several late-nineteenth-century texts, including an
a few hours or a few days in order to offer the merit to a de-
elegant verse composition by Prince Maha Mala and two de-
ceased parent.
tailed historical studies by King Chulalongkorn (Ra¯ma V).
In Thailand today the highlights of the year are the great full-
In Thailand a major source of temple income is the an-
moon celebrations or pu¯ja¯ of the months of Ma¯gha, Visa¯kha,
nual festival (ngan wat), a full-fledged fair with Ferris wheels,
and A¯sa¯l:ha. On these nights, lay people throng to circumam-
rock music concerts, and entertainments of every descrip-
bulate uposatha halls and cetiyas, carrying candles, incense,
tion. For several days the temple becomes a noisy hive of ac-
and flowers. The monks recite Pali texts and give sermons
tivity. Another grand affair is the consecration of the monas-
explaining the significance of the ceremonies, which mark
tic boundary, or sima. In Central Thailand this has become
events in the life of the Blessed One. Visa¯kha¯ Pu¯ja¯, which
a weeklong fund-raising event usually held to coincide with
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WORSHIP AND DEVOTIONAL LIFE: BUDDHIST DEVOTIONAL LIFE IN SOUTHEAST ASIA
the Chinese New Year in order to attract the wealth of the
passing away, which was visited in 1836 by the poet Nai Mi,
powerful business and merchant communities of Chinese or-
who wrote:
igin. Less frequent are image-consecrations, for which re-
We brought incense, candles, and choice flowers
vered monks are invited to chant special Pali stanzas.
And gathered to pay homage to the stone couch
PILGRIMAGE. From chronicles and inscriptions we know that
Between a pair of Rang trees.
pilgrims from Southeast Asia regularly visited the holy sites
Their branches, twigs, and sprouts bowed low in hom-
of India and Sri Lanka. Royal missions were sent to repair
age.
the temple at Bodh Gaya¯, the “Diamond Seat” where
Oh, the Rang trees still adore the Teacher—
S´a¯kyamuni achieved awakening. In the Pala and Sena peri-
How sad that we were born too late to meet him!
ods, Southeast Asian monks traveled to study at the famed
All we can see is the stone couch,
universities of Northern India and the monasteries of Sri
Our minds overwhelmed with sorrow and dismay.
Tears stream down as we call to mind
Lanka, carrying images, scriptures, practices, and ideas back
The Holy Omniscient One.
and forth. Pilgrims and monks also traveled throughout
Southeast Asia, which had its own study centers and pilgrim-
Rang tree is the Thai name for the Indian sala tree. At the
age sites.
same site the poet saw a stone held to be the blood that the
Buddha vomited during his final illness, and the site of his
The most important pilgrimage sites are reliquary
cremation on a nearby hill.
shrines (cetiya, stupa) and footprints of the Buddha. Cetiyas
housing hair and bone relics of S´a¯kyamuni are found
From the seventeenth century on, the leading Thai pil-
throughout the region; many boast a chronicle that validates
grimage site has been Phra Phutthabat, in Saraburi province
their claims to the pilgrims’ devotions and offerings. In lower
to the east of Ayutthaya, identified with one of the five places
Burma two of the greatest attractions are the old Mon stupa
where the Omniscient One left his print. The annual pil-
of Shwedagon, which enshrines the relics of four buddhas,
grimage was a grand affair. Commoners streamed in by boat,
and the extraordinary pagoda of Kyaiktiyo, which perches
horse, and oxcart, and on foot. Stalls were set up at the ap-
precariously on a massive boulder at the top of a hill. In
proach to the shrine, and for a week there were festivities of
upper Burma pilgrims are drawn to the Mahamuni image in
all kinds—acrobatics, shadow and puppet theatre, dance-
Mandalay and to Mandalay hill. But there are many others:
drama, and fireworks. King and court made the pilgrimage
“Most of the commanding heights in Burma have long since
regularly, first by boat and then by elephant with opulent
been crowned with pagodas, and a visit to any of these grati-
pageantry. The king would make grand offerings, and per-
fies the innate piety and gaiety of the people” (O’Connor,
form a unique sword-dance on elephant-back in homage to
1904, p. 347).
the footprint. Surviving records—poems, official docu-
ments, and a seventeenth-century Dutch account—leave no
For the Lao, one of the holiest stupas is Phra That Pha-
doubt about the significance of the pilgrimage.
nom on the western bank of the Mekong River. Northern
Thailand has a tradition of pilgrimage to twelve sites deter-
IDEOLOGIES OF BENEFIT AND EXCHANGE. The human pre-
mined by one’s year of birth according to the twelve-year
dicament is a life of insecurity, suffering, and impermanence,
cycle. These include the Shwedagon Pagoda in Burma, the
inevitably ending in death. The Buddha taught people to
old Mon stupa at Hariphunchai in northern Thailand, and
recognize the predicament, identify its roots, and then to
the stupa at Wat Suthep overlooking the Chiang Mai Valley.
practice in order to free themselves from it. Therefore it is
In Southern Thailand the tall, tapering reliquary at Nakhon
said that the Buddha arose in the world “for the benefit of
Si Thammarat draws busloads of pilgrims from the Thai and
the many, for the happiness of the many, from compassion
Chinese Buddhist communities in Malaysia and Singapore.
for the world, for the welfare, benefit, and happiness of gods
On the way they stop at other sites, such as Wat Pa Kho in
and humans.” Buddhism is a quest for security and benefit,
the narrow Sathing Phra peninsula, where a footprint was left
and it is the Buddha who explains the “ultimate blessings”
on top of a hill by a revered seventeenth-century monk
(man˙gala).
named Luang Pu Thuat. To attract wealthy Chinese pil-
Tradition lists “three bases for the performance of
grims, temples along the route have built statues of Kuan-
merit” (puññakiriyavatthu): giving or charity, precepts or
yin, the “Goddess of Mercy,” some of them immense.
ethical conduct, and mental culture or meditation. The per-
Pilgrimage centers in central Thailand include Thung
formance of these leads to three types of felicity (sampatti):
Yang in Uttaradit province, where there is a large stone slab
felicity as a human, felicity in heaven, and the felicity of
where the four buddhas have sat, and the fifth, Metteyya, will
nirva¯n:a. Worship and devotional life are directed towards
sit. Thung Yang was formerly the goal of royal pilgrimage
these three goals, which are often referred to in sermons and
(e.g., during the reign of King Borommakot of Ayutthaya,
narrative literature. They are inspired and guided by the ide-
who restored the complex of sites). Its foundational legend
ology of benefit or advantage. The Pali term for this is
is narrated in both Pali and Thai texts. To the west of the
a¯nisam:sa (Skt., a¯nu´sam:sa, Tib., phan yon). It is a key concept
old capital of Ayutthaya and the present capital of Bangkok
not only in Therava¯da Buddhism but in all Buddhisms; it
is Phra Taen Dong Rang, a localized site of the Buddha’s
is prominent in the earliest texts—the su¯tras of the Pali
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WORSHIP AND DEVOTIONAL LIFE: BUDDHIST DEVOTIONAL LIFE IN SOUTHEAST ASIA
9833
Nika¯yas and Sanskrit A¯gamas—for example in the
ies, where urban life has its own priorities. Urban migration
Metta-a¯nisam:sa-sutta of the former, which promises eleven
has disrupted the agricultural calendar and the transmission
benefits for those who practice loving kindness: they will
of knowledge within village communities, as has compulsory
sleep well, they will wake happily, they will not have bad
secular education. This—along with the rapid spread of
dreams, and so on. Thai Buddhists developed a genre of ser-
modern communications, culminating in the internet—has
mon, both in Pali and in Thai, that lauds the specific benefits
contributed to the erosion of community memories. People
of specific meritorious acts, such as producing an image of
have less time for festivals and religious practice; ceremonies
the Buddha, offering candles at the beginning of the
and chants have been simplified and abridged, and also stan-
rains-retreat, or erecting sand cetiyas. Anisamsa texts are
dardized as a result of centralized monastic education and
known in other traditions, such as the Sanskrit
print technology. This has led to an impoverishment of litur-
Triratnabha¯jana-a¯nu´sam:sa (Advantages of revering the three
gical and ritual repertoires, since many of the older chants
gems) from Nepal, or the Advantages of the Diamond Su¯tra
and rites have fallen into disuse. Old temple districts and
from Tibet.
craft quarters have been savaged by ruthless construction of
Another key term in the pragmatics of offering is
roads and commercial buildings, and temple precincts have
pan:idha¯na (Skt., pran:idha¯na): wish, aspiration, or prayer.
become parking lots. Festivals are packaged for tourist con-
When making offerings, one makes a silent wish for specific
sumption.
benefits. This is the private and personal aspect of devotion
The commercialization of worship in the cash economy
mentioned above. There are also generalized and public aspi-
has led to questions about the nature of devotion. Is Bud-
rations, such as prayers for the health and welfare of teachers,
dhism being packaged and sold like any other product? Have
preceptors, parents, rulers, and all sentient beings. Many of
devotees turned into consumers? Have values gone awry? Do
the earliest Buddhist inscriptions (starting from the second
people equate the degree of merit with the financial value of
century BCE) in India record aspirations. The practice was
their offering? Some temples, such as Wat Chonlaprathan in
followed in Southeast Asia; some of the Thai and Cambodi-
Nonthaburi, Thailand, explicitly discourage lay followers
an aspirations recorded on stone are long and elaborate verse
from offering commercialized products. The temple donates
compositions.
excess offerings to orphanages, prisons, or victims of natural
The ideology of a¯nisam:sa and pan:idha¯na is one of ex-
disasters; on festival days this amounts to several truckloads.
change. One takes refuge in the three jewels, and in return
But the human predicament remains. Buddhist teach-
they grant protection or fulfill wishes. When supplicants
ings address human needs, and they have always shown resil-
pray before an image they promise something in return—
ience and adaptation. The vitality of Buddhist worship and
special food, servants, or entertainment, for example—if
practice is undaunted by modernity. On offering-days devo-
their wish is fulfilled. In earlier periods servitors, livestock,
tees bring traffic jams into temple compounds. Radio, televi-
groves, fields, and land were granted to images. Such grants
sion, and the internet are used to propagate Buddhist values.
were recorded in inscriptions and legal documents, which
New generations explore the relationship between the teach-
today are primary sources for the study of economic history.
ings of Buddhism and contemporary understandings of soci-
Today live music and dance are offered in some temples; in
ety and the universe, proposing compatibilities with science,
others one sees small model dancers.
ecology, feminism, and human rights. Throughout Thailand
Together, the complex of worship—the chants of refuge
there has been a rapid development of the cult of Kuan-yin,
and homage, the prayers and aspirations—invokes and con-
whose image graces separate shrines or altars beside the pre-
structs an intricate universe of relations and obligations. Of-
siding Buddha. Migration has led to the construction of
ferings are made to the Buddha, and merits are shared with
Khmer, Lao, Burmese, and Thai temples abroad, especially
relatives, deities, and spirits, who in turn are asked to offer
in the United States, where new forms of worship are
protection or grant wishes. Offerings to the monks transmit
developing.
merit to deceased relatives; Buddha images convey benefits.
SEE ALSO Buddhist Religious Year; Pilgrimage, article on
The question of whether it is the image or the Buddha that
Buddhist Pilgrimage in South and Southeast Asia; Pu¯ja¯, ar-
is addressed and responds can never be resolved, since in the
ticle on Buddhist Pu¯ja¯; Sam:gha, overview article.
imagination they are both the same and different.
MODERNITY AND BEYOND. Modernity and its cognates are
BIBLIOGRAPHY
troubled and troublesome terms. In this entry they are used
The primary sources for the study of devotional life in Southeast
as unavoidable conventions for a modernity that begins in
Asia are inscriptions, chronicles, royal orders, poetry, and the
the early nineteenth century and continues through the
accounts of foreign travelers. Very little research on the sub-
twentieth century to the present. In the last half of the twen-
ject has been published. The best comprehensive English-
tieth century the impact of new ideologies and technologies
language source remains a work first published in 1939: Ken-
effected enormous change throughout the region.
neth Wells, Thai Buddhism: Its Rites and Ceremonies (Bang-
kok, 1975). Wells describes the main ceremonies and
The Western calendar and the “working week” have
translates many formulas and chants. One of the few works
broken the rhythm of the lunar calendar, especially in the cit-
dealing with anisamsa—specifically that connected with
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9834
WORSHIP AND DEVOTIONAL LIFE: BUDDHIST DEVOTIONAL LIFE IN EAST ASIA
erecting sand cetiyas—is Louis Gabaude, Les cetiya de sable au
and meditation, the relation between local and translocal tra-
Laos et en Thaïlande: Les textes (Paris, 1979). The present
ditions of practice, the complex relation between practice
entry is based on Pali and Thai sources and field observa-
and ideology, the social dimensions of East Asian Buddhist
tions. Translations are the author’s unless otherwise noted;
practice, the multivalence of practices, and the emic catego-
in some cases the translations are condensed.
ries for types and structures of ritual practice. The following
The chanting books mentioned in the essay are as follows:
will discuss specific instances of East Asian Buddhist practice
Bhanavara Pali (Pali recitations)
in relation to these issues.
Chet tamnan, Sattaparitta, Cularajaparitta (Seven protections)
RITUAL AND MEDITATION. Contemporary Western religious
Gihipatipatti (Householders’ practice)
discourse frequently differentiates between ritual and medi-
Khu mu ubasok ubasika (Manual for laymen and laywomen)
tation as mutually exclusive categories, often implicitly valu-
ing meditation and dismissing ritual. However, the cultic
Mahaparitta (Great paritta)
practices of East Asian Buddhism cannot be so clearly distin-
Parittasamodhana Pali (Anthology of Pali paritta)
guished, as they have both ritual and meditative aspects. For
Sipsong Tamnan, Dvadasaparitta, Maharajaparitta (Twelve pro-
example, the most familiar Buddhist practice is doubtless sit-
tections)
ting meditation as found in the Zen (Chin., Chan; Kor.,
Suat mon chabap luang (Royal chanting book)
So˘n) tradition. Often considered the epitome of meditation,
Suat mon plae (Translated chants)
upon examination one finds such meditation to be a highly
ritualized practice. All aspects of behavior during Zen medi-
References
tation are prescribed, from bodily posture while sitting to the
Luang Boribal Buribhand. Thai Images of the Buddha. Bangkok,
1956.
manner of walking while circumambulating the temple be-
tween sitting sessions and the manner in which one enters
Ibn Muhammad Ibrahim. The Ship of Sulaiman. Translated by
the meditation hall and takes one’s seat. Even outside of the
John O’Kane. New York, 1972. Translation of a seven-
meditation period, the manner of one’s behavior in all activi-
teenth-century account of a journey to Siam.
ties—particularly during meals, and excepting only break pe-
O’Conner, V. C. Scott. The Silken East: A Record of Life and Trav-
riods—is carefully prescribed.
el in Burma (1904). Gartmore, Stirling, U.K., 1993.
Phraya Chaddanta (The six-tusked elephant king). Nakhon Si
Conversely, the rituals of the Japanese Tantric tradition
Thammarat, 1992.
of Shingon are filled with meditative elements. For example,
Prachum Silacharuk (Corpus of inscriptions). Vol. 4. Bangkok,
the Full Moon Visualization practice (Jpn., gachirin kan),
1970.
which is one of the introductory practices in the training of
a Shingon priest (Skt., a¯ca¯rya; Jpn., ajari), includes gazing
Skilling, Peter. “The Sambuddhe Verses and Later Therava¯din
Buddhology.” Journal of the Pali Text Society 22 (1996):
at a white circle until one is able to see the image mentally,
151–183.
without the support of the visual object. One then imagines
this white circle expanding to fill the entirety of the universe
Skilling, Peter. “Praises of the Buddha Beyond Praise.” Journal of
the Pali Text Society 24 (1998): 195–200.
and shrinking to a tiny spot at the very center of one’s visual
field. The Full Moon Visualization practice also exemplifies
Umavijani, Montri. Sunthorn Phu: An Anthology. Bangkok, 1990.
the continuity between Indian and East Asian Buddhist prac-
van Vliet, Jeremias. “Description of the Kingdom of Siam.” 1636.
tices. The practice matches the kasin:a practice recorded for
Translated by L. F. van Ravenswaay in Journal of the Siam
example in Buddhaghosa’s Path of Purification (Pali,
Society 7, no.1 (1910) 1–105.
Vi´sudhimagga). The kasin:as are a set of ten visualizations of
PETER SKILLING (2005)
a circular device made of a variety of substances and colors
(Skt., ru¯pa), one of which is a white circle. Thus, it forms
part of a tradition of practice that, while originating in a spe-
cific historical and cultural location, was relocated across
WORSHIP AND DEVOTIONAL LIFE:
China to Japan, becoming thereby translocal.
BUDDHIST DEVOTIONAL LIFE IN EAST ASIA
Buddhist practice in East Asia extends across almost two mil-
LOCAL AND TRANSLOCAL. All religion is local. Some prac-
lennia and several different religious cultures and languages.
tices, however, are portable, and being carried across linguis-
This means that there is a rich and complex set of practices
tic and cultural boundaries become translocal. Frequently,
to consider—far too many to attempt a comprehensive pre-
this process of movement between religious cultures leads to
sentation within the scope of this article. The character of
confrontation, interaction, and appropriation of practices,
East Asian Buddhist practice differs both from that of the
symbols, and ideas. In East Asia many practices are shared
Western traditions, which have informed the way in which
by Buddhist, Daoist, neo-Confucian, Shinto¯, and Shugendo¯
ritual and practice are understood in religious studies, and
traditions. Despite this long history of religious interaction,
from many of the popular representations of Buddhism.
Buddhist practices do demonstrate a high level of continuity
These differences constitute a series of theoretical issues,
between their Indian origins and their East Asian instantia-
which include the relation between the categories of ritual
tions. This continuity, however, should neither be interpret-
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WORSHIP AND DEVOTIONAL LIFE: BUDDHIST DEVOTIONAL LIFE IN EAST ASIA
9835
ed as providing a basis for claims of authority or authenticity,
However, those who do not have family relations who
nor taken as grounds for claims that some practices are pure
can insure that this process is completed are in danger of be-
while others are syncretic. It is simply the case that Buddhist
coming hungry ghosts—dangerous and dissatisfied—
practitioners both maintained practices originating in India
wandering the human realm at the time of the Ghost Festi-
and integrated East Asian religious elements into Buddhism.
val. During the Ghost Festival in contemporary Japan one
can see offerings to hungry ghosts placed outside the homes
One example of the interaction between local and trans-
of those who also have offerings to their own ancestors on
local traditions of practice is the Ghost Festival (Skt.,
their family altar.
Avalambana or Ullambana; Chin., Yu lan pen; Jpn., Urabon
or Obon). While drawing on Indian antecedents, the Ghost
Hungry ghosts are described as having huge bellies, in-
Festival originated in medieval China and continues in pres-
dicative of their hunger, at the same time they have exceed-
ent-day Japan and in Japanese Buddhist temples in the Unit-
ingly slender necks, blocking them from taking in as much
ed States. The founding story for the Ghost Festival is that
as their hunger drives them to desire. In another description,
of the monk Maudgalya¯yana (Chin., Mulien), who saves his
whenever they do take food their mouths burst into flames,
mother from her current birth as a hungry ghost (Skt., preta;
giving them their alternate name of “flaming mouths.” By
Jpn., gaki) by making offerings to monks coming out of their
the power of the ritual, the throats of the hungry ghosts are
summer retreat (Skt., vars:a¯; Chin., anju)—a three month pe-
opened and they are able to consume the offerings made to
riod of reclusion and intensified practice. The rainy-season
them. Indeed, after consuming the offerings, their evil karma
retreat dates from the time of the historical Buddha,
is extinguished and they are reborn in a Pure Land.
S´a¯kyamuni, and was in fact common to other groups of wan-
Another practice that combines local and translocal reli-
dering ascetics in fourth century BCE India.
gious forms, and also continues into the present, is pilgrim-
While based on Indian monastic antecedents, the Ghost
age. Classic Chinese pilgrimage sites for Buddhists were
Festival complex was adapted to local values and local prac-
Mount Tiantai and Mount Wutai. The former was impor-
tices. Developed in response to the Chinese emphasis on fil-
tant as the location in which Zhiyi (538–597) established the
ial devotion (xiao), the Ghost Festival was promoted to high
Tiantai tradition (Jpn., Tendai). Consequently, monastic
levels of popularity. Additionally, the involvement of laity
pilgrims, even from Japan, were drawn to Mount Tiantai.
and the emphasis on the agricultural cycle with its symbolism
For example, Ennin (794–864) of the Japanese Tendai tradi-
of renewal are aspects of the Chinese Ghost Festival that dis-
tion centered on Mount Hiei outside Kyoto spent nine years
tinguish it from the Indian precedents. In China the sched-
in China and recorded his travels in a historically important
ule of the Ghost Festival correlates strongly with the agricul-
journal. Of more popular appeal was Mount Wutai, widely
tural cycle. There, the monastic summer retreat began in the
considered to be the residence of Mañju´sr¯ı, the bodhisattva
middle of the fourth lunar month and ended in the middle
of wisdom. So popular was Mount Wutai that it drew pil-
of the seventh lunar month, while in India and Central Asia
grims not only from within China itself, but also from Mon-
there was much more variation in the monastic schedule.
golia, Inner Asia, and Tibet.
In Japan, Mount Ko¯ya is an important pilgrimage site,
One of the specific rites that frequently forms part of
particularly the tomb of Ku¯kai (774–835; posthumous title,
the Ghost Festival in some contemporary Japanese Buddhist
Ko¯bo¯ Daishi, founder of the Japanese Tantric Shingon tradi-
traditions is the feeding of the hungry ghosts. The dead are
tion), where he is said to remain in perpetual meditation. Al-
conceived under two categories: those who have a relation
though the most important center of Shingon Buddhism, be-
with a living family and those who do not (Jpn., muenbo-
cause of Ku¯kai’s wide appeal, Mount Ko¯ya serves as a pan-
toke). The former can proceed through a cycle of rituals over
Buddhist pilgrimage site. Also associated with Ku¯kai is the
a period of thirty-three years and become a member of the
pilgrimage route encircling the island of Shikoku. Beginning
anonymous collectivity of the ancestors. In the contempo-
and ending on Mount Ko¯ya, the route comprises eighty-
rary Japanese Shingon tradition of Tantric Buddhism, these
eight temples. Despite the association with Shingon, specific
memorial rites proceed through an increasingly extended
temples along the route are affiliated with a variety of Japa-
cycle and are associated with a group known as the Thirteen
nese Buddhist sects, and have an equally wide variety of chief
Buddhas (though technically not all are buddhas): first sev-
deities (Jpn., honzon). Specific sites along the route mark
enth day, Acala (Fudo¯); second seventh day, S´a¯kyamuni
events in Ku¯kai’s life, and thus the entire route is often assert-
(Shaka); third seventh day, Mañju´sr¯ı (Monju); fourth sev-
ed to have been established by him. However, the route only
enth day, Samantabhadra (Fugen); fifth seventh day,
became a pilgrimage circuit much later, becoming most pop-
Ks:itigarbha (Jizo¯); sixth seventh day, Maitreya (Miroku);
ular in the first half of the nineteenth century. The circuit
seventh seven day, Bhais:ajyaguru (Yakushi); hundredth day,
character of the Shikoku pilgrimage is shared with many
Avalokite´svara (Kannon); first anniversary, Maha¯s-
South and East Asian pilgrimages, and distinguish these from
tha¯mapra¯pta (Seishi); third anniversary, Amita¯bha (Amida);
Western pilgrimages, which tend to be linear.
seventh anniversary, Aks:obhya (Ashuku); thirteenth anniver-
sary, Maha¯vairocana (Dainichi); and thirty-third anniversa-
Throughout its history in East Asia, Buddhist practice
ry, A¯ka¯´sagarbha (Koku¯zo¯).
interacted with other religious traditions, with borrowing
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9836
WORSHIP AND DEVOTIONAL LIFE: BUDDHIST DEVOTIONAL LIFE IN EAST ASIA
being done in both directions. In Japan the rise of distinct,
(Amita¯bha) and visualization of his image. Both kinds of
self-identified Shinto¯ traditions in the fifteenth century saw
practices are forms of “keeping the Buddha in mind” (Skt.,
the adaptation of Buddhist practices into Shinto¯ forms. For
buddha¯nusmr:ti; Chin., nianfo; Jpn., nembutsu), and as such
example, Yuiitsu and other Shinto¯ lineages developed their
are considered to imbue the practitioner’s mind with the
own rituals of fire offerings (Skt., homa; Jpn., goma), clearly
qualities of the Buddha. This is very similar to the idea of
modeled on Tantric Buddhist practices. Practice of the homa
“becoming a buddha in this body” (Jpn., soku shin jo butsu),
seems to have been entirely exterminated from the Shinto¯
which informs Tantric Buddhist practice in East Asia. This
tradition by the suppression of Buddhism (Jpn., shinbutsu
idea is reflected in the identification of the practitioner’s
bunri) in the second half of the nineteenth century, which
body, speech, and mind with the body, speech, and mind of
involved the enforced “purification” of Shinto¯. Shugendo¯,
the Buddha, which is key to many East Asian Tantric Bud-
the way of mountain ascetics, also developed a homa, this one
dhist rituals.
being performed out of doors (Jpn., saito¯ goma). Shugendo¯
S
saito¯ gomas continue to be performed in contemporary Japan,
OCIAL DIMENSIONS. An additional consideration is the
common conception of Buddhist practice as primarily being
sometimes on the grounds of Buddhist temples or Shinto¯
a matter of a solitary practitioner seeking awakening. The
shrines, and they have also become part of the Japanese new
vast majority of Buddhist practices in East Asia are social ac-
religions (Jpn., shin shu¯kyo¯). Conversely, in interaction with
tivities, either involving the monastic community or the larg-
Chinese religious culture, within which the Northern (Big)
er community. Even the practice of seated meditation as
Dipper was a key element—Buddhist practitioners created
found in the Zen lineages, often considered paradigmatic of
a homa with that constellation as the chief deity.
Buddhist practice, is rarely performed as an individual prac-
Understanding the relation between local and translocal
tice in East Asia the way it is in the contemporary West.
practices requires an examination not only of the textual re-
Rather, it is performed as part of a larger, monastic context,
cord but also of the artistic record. While sometimes appear-
meaning that it is performed both communally and as part
ing to be normative, textual sources may in fact only repre-
of a larger set of monastic practices. What has formed the
sent one local version of a practice. Like other visualization
popular image of the solitary practitioner is the noteworthy
practices, visualization of the Land of Bliss (Skt., Sukha¯vat¯ı;
exception that becomes legendary for that very reason.
Jpn., Gokuraku) originated in India, was practiced in Cen-
Buddhist practitioners and institutions have also long
tral Asia, and was subsequently transmitted to East Asia. The
been deeply involved with the state, being institutionally de-
artistic record found in Central Asian cave temples at Turfan
pendent on the court for approval of monks and for econom-
show great variety in the visualization sequence and in the
ic support. As a consequence, there are many rituals directed
elements to be visualized. As Pure Land visualization was
toward the protection of the state, from the alleviation of
transmitted further east—to Dunhuang, China, and
droughts to protecting the state from invaders. Sometimes
Japan—the practice became much more standardized, close-
called “national protection” (Chin., hu guo) Buddhism, this
ly matching the version found in the Contemplation Su¯tra
meant providing ritual services for the benefit of the court.
(Skt., Amita¯yur dhya¯na su¯tra; Chin., Kuan wu liang shou
Perhaps the most important ritual for national protection is
ching; Jpn., Kammuryo¯ju kyo¯).
the Humane Kings ritual, such as that created by Amoghava-
PRACTICE AND IDEOLOGY. The relation between practice
jra (Chin., Bukong) when he reworked the Scripture for Hu-
and ideology, or doctrine, is complex. Both practice and ide-
mane Kings in eighth-century China. The scripture is classed
ology influence one another. For example, practices are
as one of the perfection of wisdom (Skt., prajña¯pa¯ramita¯)
molded by conceptions of the path to awakening, while cos-
su¯tras, though it is apparently unique in promoting not wis-
mological conceptions reflect states of mind created through
dom (Skt., prajña¯) as key to movement along the path to
meditative practice. Likewise, practices appropriated from
awakening, but rather forbearance (Skt., ks:a¯nti; Chin., ren)
another religious tradition or relocated into a new religious
as most important. This plays on the homophone with the
milieu may be reinterpreted in order to fit into their new set-
Confucian virtue of humaneness (also ren). The equation of
ting. An emphasis on the integrity of practice and ideology
these two virtues allowed for the promotion of Buddhism in
is found within Buddhist conceptions of the path to awaken-
fifth-century China, when the first version of the Scripture
ing. One of the traditional Buddhist ways of talking about
for Humane Kings (traditionally considered a translation by
the path is to organize it under the three categories of pre-
Kuma¯raj¯ıva) appeared—a time when Buddhism was strug-
cepts, meditation, and wisdom (Skt., ´s¯ıla, sama¯dhi, and
gling for legitimacy in a Confucian world.
prajña¯). These are known as the three learnings (Skt.,
tr¯ın:i´siks:a¯s:i; Jpn., sangaku). Contrary to the idea propagated
For most of East Asian Buddhism, the Pure Land prac-
by some that meditation alone is adequate, the three learn-
tice of reciting the name of the Buddha Amita¯bha serves to
ings are understood to form an integrated whole and to all
advance the search for rebirth in the Land of Bliss. Both in
be equally necessary.
China and Japan, mixed groups of monastic and lay adher-
ents were formed to support their members in this practice,
The Contemplation Su¯tra provides a doctrinal justifica-
in some instances meeting monthly for extended periods of
tion for both recitation of the name of Buddha Amita¯yus
recitation. Some groups combined lectures on the Lotus
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WORSHIP AND DEVOTIONAL LIFE: BUDDHIST DEVOTIONAL LIFE IN EAST ASIA
9837
Su¯tra with recitation practice. Of particular importance was
derstood to generate merit that could benefit the practitioner
supporting dying members so they could pass away either re-
either in this life or the next.
citing the name Amita¯bha or at least hearing the name recit-
Recitative practices also served karmic functions, and
ed. The earliest of these groups is thought to have been estab-
their efficacy was not considered to be limited to Buddhist
lished in 402 CE by the monk Huiyuan on Mount Lu.
settings, but rather extended across the Chinese cosmology.
Comprising 123 adherents, both lay and monastic, it is
An anecdote tells of a man of good standing who, upon en-
known by its later appellation, White Lotus Society. Half a
tering a Daoist temple while drunk, playfully pulled the writ-
millennium later in Japan a similar group was formed on
ing brush from the hand of the statue of the judge of evil.
Mount Hiei. Known as the Sama¯dhi Society of Twenty-Five
Later he is met by a messenger who has been ordered by the
(Jpn., Niju¯gozanmai-e), this group was founded in 986 and
judge to bring him before the otherworldly court. Reciting
reorganized in 988 by the monk Genshin.
the Diamond Su¯tra in secret, he is reprimanded severely by
MULTIVALENCE OF PRACTICES. Some of the most common
the judge of evil, but eventually forgiven when he promises
categories for the discussion of religious practices are based
to recite the Diamond Su¯tra seven times a day for the rest
on distinctions between elite and popular (social status) or
of his life. Many other texts, including the Lotus Su¯tra and
between monastic and lay (institutional affiliation) forms of
its “Guanshiyin” chapter, which itself circulated as an inde-
practice. These categories, however, are often misleading in
pendent text, were the object of recitation practice.
the case of East Asian Buddhism, where—as we have seen
This recitation of su¯tras is one part of what has been
with the Pure Land recitation societies described above—the
called the “cult of the book,” in which texts were given reli-
same practices were commonly engaged in by both monks
gious significance in ways other than being read for their di-
and laity. Geoffrey Samuel has proposed a more nuanced
dactic content. Both hagiographic collections, such as the
three-part division based on goal or motivation. Of course,
Lives of Eminent Monks (Gaoseng zhuan) by Huijiao (496–
all category systems are provisional. The limiting factor in
554), and miracle tales written by laypersons record a variety
this case is that motivations may differ between different
of devotional practices directed toward su¯tra texts. Su¯tra
people, and the same practice may be engaged in with differ-
texts were collected, preserved, and displayed, which seems
ent goals in mind. Thus, rather than utilizing Samuel’s three-
to continue the equation made between the Buddha and his
fold division as a means of categorizing ritual practices per
teachings—su¯tra texts themselves were treated as comparable
se, it provides us with a means of acknowledging the multiva-
to relics; that is, as vehicles for the presence of buddhas and
lence of ritual practices. The strength of this categorization
bodhisattvas. The physical presence of a su¯tra text also pro-
is that it is based on Buddhist categories themselves, rather
vided protection when worn on the body like an amulet, and
than being imposed from outside.
miraculous punishments were said to follow on acts of dese-
Samuel’s three categories are: pragmatic, karma-
cration against su¯tra texts.
oriented, and bodhi-oriented. Pragmatic practices are direct-
Similar to healing, exorcistic, and apotropaic rites are
ed toward providing immediate benefits in this life. Karma-
practices related to personal hygiene, which are found
oriented practices deal with the issues of death and rebirth,
throughout East Asian monastic Buddhism. One particular
such as past and future lives. Bodhi-oriented practices are
set of these practices is focused on avoiding the polluting and
those in which the goal is awakening. Understanding East
demonic forces of the toilet. A sixteenth-century Korean So˘n
Asian Buddhist practices as having these three dimensions is
manual reflects beliefs and practices inherited from China,
important because it demonstrates the breadth of religious
which are still found in some Japanese temples as well. Before
practices and concerns in Buddhism, a breadth often ob-
entering the latrine, a monk is to snap his fingers three times
scured by the typical representation of Buddhism in contem-
to warn the demons dwelling there. This is followed by a se-
porary Western religious culture, which focuses solely on an
ries of five mantras—for entering the latrine, for purification,
individualized quest for awakening. Some of the practical
for cleansing the hand, for getting rid of filth, and for a pure
concerns include healing, exorcism of demonic posses-
body.
sions, and apotropaic protection from demonic attack and
possession.
Illness and demonic possession do not seem to have
been clearly distinguished, as illness was often understood as
Healing has been a primary human concern in Bud-
a sign of demonic possession—seen, for example, in the Japa-
dhism, as in other religious traditions. In medieval Chinese
nese Tale of Genji (Genji monogatari), written by Murasaki
Buddhism, for example, there are many stories of recitation
Shikibu at the very beginning of the eleventh century. Exor-
of mantras and su¯tras healing the practitioner, either lay or
cistic rituals date back much further in China, however.
monastic, from illness or demonic possession. Common
Compiled in the middle of the fifth century CE, the Buddhist
among these recitative practices are recitation of the name
Book of Consecration employs a practice of impressing a seal
of the Buddha Amita¯bha (Chin., Amitou; Jpn., Amida) and
empowered with the names of powerful spirits. Despite the
the Diamond Su¯tra (Prajña¯pa¯ramita¯ hr:daya su¯tra). Like con-
text’s use of the Sanskrit term mudra¯, which literally means
structing roads and bridges, and providing economic support
“seal,” the Buddhist form of this ritual draws on earlier Chi-
for monks and monasteries, such recitative practices were un-
nese practices. Seals were used as the symbol of authority and
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9838
WORSHIP AND DEVOTIONAL LIFE: BUDDHIST DEVOTIONAL LIFE IN EAST ASIA
power, and by carving seals with the names of powerful spiri-
The ritual format of repentance rites expanded over
tual entities, such as the Yellow God, Monarch of Heaven,
time, coming to include from four to eleven ritual actions,
and impressing these either directly on buildings or on pieces
known as “limbs.” While there are eleven elements in both
of paper hung on a house, one could be protected from de-
the Indian and Chinese forms, differences between the two
monic forces. Such apotropaic uses clearly match exorcistic
traditions lead to a total of fourteen. These are making offer-
uses in which the seal is applied to the body of the afflicted
ings (Skt., pu¯ja, pu¯jana¯; Chin., gongyang), going for refuge
person.
(Skt., ´sa¯ran:a-gamana; Chin., sangui), receiving the five pre-
TYPES AND STRUCTURES. Buddhist practitioners have cate-
cepts (Chin. only, shou wujie), relying on the Buddha’s path
gorized ritual practices according to their purposes. These
(Skt. only, ma¯rga¯´srayan:a), offering praise (Skt., vandana¯;
native taxonomies demonstrate the continuity of Buddhist
Chin., zan fo), performing veneration through prostrations
thought, which originated in Indian Buddhism and is found
(considered part of the offerings in Sanskrit; distinguished
in Tibet as well as East Asia. These categories are applied,
in Chinese, li fo), confessing or repenting (Skt., pa¯pa-de´sana¯;
for example, to the homa, which has its origins in pre-
Chin., chanhui), rejoicing in the merits of others (Skt.,
Buddhist Vedic votive rituals employing fire as a means by
pun:ya¯numodana¯; Chin., suixi), requesting the buddhas to
which the offering is transferred from the officiant to the dei-
teach (Skt., adhyes:ana¯; Chin., quanzhu, qing), requesting the
ties evoked. In the esoteric Buddhist traditions, there are five
buddhas to remain in the world (Skt., ya¯cana¯, not distin-
purposes for which the homa may be performed: for pacifica-
guished from requesting the buddhas to teach in Chinese),
tion (Skt., ´sa¯ntika; Jpn., soku sai); for increase (Skt., paus:t:ika;
sacrificing the self (Skt., atmatya¯ga, a¯tmabha¯vananirya¯tana;
Jpn., zo¯ yaku); for subjugation (Skt., a¯bhica¯ruka; Jpn., go¯
Chin., sheshen), giving rise to the thought of awaken-
buku or jo¯ buku); for subordination (Skt., va´sikaran:a; Jpn.,
ing (Skt., bodhicittotpa¯da; Chin., fa putixin), transfering
kei ai); and for acquisition (Skt., an˙ku´sa; Jpn., ko¯ sho¯). The
merit (Skt., parin:a¯mana¯; Chin., huixiang), and making vows
use of the same ritual for differing purposes is evidenced by
(Skt., pran:idha¯na; Chin., fayuan).
this practice. Each of these five kinds of homa are interpreted
The structure of the homa ritual demonstrates another
as having both a practical purpose and as conducive to awak-
organizing structure. The fundamental ritual metaphor is
ening. For example, the homa of pacification functions prac-
that of feasting an honored guest, which originates in Vedic
tically to protect the practitioner—or the ritual sponsor—
ritualism and was adopted into all Tantric traditions. The rit-
from accidents, disasters, and misfortunes. The esoteric in-
ual proceeds through a regular sequence beginning with pre-
terpretation is that the ritual extinguishes obscurations (Skt.,
paring the site and offerings, inviting the deities into the ritu-
kle´sa; Jpn., bonno¯). Indeed, the ideology of esoteric Bud-
al space, making offerings and ritually identifying with the
dhism presents a view in which there is no real difference be-
chief deity, separating from the chief deity and returning the
tween these two effects, based on the equation of sam:sa¯ra and
deities to their place in the man:d:ala, and finally ending
nirva¯n:a found in the Madhyamaka tradition. An instance of
the ritual and opening the ritual space.
the practical application of the homa of pacification is found
at the Shin Daibutsu temple in Mie prefecture, where the rit-
CONCLUSION. The range and variety of East Asian Buddhist
ual is performed for the protection of truck drivers who work
practice can be exemplified by examination of a specific cult,
in the logging industry.
such as that of Ks:itigarbha, the Earth Treasury Bodhisattva.
There are three primary axes of this cult: devotional prac-
The contents and organization of many of the rituals of
tices, repentance rituals, and funerary rituals. The devotional
East Asian Buddhism were based on a common set of ele-
practices include recitation of the name of the bodhisattva,
ments and structures. In China, one of the most widely prac-
creation of different kinds of representations of the bodhisatt-
ticed monastic rites was repentance. Repentance rituals were
va and their veneration, and recitation and copying of the
built up out of a set of common elements. The earliest set
Su¯tra of the Bodhisattva Ks:itigarbha. Recitation of the name
of these elements appears in the triskandha ritual found in
and veneration of the image of Ks:itigarbha seem to have been
the Ugra-paripr:ccha¯ Su¯tra, translated into Chinese in the last
influenced by the Pure Land tradition’s practices. The link
decades of the second century CE. Typically, the triskandha
between Pure Land and the cult of Ks:itigarbha is indicated
is a three-part ritual involving repentance, rejoicing in the
by the changes to the standard Amita¯bha triad of Amita¯bha
merits of others, and requesting the buddhas to teach. This
Buddha and his two attendant bodhisattvas, Avalokite´svara
was not a fixed form, however. In some versions, rejoicing
and Maha¯stha¯mapra¯pta. In some cases Maha¯stha¯mapra¯pta
in the merits of others is replaced with committing oneself
is replaced by Ks:itigarbha. A variety of repentance rituals fo-
to changing one’s future behavior. Requesting the buddhas
cusing on Ks:itigarbha were also written.
to have pity on the practitioner replaces requesting the bud-
dhas to teach. The formulaic character of repentance rites in-
The diversity of East Asian Buddhist practices constitute
dicates that these are not confessions of particular sins that
a rich field of study, especially given the difference between
one has committed, but rather a ritualized repenting of all
these practices and both the intellectual heritage of Western
of the karmic offenses that one may have performed—not
religious studies and the popular representation of Buddhism
only in this lifetime, but indeed in all previous lifetimes
in the West. The issues raised by the study of East Asian
throughout beginningless time.
Buddhist practice include the integrity of ritual and medita-
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WORSHIP AND DEVOTIONAL LIFE: BUDDHIST DEVOTIONAL LIFE IN TIBET
9839
tion, the dynamics of local and translocal practices, the com-
Wang-Toutain, Françoise. Le bodhisattva Ks:itigarbha en Chine du
plex relation between practice and ideology, the social di-
Ve au XIIIe siècle. Paris, 1998.
mensions of practice, the multivalence of practice, and the
Weber, Claudia. Buddhistische Beichten in Indien und bei den Uig-
emic categories for types and structures of practice.
uren: Unter besonderer Berücksichtigung der uigurischen Laien-
beichte und ihrer Beziehung zum Manichäismus. Wiesbaden,
SEE ALSO Amita¯bha; Buddhist Meditation, article on East
Germany, 1999.
Asian Buddhist Meditation; Buddhist Religious Year; Nian-
Welch, Holmes. The Practice of Chinese Buddhism, 1900–1950.
fo; Priesthood, article on Buddhist Priesthood; Su¯tra Litera-
Cambridge, Mass., 1967.
ture; Temple, articles on Buddhist Temple Compounds.
Williams, Bruce Charles. “Mea Maxima Vikalpa: Repentance,
B
Meditation, and the Dynamics of Liberation in Medieval
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9840
WORSHIP AND DEVOTIONAL LIFE: BUDDHIST DEVOTIONAL LIFE IN TIBET
Karma, the consequence of the actions of past lives,
the model of Buddha’s life. The Phyag ’bum (cha bum,
along with the consequences of this life’s actions in a subse-
100,000 prostrations) are also performed by individuals as
quent life, form the theological basis of the people’s beliefs.
a spiritual and devotional exercise that should be done once
The maintenance of the right attitude and the right mind so
in a lifetime; it is very strenuous and usually takes three
as to accumulate merit is the key to a better future life; few
months to complete. A person performing a large number
people hope to reach the enlightened state, by which they
of prostrations can wear a leather apron and gloves, especially
will escape the wheel of reincarnation. Each being has to
during pilgrimages.
practice religion in the best way possible at the level reached
Recitation of formulas called mantras, which are dedi-
in this present life. The worship and devotional life of Tibet-
cated to a single deity, is performed with a 108-bead rosary
ans reflect these specificities of Tibetan Buddhism.
or a prayer wheel and is the most common and ubiquitous
For most people, including monastics, worship as an in-
form of worship. The two main formulas are om: man:i padme
dividual or a community revolves around thanksgiving and
hu¯m:, the six-syllable mantra of Avalokite´svara, the bodhisatt-
pleasing the deities in order to be safeguarded; worship also
va of compassion, who can release sentient beings from the
involves beliefs concerning protection against evil influences,
six realms of rebirth, and om: vajra guru¯ siddhi hu¯m:, the man-
which can take the form of spirits, and the accumulation of
tra of Padmasambhava, whom Tibetans call Guru¯ Rinpoche.
meritorious actions. Most of the devotional life of Tibetans
Women have a special devotion for Ta¯ra¯, the savior and fe-
is made up of rituals or actions directed toward these aims.
male aspect of Avalokite´svara, and they recite her mantra as
protection. These mantras can be recited whenever people
In monastic communities, besides individual practices,
have free time and while traveling. Elderly people devote
worship takes the form of common daily rituals to the Bud-
most of their time to recitations for their own accumulation
dha, bodhisattvas, and deities who are specific to each reli-
of merit, as well as for the merit of all sentient beings. Collec-
gious tradition within Tibetan Buddhism. The recitation
tive 100,000 recitations are also organized by monastic com-
and chanting of prayers accompanied by music is one of the
munities.
best-known features of Tibetan Buddhism. Certain se-
quences of prayers and gestures form a liturgy, also called rit-
Circumambulations around holy places are the third
ual, which can be performed for different purposes and be
most popular form of devotion, following prostration and
more or less elaborated. Sacrificial cakes (gtor ma) made of
recitation; all three are often combined. The holy place could
cereals and butter are erected and offered to deities by the
be a monastery, a temple, a mchod rten (Buddhist memorial),
monastics. Each deity has a specific sacrificial cake. Sand
even a whole city like Lhasa or a mountain like Kailash in
man:d:alas, which take days to make according to a prescribed
Western Tibet. Buddhists perform their circumambulation
text, are sometimes offered and then destroyed at the end of
with the holy place on the right-hand side (Bonpos keep it
the ritual, demonstrating the impermanence of all things.
on the left-hand side). The manner of performing circumam-
Monastics have other important ceremonies as well: rituals
bulation is left to each person’s initiative; the practice may
of ordination (for novices and fully ordained monks),
be performed daily or on auspicious days, and may include
monthly rituals of purification, summertime rituals of re-
fast walking and half or complete prostrations individually
treat, and rituals of accession to higher ranks and offices
or in a group.
within the monastic hierarchy.
The cult of relics is another manifestation of worship in
Lay people visit temples on auspicious days to offer but-
Tibetan Buddhism. Miraculous imprints of parts of the body
ter lamps and incense sticks, and to prostrate in front of the
of a saint are found in rocks, and people touch them with
deities, asking for their blessings. They can also offer tea or
their forehead in order to attain blessings. Bones found after
make any other kind of offering to the whole monastic com-
the cremation of high lamas and even mummies are en-
munity, actions that will bring them merit. Out of devotion,
shrined in mchod rten and are objects of great veneration and
lay people often use all their extra earnings to make religious
a source of blessings. One impressive example is the temple
contributions towards new statues or paintings in a temple,
containing the reliquary mchod rten of the Dalai Lamas in
or toward building a Buddhist memorial mchod rten (chor-
the Potala in Lhasa. Tibetans, in an uninterrupted flow, pass
ten, in Sanskrit, stupa), or to go on pilgrimage. These actions
in front of them, touch them with their forehead, burn in-
are believed to not only add merit to a person’s karma, but
cense sticks, and pour butter and oil into the butter lamps.
also to increase positive influences for the whole community
This manifestation of faith is all the more poignant now that
and beyond to all sentient beings. Collective or individual
the Potala is officially a museum and people have to move
practices are based on the same belief. Devotional actions are
very quickly through the temple. In addition, designated
not only meant for oneself but for humankind, and they take
holes and passages in rocks at “power places” are associated
different forms.
with a means to purify oneself from sins. They are matrices
symbolizing rebirth to a new life.
Nyung gnas (nyungne, prayer and fasting), which can last
for several days, is practiced mainly by groups of village
All these devotional manifestations find their apex in
women and nuns for the benefit of all. Dbyar gnas (yarne)
pilgrimages. During pilgrimages, monastics and lay people
is the summer retreat made by monastic communities after
alike combine all of them. This is probably one reason why
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WORSHIP AND DEVOTIONAL LIFE: BUDDHIST DEVOTIONAL LIFE IN TIBET
9841
pilgrimages are so highly regarded in Tibetan Buddhism.
social forces, and to tame and discipline); and (4) wrathful
They often represent a lifelong dream, the realization of
rites (to protect against evil and remove obstacles; exception-
which demands financial investment and hardship for most
ally, these rites may involve the taking of sentient life). This
people. But these material conditions make the pilgrimage
four-fold philosophical categorization of rites is understood
even more meritorious, and the devotion shown by pilgrims
by most educated monks, but common people often do not
amply demonstrates the total spiritual fulfillment of this act.
perceive the rites in this way. They see rites as a means to
remedy a particular situation.
Holy cities like Lhasa, monasteries like Bsam yas
(Samye), and sacred mountains like Gang Tise (Kailash), A
An important aspect of devotional life is made up of rit-
myes ma chen (Amnye Machen) in northeastern Tibet, and
uals performed at home. Each house has an altar room or,
Tsa ri (Tsari) in southeastern Tibet are the most rewarding
in the case of very poor people, a corner devoted to religious
in terms of blessings and merit. But people also make pil-
activities. Monastics, or simply religious practitioners in
grimages to sites that are not far from their region, and some
some areas, are called into a family’s house and stay there for
pilgrimage destinations are purely local. Travel to a distant
one or several days, depending on the length of the ritual
pilgrimage site, which can take weeks to reach, is usually or-
they have been asked to perform. The reading of a specific
ganized by a group of villagers headed by a monk. With the
text, often a version of the Prajña¯pa¯ramita¯ in 100,000 verses
assistance of a religious guidebook, the monk points out the
(’bum) or 8,000 verses (brgyad stong pa) is done, if possible,
important places en route and explains their symbolic mean-
once a year in each household to insure blessings to the fami-
ing. The skor ra (kora), or circumambulation of a mountain
ly. On a grander scale, a noble family can ask for the reading
(mountains are considered the abode of a manifestation of
of the 120 volumes of the Bka’ ’gyur (Kanjur), considered
the Buddha), can take several days.
to be in the Tibetan Buddhist canon the words of the Bud-
Only the most determined do the full prostration all the
dha. There are religious communities that specialize in read-
way; helped by a friend, they may live off alms on a physically
ing the scriptures.
exhausting but spiritually fulfilling journey. Today in Lhasa
Other rituals have different purposes, and they usually
one can still meet such leather-clad pilgrims who have pros-
involve lengthy preparations in the making of sacrificial
trated all the way from their home regions to the holy city,
cakes, effigies, or thread crosses, and the gathering of special
continuing their devotion through the fumes and the noise
ingredients and vessels. A ritual has more value if it is presid-
of the traffic. The pilgrim is oblivious to the ugly aspects of
ed over by a reincarnate lama. The purpose of these rituals
the modern city and sees only the holy places. India and its
is to cleanse the house after a birth or a death; to ensure the
historical Buddhist sites, such as Bodh Gaya¯, are the ultimate
prosperity of the family, the harvest, and the cattle; to ward
pilgrimage destinations for Tibetan Buddhists.
off evil spirits who have caused sickness or misfortune; to call
One of the strongest aspects of Tibetan devotional life
back prosperity and fortune or g-yang (yang); to protect
is the veneration in which high incarnate lamas (addressed
members of the family while they travel; or to redeem sins.
as rinpoche, “precious jewel”) are held. Such a lama is a sprul
It may be in the rituals that the assimilation of pre-Buddhist
sku (tulku), which, in Tibetan, means a body of incarnation,
or non-Buddhist beliefs into Buddhism is most obvious. The
implying that he is a human embodiment, a quintessential
best example might be the state oracle ceremony, still per-
representative, of the Buddha or a bodhisattva, or the present
formed today. During every New Year festival, the oracle
form of a saint. The Dalai Lama is the best known of such
monk of Gnas chung (Nechung) monastery, next to ’Bras
high lamas: he is the incarnation of the bodhisattva
spung (Drepung) near Lhasa and now rebuilt at Dharamsala
Avalokite´svara, the all compassionate, and the Buddhist pro-
in India, dressed in ceremonial garments and crowned by
tector of Tibet. However, there are hundreds of incarnate
heavy headgear, is brought before the Dalai Lama in public.
lamas. Some are the embodiment of a long lineage of past
While in a trance, possessed by the deity Rdo rje drag ldan
lamas, some are more reputed for their spiritual achievement
(Dorje Dragden), he blesses the state and the people and
and teachings than others, but all command a veneration
shoots a symbolic arrow at the heart of the scapegoat effigy
that is difficult to describe in rational terms. Being in their
in which all the evil of the previous year is magically entrap-
presence, listening to their teaching, and getting blessed by
ped. The effigy is then burned in a bonfire. In coded lan-
them are among the greatest benedictions a devotee can hope
guage, the oracle monk provides information to the state, re-
for. This explains the gathering of thousands of people who
sponds to questions, and gives warnings of impending
come from all over the world when one of these high incar-
dangers.
nates gives a public initiation. It also explains the blessing on
Many rituals that Tibetans perform as part of their de-
the head given by the touch of a lama’s photograph.
votional life find their origins in the pre-Buddhist religion,
According to Tibetan Buddhism, rites fall into four
commonly called Bon. Once a year, community rituals dedi-
main categories: (1) pacification rites (to pacify, bless, and
cated to the local guardian deity of the territory are per-
heal); (2) augmentative rites (to increase lifespan and good
formed; these involve the burning of incense and juniper, as
luck, and to generate bounty and wealth); (3) empowering
well as the erecting of prayer flags near the abode of the deity,
rites (to enhance control of divine and human individual and
usually on a mountain. The burning of juniper, called bsangs
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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WORSHIP AND DEVOTIONAL LIFE: DAOIST DEVOTIONAL LIFE
(sang), is also done daily by each family in order to please the
Ricard, Matthieu, Olivier Föllmi, and Daniele Föllmi. Buddhist
local deity. This does not prevent Buddhist prayers being
Himalayas. London and New York, 2002
said every morning in the family altar room, where butter
Ricard, Matthieu. Monk Dancers of Tibet. Translated by Charles
lamps and water bowls are placed as offerings to the Buddha
Hastings. Boston, 2003.
and bodhisattvas.
Richardson, Hugh. Ceremonies of the Lhasa Year. London, 1993.
The great capacity of Tibetans to assimilate or maintain,
Samuel, Geoffrey. Civilized Shamans: Buddhism in Tibetan Socie-
side by side, different beliefs in a religion called Tibetan Bud-
ties. Washington, D.C., 1993.
dhism has led to a rich devotional life that is supported by
Samuel, Geoffrey, Hamish Gregor, and Elisabeth Stutchbury, eds.
an unwavering faith in meritorious acts and compassionate
Tantra and Popular Religion in Tibet. New Delhi, 1994.
beings.
Stein, Rolf A. Tibetan Civilization. Translated by J. E. Stapleton
SEE ALSO Buddhism, article on Buddhism in Tibet; Bud-
Driver. Stanford, Calif., 1972.
dhism, Schools of, articles on Early Doctrinal Schools of
Tucci, Giuseppe. The Religions of Tibet. Translated by Geoffrey
Buddhism, Tibetan and Mongolian Buddhism; Man:d:alas,
Samuel. Berkeley, 1980.
article on Buddhist Man:d:alas; Tibetan Religions, overview
article.
FRANÇOISE POMMARET (2005)
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Avedon, John F. In Exile from the Land of Snows. New York, 1984;
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reprint, 1997.
DEVOTIONAL LIFE
Bazin, Nathalie, ed. Rituels tibétains: Visions secrètes du Ve Dalai
The Chinese have traditionally rendered a cult to a vast array
Lama (Catalogue de l’exposition du Musée Guimet, 6
novembre 2002– 26 février 2003). Paris, 2002.
of spiritual beings that includes, in addition to their own an-
cestors, great heroes of the past, spirits of place, and the souls
Beer, Robert. The Encyclopedia of Tibetan Symbols and Motifs.
of the unfortunate dead. Every geographical unit had its own
London, 1999.
god of the soil; every social grouping has its patron deity and
Beyer, Stephen. The Cult of Ta¯ra¯: Magic and Ritual in Tibet.
temple. There were gods who judged the souls of the dead
Berkeley, 1973.
and gods who kept watch on the conduct of the living; there
Blondeau, Anne-Marie, ed. Tibetan Mountain Deities: Their Cults
were gods of healing and gods who spread epidemics. Even
and Representations. Vienna, 1998.
the latrine, as a distinct place, had its guardian spirit.
Blondeau, Anne-Marie, and Ernst Steinkellner, eds. Reflections of
the Mountain: Essays on the History and Social Meaning of the
Chinese popular religion is essentially concerned with
Mountain Cult in Tibet and the Himalayas. Vienna, 1996.
the cultivation of the good graces of these spirits, most of
Brauen, Martin. The Mandala: Sacred Circle in Tibetan Buddhism.
whom are at once potentially harmful and potentially benefi-
Translated by Martin Wilson. London, 1997.
cial. Their cults represent alliances or covenants between the
worshipers and the worshiped: in exchange for the protection
Buffetrille, Katia. Pèlerins, lamas, et visionnaires: Sources orales et
écrites sur les pèlerinages tibétains. Vienna, 2000.
and assistance of the spiritual potentate, the faithful render
it a cult. It is a reciprocal relationship, with obligations on
Dowman, Keith. The Sacred Life of Tibet. London, 1997.
both sides. These features of the religion of the people also
Gyatso, Tenzin. My Land and My People. New York, 1962; re-
characterize state-sponsored religion from very early times,
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as may be seen in the third-century BCE descriptions of the
Lama.
gods of the realms’ mountains and rivers in the Shanhai jing
Huber, Toni, ed. Sacred Spaces and Powerful Places in Tibetan Cul-
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ritory required knowing the nature of the local gods and
Huber, Toni. The Cult of Pure Crystal Mountain: Popular Pilgrim-
making the prescribed sacrifices to them.
age and Visionary Landscape in Southeast Tibet. Oxford,
1999.
Daoism, by contrast, is the cult of the Dao (“way”); it
Karmay, Samten G. Secret Visions of the Fifth Dalai Lama. Lon-
denies neither the existence of the gods nor the legitimacy
don, 1988; reprint, 1998.
of the cults rendered them. It simply accords them an insig-
Karmay, Samten G. The Arrow and the Spindle: Studies in History,
nificant place in the world of the Dao. “In a world governed
Myths, Rituals, and Beliefs in Tibet. 2 vols. Kathmandu,
according to the Way,” says Laozi (fourth century BCE),
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“spirits are impotent, or rather, it is not that they are impo-
Lopez, Donald S., ed. Religions of Tibet in Practice. Princeton,
tent, but that they have no power to harm people.”
1997.
Unlike the gods of the popular pantheon, the Dao
McKay, Alex, ed. Pilgrimage in Tibet. Richmond, U.K., 1998.
“gives life yet lays no claim, is generous but exacts no grati-
Nebesky-Wojkowitz, René de. Oracles and Demons of Tibet: The
tude” (Laozi 2); it “clothes and feeds the myriad creatures but
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does not lord it over them” (Laozi 34). The natural model
Austria, 1956; reprint, Kathmandu, 1993.
for this “highest good” is water. “Because water excels in ben-
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WORSHIP AND DEVOTIONAL LIFE: DAOIST DEVOTIONAL LIFE
9843
efiting the myriad creatures without contending with them
Cui later goes off to Sichuan in western China to sell
and collects in a place ordinary people despise, it comes close
his pills. Although no cult is established in his honor, many
to the Way” (Laozi 8). “Greatly virtuous behavior,” there-
of the immortals do become cult objects. Huang Yuanqui,
fore, “consists in following the Way” (Laozi 21), and the
a Daoist (daoshi) who descends occasionally from his moun-
Daoist is simply one who, because he “acts in accord with
tain to sell drugs, comes to be worshiped because he saves
the Dao, is like the Dao” (Laozi 23).
the local people from an earthquake by giving them advance
warning of its imminence. A female Daoist (daoren) by the
A book of philosophical maxims, the Laozi says nothing
name of Changrong likewise becomes the object of a cult
of the practices that most probably lie behind Laozi’s princi-
when, over a period of two hundred years, she wins fame by
ples. Recent studies of hitherto neglected texts, such as the
giving away to widows and orphans all the money she makes
Neiye (“inward training”), said to date to about the same
selling a special plant from her mountain as a dye. Another
time as the Laozi, have helped to fill this gap by showing that
mountain-dwelling Daoist first appears to give one Shantu
meditation practices were already highly developed at that
a recipe or an herbal drug that not only heals his wounds but
time. The discovery in tombs dating to the early imperial pe-
also completely satisfies his hunger. When Shantu returns to
riod (early second century BCE) of medical texts and texts of
become his disciple, the Daoist reveals himself to be an
macrobiotic hygiene has also opened up new perspectives on
“angel of the Five Peaks,” that is, one of the divine messen-
what some now call “proto-Daoism.” These new sources
gers of the five sacred mountains of China.
show that the human body was already then understood as
a kind of microcosm, subject to the same rules of order and
HEAVENLY MASTER DAOISM. If most of the immortals of the
Biographies were hermits of the distant past, the second cen-
disorder as the macrocosm. In both worlds, the normal circu-
tury
lation of qi (breath, vapor, energy) was seen as essential to
CE also witnessed the appearance of the first mass move-
ments in Daoism. The most important proved to be that of
health, and techniques were therefore proposed for ensuring
the Way of the Heavenly Masters (Tianshi dao), which has
and improving this circulation. Prominent among these
survived to the present. Sometime in the middle of the sec-
techniques were breath and sexual cultivation.
ond century—the traditional date is 142 CE—Zhang Daol-
The Liexian zhuan (Biographies of the immortals), a
ing, on the basis of a revelation received from the Most High
second-century collection of seventy hagiographic sketches,
Lord Lao (the religious title of the philosopher Laozi),
gives a good idea both of the range of these practices and of
founded a “church” composed of twenty-four “governances”
their social function. All the practices focus on the human
(zhi). The twenty-four governances on earth corresponded
body, which is conceived of as a kind of “energy bank” whose
to twenty-four energies in heaven, and the term therefore im-
original capital can either be spent—the result is death—or
plied that the world of the Heavenly Masters was “governed”
“nourished” and so augmented until one obtains immortali-
according to the same principles as heaven.
ty. Adepts “nourished their energy” (yang qi) with a great va-
Behind this program for an orderly world lay a detailed
riety of natural products thought to be particularly potent.
cosmology. The Dao was conceived of as a giant body con-
The most remarkable of these products is without doubt the
taining three pure energies in a chaotic state. Over time,
“essence of the mysterious female,” obtained by means of the
these energies separated out to form a three-layered universe
“arts of the bedroom.” But most of the products were of ei-
composed of the heavens above, the earth beneath, and the
ther a plant or mineral variety: roots, thistles, chrysanthe-
waters under the earth. Each of these three layers spread out
mums, pine seeds, mica, and cinnabar are among those men-
to the “eight confines,” that is, the four directions plus the
tioned. Inasmuch as most of these products could be found
four corners. The twenty-four governances are the replica of
only by patient searching in uninhabited regions, the future
these twenty-four regions of the universe; both are expres-
immortals (xian) appear as solitary individuals who, having
sions of the twenty-four celestial energies, each of which is
learned the techniques of searching and use from a master,
dominant in turn for fifteen days each year: 24 x 15 = 360.
disappear into the mountainous wilds or the “Far West” and
are never seen again. But some return on occasion to cure
The new religion was called the zhengyi mengwei dao
people or save them from a natural disaster.
(“way of the alliance of the orthodox one with the gods”).
The Orthodox One was the “unique energy” of Lord Lao—
One Cui Wen Zi, for example, after having lived for a
his revelation—communicated to Zhang Daoling. The gods
long time in obscurity at the foot of Mount Tai—also called
were taken over from the popular pantheon, but they includ-
the Eastern Peak and considered to be the dwelling place of
ed only the gods who assisted in governing the universe, that
the souls of the dead—returns one day to human society to
is, the gods of the hearth and of the soil, who reported at reg-
sell his “yellow potions and red pills.” When later a great epi-
ular intervals to heaven on the conduct of the family or the
demic breaks out and the deaths number in the tens of thou-
community of which they had charge. In addition, there
sands, the civil authorities come to Cui begging him to save
were the Four Generals, who “hold the year-star in place,”
the people. Carrying a red banner in one hand and his yellow
that is, regulate time, and the Three Officers, who control
potion in the other, Cui goes from house to house, and all
the Three Realms of heaven, earth, and the waters. Explicitly
who drink his potion are saved.
excluded from this pantheon were the souls of the dead,
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WORSHIP AND DEVOTIONAL LIFE: DAOIST DEVOTIONAL LIFE
which played so large a part in popular religion. They were
of difficulty (drought, locusts, rats, tigers, sorcery, epidemics,
considered “stale energies” that needed to be recycled, and
etc.). The offerings invariably include rice, silk, money, in-
whose worship, as it retarded their recycling and so contra-
cense, oil, and the paper, brushes, and ink needed to write
vened the natural order, could only cause harm to the living.
the petition. The generic term for such offerings came to be
jiao, a word that originally referred to the ceremonial offer-
The Three Officers were particularly important because
ings made in connection with a marriage or with male puber-
they were cosmic inspector gods. It was to them that ill
ty rites. What distinguished such an offering from other of-
adepts had therefore to address documents of confession, for
ferings was that it was not performed “in response” to
all illness was considered to be the result of sin. Each of the
someone or “in exchange” for something. It was, in that
Three Officers governed a portion of time, as well as a por-
sense, a gratuitous act, as opposed to an act of gratitude.
tion of space. Every year, at the beginning of their respective
reigns, assemblies of the gods were held to bring the registers
Jiao offerings of this kind remain to the present day the
of merit and demerit of all beings up to date. On those days,
one truly distinguishing feature of Daoism in general. Nowa-
called the days of the Three Assemblies, the Daoist faithful
days, in addition to rice, they include tea, fruits, wine, pre-
gathered for communal rituals and meals called zhai or chu.
cious objects, candles, even the texts used during the rituals.
The word chu means “kitchen” and therefore refers primarily
They are called “pure offerings” in order to distinguish them
to the communal meal. The word zhai came to mean “vege-
from the offerings of popular religion, which still include
tarian meal,” in part because Daoist meals did not involve
meat, either cooked or raw. These two different types of of-
animal sacrifices like the meals associated with popular cults;
fering show better than anything else the real differences be-
however, its basic meaning is “to equalize,” in the sense of
tween the alliances of ordinary people with their gods and
“to compose oneself” in preparation for an important en-
the Alliance of the Orthodox One with the Powers: ordinary
counter, especially with the gods. The term “merit meals”
alliances are “deals” between nonequals, and the offerings are
was also used because, as with the meals in the popular cults,
often described quite frankly as “payoffs,” such as one would
the food eaten was first offered to the gods. It was thus conse-
make to a local hoodlum or mandarin. At the same time,
crated food that brought merit and blessing to its partaker.
such an alliance has nothing permanent about it: it can be
broken by either of the contracting parties for “breach of
The days of the Three Assemblies were also the occa-
contract.”
sions for bringing the registers of the faithful up to date. This
was the job of the jijiu (libationers), as the heads, male or
The Alliance of the Orthodox One with the Powers,
female, of the twenty-four governances were called. Everyone
being based on the structure of the universe itself, cannot be
in his or her governance, layperson or priest, had a register
broken; it can only be recognized. Ritual action that is in ac-
that corresponded to his or her level of initiation. The texts
cord with this structure automatically brings a response of
concerning these registers are unfortunately late (sixth to
“merit,” for like is attracted to like. Adherents of the Alliance,
eighth century) and contradictory, but we can deduce from
therefore, must transcend the expectations of reciprocity and
them that the faithful were organized in a military hierarchy,
mutual obligation that normally determine social and spiri-
conceived, no doubt, on the model of the heavenly host that
tual relations and take responsibility for their own destiny.
was holding its assembly at the same time.
They must learn to become, like a king, “solitary, single”
(Laozi 42). All of this is expressed in the “pure offering,” an
According to some texts, the body of the Dao—the uni-
offering that is pure because it includes no blood sacrifices,
verse—contains a grand total of 36,000 energies. The bodies
but also because it expresses the pure intentions of the partic-
of earth dwellers, however, contain only half that number,
ipants in the offering. It is these pure intentions that will in-
and adepts must, therefore, learn how to recognize the ener-
eluctably attract to the participants the pure energies that
gies within their bodies so as to “hold them in place” and
bring fortune, health, and salvation. The jiao offering contin-
attract their 18,000 celestial counterparts to come and “at-
ues to celebrate, thus, both a marriage and a coming of age.
tach themselves” to them. This latter term indicates how
Daoism borrowed the practices of popular cults and rational-
In addition to the vast range of rituals performed, either
ized them by making them controlled techniques in the con-
on the occasion of set feast days or at moments of crisis,
text of a complete cosmological system, because it is the same
Heavenly Master Daoism involved private practices. Recita-
term used to describe the phenomenon of possession—the
tion of sacred texts (of the Laozi in the first place, but also
god “attaches himself” to the medium—on which many
of rhymed verses describing the spirits inside the body) was
popular cults are based.
one of them. By recitation, the adept assimilated the text and
thereby gained mastery over the spirits described in it. Cycles
The expedition of petitions was also a characteristic fea-
of recitation imitated the gestational cycles in the body of the
ture of Heavenly Master Daoism. One surviving collection
Dao, and mastery over the energies within attracted their
lists the names of some three hundred such texts, together
counterparts without.
with the offerings that were to accompany them. The peti-
tions are confessions of sin, statements of merit obtained by
Great emphasis was also placed on moral behavior, and
the performance of a given ritual, and prayers for children,
each step up in the hierarchy of registers brought with it an
for long life, and for deliverance from every imaginable kind
increase in the number of commandments to be observed
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WORSHIP AND DEVOTIONAL LIFE: DAOIST DEVOTIONAL LIFE
9845
(180 for libationers). The basic idea of these many com-
the yellow energies of the true red of the solar essence
mandments was to preserve and nourish the pure energies
come before his eyes. They enter his mouth, and he
within rather than squandering them on the outside in the
swallows them eighteen times, sending them downward
pursuit of pleasure. Because infractions of the command-
with a massaging movement. He prays, “Original Yang
ments were thought to lead to illness, rituals of confession
of the Solar Lord, join your power to mine so that to-
gether we may nourish the young boy in my Scarlet Pal-
were from the very beginning a central part of the move-
ace.” After a moment, he visualizes [the energies] going
ment. In the “vegetarian vigils” (zhai) that became character-
down to the crucible [dan tian, in the depths of the
istic of Daoism from the mid-fifth century on, partly under
belly], where they stop. This leads to eternal life. (Tai-
Buddhist influence, litanies of confession came to play a
shang lingbao wufu xu 1.19a)
major role in all Daoist liturgies.
From very early times, imaginative visualization played a
INDIVIDUAL PRACTICES. The rise of communal Daoism did
central role in the Daoist’s search for transcendence. In the
not put an end to the kinds of individual practice alluded
Laozi zhongjing (second century CE), for example, the adept
to in the Biographies of the Immortals. Beginning in the fifth
learns to visualize a whole series of gods, from the Supreme
century, individual eremetism gradually gave way to monas-
Great One above his head to the spirit of his feet. Inside his
tic communities called guan. The word means “to observe”
body, at each of several levels and with constantly shifting
or “to visualize”; it refers especially to the “inner vision.”
names, he visualizes a kind of holy family composed of a
Such inner vision being the fruit of individual practice, the
Mother of the Dao and Father of the Dao, together with
constitution of “hermitages” clearly did not put an end to
their infant Real Person. The resultant familiarity with the
the individual practice of the arts of immortality. These arts
divine forces of his body becomes vital to survival during a
included techniques of visualization, breath control and cir-
three-day retreat at the time of the autumn equinox, when
culation, gymnastics, special diets, intercourse, and alchemy.
celestial gods come to inspect the human world: by “holding
Early forms of external alchemy involved a fairly broad range
these forces in his mind’s eye” (cun), he prevents them from
of minerals and metals, with cinnabar and lead being central
leaving his body. Having thus preserved all his own energies,
to the process. Later forms used lead and mercury. Internal
the adept ultimately succeeds in attracting their celestial
alchemical methods ranged from the relatively empirical,
counterparts and thereby achieves immortality.
scarcely distinguishable from the more ordinary techniques
of breath circulation, to the extremely abstract and symbolic,
The visualizations in the eleventh-century Lingbao bifa
virtually indistinguishable from traditional cosmological
are very different, focused not on individual gods but on
speculation. What these various techniques and recipes
metaphorical representations of the energies of the viscera
shared was a common symbolic and cosmological framework
that combine in an extraordinary variety of ways. After a first
and the fact that they were transmitted from master to disci-
cycle of visualizations concentrated within the trunk of the
ple in separate lineages.
body, a second cycle expands to include the head. In the
third and final cycle the adept achieves complete unity of
Breathing techniques included purely internal methods
concentration and energy. This enables him to make, cau-
such as embryonic breathing and circulating the energy while
tiously at first, journeys of the mind outside the body and,
ceasing to breathe. Other methods involved the absorption
finally, complete liberation.
of outside energies followed by the wedding of these energies
to their internal counterparts. Such techniques were usually
A similar process of interiorization occurs in the rituals
practiced at times determined by the system of symbolic cor-
of communal Daoism, partly as a result of Tantric influence.
respondences. Absorption of the energies of the five direc-
The esoteric aspects of rituals for presenting memorials, for
tions, for example, was linked to the cycle of the sun, whereas
example—the hand gestures, the dance steps, the visualiza-
that of the energies of the sun and the moon was linked to
tions—become ever more important and complex. In ex-
the phases of the moon. The adept was to inhale the energies
treme cases the external, written memorial disappears alto-
of the four directions on the first and central days of the cor-
gether. Perhaps most remarkable of all is the appearance, in
responding season (the “eight segmental days” [ba jie ri] be-
the thirteenth and fourteenth centuries, of rituals of “univer-
cause they divided the year into eight equal segments) and
sal salvation” (pudu) performed by individual laypeople in
those of the center on a day in the sixth month when the cen-
the quiet of their own meditation rooms. Down to the pres-
tral element, earth, was dominant.
ent day the ritual of universal salvation is normally the most
The adept who practiced the “method [dao] of the ab-
public, not to say noisy, of all rituals.
sorption of the essences of the sun and the moon” did so on
It is probably also during the Song dynasty that commu-
set days on each month: on days 1, 3, 5, 7, 9, and 15. At
nal Daoism of the kind described above died out. (It seems
daybreak, according to the fourth-century Tai-shang lingbao
to have survived only among the Yao tribes of southern
wufu xu (Preface to the five symbols, potent treasure of the
China, Thailand, and Laos into the twentieth century.) Lay
most high), the adept would face the sun, close his eyes, and
initiation disappeared, and the priest became a ritual special-
visualize a small boy, dressed in red, inside his heart. He
ist serving a community that had by and large ceased to un-
would massage himself with both hands from his face to his
derstand the nature of the rituals for which it still felt a need.
chest twelve times; then,
The result was not only an increase of ritual secrecy and es-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9846
WOVOKA
oterism, but also a proliferation of rituals. (Urbanization and
Dance movement of 1890. Among these earlier revelations
mercantilization of the economy were also factors in this.)
was the prediction of the return of the ancestral dead. This
One of the most interesting cases of a new ritual is that of
imminent return was to be assisted through the practice of
the posthumous ordination of laymen. People became there-
a round dance, which would also effect an earthly cataclysm
by in the next life what they had ceased to be in this life,
and so result in the removal of white men.
members of a Daoist community. The religious affiliation of
In addition to Paiute shamanic practices and the Ghost
common people in this life tended now only to be with the
Dance of 1870, Wovoka was influenced by his contact with
temples and gods of the very popular religion Daoism had
Skokomish Shakers, Mormons, and other Christians. The
originally set out to combat and replace. Daoism was on its
Puget Sound Shaker religion of the Skokomish leader Squ-
way to becoming what it is in modern times, the servant of
sacht-un (called John Slocum by whites) was primarily con-
the religion of the people, called on primarily to perform of-
cerned with healing. It combined native shamanistic and
ferings that legitimize the gods of the people by showing
Christian religious practices. These Shakers produced
them how the order of the Dao works, and integrating them
twitching-ecstasies and trances that sometimes lasted for
thereby into that order.
days. Wovoka’s later teachings were also similar to Mormon
S
doctrines regarding the rejuvenation of the American Indi-
EE ALSO Alchemy, article on Chinese Alchemy; Daoism,
overview article; Jiao; Priesthood, article on Daoist Priest-
ans, the radical transformations in the earth’s terrain, and the
hood; Xian; Zhenren.
return of the Messiah. Moreover, Paul Bailey indicates in his
biography of Wovoka (1957) that the famous Plains Ghost
BIBLIOGRAPHY
Dance shirt bears a resemblance to Mormon holy garments.
The best general introduction to religious—especially Heavenly
Finally, after his father died, Wovoka was hired by a white
Master—Daoism is Kristofer Schipper’s Le corps taoïste
family named Wilson. This position brought him into close
(Paris, 1982), translated as The Taoist Body by Karen Duval
contact with Presbyterian Christianity, which involved Bible
(Berkeley, 1993). On pre-imperial meditation techniques,
reading, moral exhortations, and pietistic stories about Jesus.
see Harold D. Roth, Original Tao: Inward Training (Nei-
yeh) and the Foundations of Taoist Mysticism (New York,
Around 1888 Wovoka is reported to have undergone
1999). On early macrobiotic techniques of longevity, see
his first deathlike trance-journey to heaven. From this point
Donald Harper, Early Chinese Medical Literature: The Ma-
his teachings were derived from conversations with the
wangdui Medical Manuscripts (London and New York,
ghosts of the dead. Wovoka’s oral revelations were associated
1998). On Daoist practice in the formative Six Dynasties pe-
with the ritual performance of the round dance, which pro-
riod, see Stephen R. Bokenkamp with Peter Nickerson, Early
moted moral and spiritual renewal. His teachings were trans-
Daoist Scriptures (Berkeley, 1997). On Daoist alchemy, see
mitted by means of a syncretic mythology and dramatized
Joseph Needham’s Science and Civilisation in China, vol. 5,
through the skillful use of his personal power symbols.
pts. 3 and 4: Alchemy and Chemistry (Cambridge, U.K.,
1976–1980), and Fabrizio Pregadio, “Elixirs and Alchemy,”
Wovoka’s foremost revelations came in a deathlike
in Livia Kohn, ed., Daoism Handbook (Leiden, 2000), chap.
coma experienced while he was suffering from scarlet fever
7, pp. 165–195. On Maoshan practice, see Isabelle Robinet’s
during the solar eclipse of 1889. During this trance-coma
Méditation taoïste (Paris, 1979), translated by Julian F. Pas
Wovoka related that he saw God on a transformed earth
and Norman J. Girardot as Taoist Meditation: The Mao-shan
where Indians and game animals abounded. Wovoka’s mes-
Tradition of Great Purity (Albany, N.Y., 1993). On symbolic
sages increasingly focused on the presence of the Messiah, a
alchemy, see Farzeen Baldrian Hussein, trans., Procédes secrets
role he himself gradually assumed. His mythology centered
du joyau magique: Traité d’alchimie taoïste du XIe siècle (Paris,
on the imminent revival of deceased Indians, who would be
1984). On the Laozi zhongjing, see John Lagerwey’s “Deux
écrits taoïstes anciens,” in Cahiers d’Extrême-Asie 14 (2003).
reunited with their living kin in an earthly paradise. His de-
scription of the fate of whites varied. He predicted that they
JOHN LAGERWEY (1987 AND 2005)
would be either swept away by the cataclysm or amalgamated
into the restored humanity. Many of these doctrines, such
as the transformed earth, were more fully explicated by
WOVOKA
Wovoka’s disciples, who disseminated the Ghost Dance in
(c. 1856/8–1932), Paiute religious prophet
the years following 1889.
and messiah of the Ghost Dance of 1890; also called Jack
Wilson by white settlers. Although he often referred to him-
The later Ghost Dance, similar to that of the Ghost
self as Kwohitsauq (“big rumbling belly”), after his paternal
Dance of 1870, was a kind of round dance that lasted for
grandfather, he was given the name Wovoka (or Wuvoka,
five nights. Men and women, their fingers intertwined, shuf-
“cutter”) by his father, Tävibo (“white man”), who was re-
fled sideways around a fire, dancing to the songs that
ported to have trained his son in Paiute shamanistic prac-
Wovoka received from the dead. While the Paiute partici-
tices. Tävibo had been an active participant in the 1870
pants themselves did not go into a trance, Wovoka did occa-
Ghost Dance led by the Paiute shaman-prophet Wodziwob.
sionally journey in a trance state to the ghosts, who assured
Central tenets of this earlier Ghost Dance were related to the
him that Jesus was already on the earth with the dead, mov-
later teachings of Wovoka, which in turn led to the Ghost
ing about as in a cloud. Moreover, along with their remon-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WUNDT, WILHELM
9847
strations against lying, drinking, and fighting, the dead said
WRITING, SACRED SEE CALLIGRAPHY;
that Indians should work for the whites and have no more
SCRIPTURE
trouble with them.
Wovoka’s personal power-symbols were typical of na-
tive shamanic practices. Along with his sombrero he used
WUNDT, WILHELM (1832–1920), German physi-
eagle, magpie, and crow feathers and red ocher paint from
ologist, philosopher, and psychologist, was best known as the
the traditional Paiute holy mountain (now called Mount
founder of experimental psychology. Born the son of a Lu-
Grant). As with so many visionary symbol systems, their
theran pastor, near Mannheim, Wundt studied at Tübingen,
meaning is not fully known, but Wovoka often incorporated
Heidelberg, and Berlin, took his Ph.D. and M.D. degrees at
these symbols into his teaching so as to foster belief in his
Heidelberg, and taught at the universities of Heidelberg, Zu-
messianic role among his followers.
rich, and Leipzig. Early in his teaching career at Heidelberg
he wrote Beiträge zur Theorie der Sinneswahrnehmung (1858–
Wovoka went somewhat into hiding when news of the
1862), considered to be the first treatment of psychology as
Wounded Knee massacre of 1890 reached him. He vigorous-
an experimental science, and Vorlesungen über die Menschen-
ly condemned the misunderstanding of his teachings, espe-
und Tierseele (1863). Perhaps his most important work for
cially as reflected in the Lakota armed resistance. He also de-
psychology was Grundzüge der physiologischen Psychologie
nied any influence in the development of the Ghost Dance
(1874), in which he advocated investigating the immediate
shirts. He later reemerged as the continuing leader of the
experiences of consciousness using a method of introspec-
much diminished Ghost Dance. He readjusted his predic-
tion. In 1874 he was made professor of inductive philosophy
tions of imminent earthly transformation, explaining that
at Zurich. In the following year, he accepted a professorship
Indian ritual and ethical behavior had not conformed prop-
at Leipzig, where in 1879 he founded what is generally re-
erly to his visions. Wovoka died on September 20, 1932, in
garded as the world’s first psychological laboratory. In 1881
Schurz, Nevada; his death was preceded a month earlier by
he founded a journal of psychology, Philosophische Studien,
that of his wife, Mary, his companion for over fifty years.
which primarily published the results of research conducted
More is known of Wovoka than of other similar reli-
at his Leipzig institute and which helped to establish experi-
gious figures, but he can be seen as part of a larger revivalistic
mental psychology as a separate discipline.
movement of the period. Various tribal groups, caught in the
During his long career at Leipzig, Wundt’s most impor-
death throes of their traditional cultures and the inescapable
tant works were Grundriss der Psychologie (1896) and his
morass of governmental reservation policy, responded to
Völkerpsychologie (10 vols., 1900–1920). These two works
Wovoka’s revelations from a variety of motivations that me-
represent diverse streams that Wundt held together: his in-
diated between their present distress and their future hopes.
terest in physiological psychology and his more philosophical
Wovoka’s injunctions against warfare, immoral behavior,
approach to the analysis of ethnic groups. For him, they were
and some traditional medicine practices enabled many who
not so disparate; he considered psychology the science that
participated in the Ghost Dance to begin the psychic transi-
could study the phenomena of human consciousness in both
tions needed to respond to the changing circumstances of
its individual and its group manifestations. In his Völkerpsy-
life. Most important in this connection was Wovoka’s orien-
chologie Wundt considered an immense amount of anthro-
tation away from exclusive tribal recognition toward a pan-
pological data. He viewed religion, myth, morality, art, and
Indian identity.
language as phenomena of long duration and therefore as
constituting a psychic reality distinct from individual con-
SEE ALSO Ghost Dance; North American Indian Religions,
sciousness. Wundt discerned a “folk soul,” which for him
article on New Religious Movements.
was not a substance but rather a psychic actuality that could
be studied. The idea of a collective unconscious was quite
B
foreign to Wundt, who rejected any idea of the unconscious,
IBLIOGRAPHY
advising his students that its study by psychology was a mis-
The most authoritative treatment of Wovoka is still James Moo-
take. Wundt focused instead on the objective forms of lan-
ney’s The Ghost Dance Religion and the Sioux Outbreak of
1890 (1896; reprint, Chicago, 1965). A biography of limited
guage, morality, and religion. Nevertheless, his earlier associ-
value because of its popularizing tone is Paul Bailey’s
ation studies anticipated and inspired the work of his
Wovoka: The Indian Messiah (Los Angeles, 1957). A good
student, Emil Kraepelin, in psychopathology, and stimulated
overview of Wovoka can be found in Bryan R. Wilson’s
the development of the association test used by C. G. Jung
Magic and the Millenium (New York, 1973). For an informa-
and his associates in Zurich.
tive account of Wovoka’s continuing involvement, by mail,
Although social psychologists (except possibly for those
in Ghost Dance activities after 1890, see Grace M. Danberg’s
edition of Letters to Jack Wilson, the Paiute Prophet, Written
in Germany during the Nazi period) have rejected any no-
between 1908–1911 (Washington, D.C., 1957).
tion of a folk soul and have operated from premises different
from those established by Wundt, social psychology has con-
JOHN A. GRIM (1987)
tinued the study of the objective forms of religion in society.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9848
WYCLIF, JOHN
Wundt’s interests in the universality of mythological motifs
and canonries in collegiate churches or cathedrals. From this
and the nature of the language of religion have been taken
income they were expected to pay vicars for service during
up by students in the fields of history of religions (although
their absence. Wyclif was no exception. In 1361 Balliol gave
the evolutionary approach implicit in Wundt’s more philo-
him its choicest living at Fillingham, Lincolnshire. The fol-
sophical works has been rejected) and psychology of religion,
lowing year he received from Pope Urban V a prebend at
especially from Freudian and Jungian perspectives.
Aust in the collegiate church of Westbury-on-Trym near
Bristol, but he neither resided there nor ever provided a vicar.
BIBLIOGRAPHY
In 1368 Wyclif exchanged Fillingham for Ludgershall, a less
The best recent studies of Wundt’s work are two publications
lucrative living in Buckinghamshire, because it was nearer to
stemming from the celebration of the founding of his psy-
Oxford. He left this in 1374 for a royal provision at Lutter-
chological laboratory in 1879: Wundt Studies: A Centennial
worth, Leicestershire. There he spent the last three years of
Collection, edited by Wolfgang G. Bringmann and Ryan D.
his life. He died on December 31, 1384, after a massive para-
Tweney, with a foreword by Ernest R. Hilgard (Toronto,
lytic stroke.
1980), and Wilhelm Wundt and the Making of a Scientific Psy-
chology, edited by R. W. Rieber in collaboration with Arthur
In philosophy Wyclif was a realist and in theology an
L. Blumenthal, Kurt Danziger, and Solomon Diamond
advocate of Augustine’s doctrines of predestination and
(New York, 1980). Both are critical of Edwin G. Boring’s
grace. Only in the mid-1370s did he come into prominence
evaluation of Wundt in A History of Experimental Psychology,
outside Oxford for his views on dominium (lordship and
2d ed. (New York, 1950), which, however, provides consid-
ownership). Between 1376 and 1379 he published succes-
erable biographical data. A good summary of Wundt’s legacy
sively On Divine Lordship, On Civil Lordship, On the Duty
is found in Daniel N. Robinson’s Toward a Science of Human
of the King, and On the Church. In these treatises Wyclif ar-
Nature: Essays on the Psychologies of Mill, Hegel, Wundt, and
James (New York, 1982).
gues that only God is the true Lord and owner of his whole
creation. Whatever authority and property human beings
New Sources
possess they have from God, to whom they owe faithful ser-
The most comprehensive recent monograph is Robert W. Rieber
vice. Only the predestined have any right to them, but, like
and David K. Robinson, Wilhelm Wundt in History.The
Augustine, Wyclif believed that no one could know who was
Making of Scientific Psychology, New York, 2001. In German
see Alfred Arnold, WilhelmWundt. Sein philosophysches Sys-
and who was not among the elect. Hence one should suffer
tem, Berlin, 1980, and the authoritative biography by Georg
patiently under unjust and greedy masters until they repent
Lamberti, Wilhelm Maximilian Wundt (1832–1920), Bonn,
or are removed and dispossessed.
1995.
Both estates of the realm, civil and ecclesiastical, should
WALLACE B. CLIFT (1987)
be under the authority of the king in all temporal matters.
Revised Bibliography
The ecclesiastical estate (including theologians) is of greater
dignity because it is called to serve in spiritual teaching and
guidance. It should be stripped of all temporal possessions,
WYCLIF, JOHN (1330?–1384), English scholastic
except what was necessary for food, clothing, and lodging,
theologian, trenchant critic of abuses in the church, and pro-
and no clergy should hold any civil office. The king should
moter of a vernacular translation of the Bible. Wyclif was the
remove all unworthy clergy. All ecclesiastics, from the pope
most learned man of his generation in England. The rigor
on down, should live in poverty as Peter and the other apos-
of his scholastic logic and, in his last years, his appeal to scrip-
tles did.
ture as the sole authority for the church’s life, led him into
Although Wyclif’s views were largely theoretical and not
heresies. During his time and to this day, he has had both
altogether unprecedented, they were noticed by Edward,
sympathetic admirers and caustic critics. Nonetheless, the
Prince of Wales (the “Black Prince,” 1330–1376), and his
real, human Wyclif remains an enigma. We know little about
younger brother John of Gaunt (1340–1399), who became
him except that he led an austere life marked by tireless
duke of Lancaster in 1362. The two virtually ruled England
study, lecturing, and writing.
during the declining years of Edward III (1312–1377) and
Nothing certain is known about Wyclif’s family or its
probably saw in Wyclif a front for their aim to plunder the
resources. John Wyclif (or Wycliffe) was born near Rich-
church’s wealth. In February 1377, Wyclif was summoned
mond in North Riding, Yorkshire. At an early age he entered
before the bishops at Saint Paul’s, London, to answer for his
Balliol College, Oxford, and then served as its regent master
views. He arrived accompanied by four friar doctors of theol-
from 1360 to 1361. The date of his ordination is unrecord-
ogy and by John of Gaunt with some of his supporters. At
ed. Later he resided at Queen’s College, where he studied for
once a bitter altercation broke out between Gaunt and Bish-
and received his bachelor of divinity degree (1369) and his
op William Courtenay of London, and the duke’s party with
doctor of divinity degree (1372). Early connections with
Wyclif left before Wyclif could be heard or condemned.
Merton College and Canterbury Hall are disputed.
In May, Gregory XI sent bulls to England denouncing
University scholars without means of their own were de-
nineteen propositions from Wyclif’s writings and asking for
pendent upon “provisions to livings” of parishes or prebends
a thorough investigation and Wyclif’s arrest. Before the bulls
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
WYCLIF, JOHN
9849
arrived, however, ten-year-old Richard II had become king,
burned. Bishop Richard Fleming of Lincoln did this in 1428
and nothing became of the pope’s directives. The archbishop
and cast the ashes into the Swift River.
of Canterbury, Simon of Sudbury, asked the faculty at Ox-
The extent of Wyclif’s influence on the sixteenth-
ford to give an opinion on the propositions. They were unan-
century Reformation is open to debate. Luther knew of him
imous in stating that some of them “sounded ill” but that
through Hus’s writings. In England, Thomas Cranmer,
they “were all the same true.” In March, Wyclif appeared be-
archbishop of Canterbury (1533–1556), owned a copy of the
fore Sudbury and Courtenay at Lambeth, just as a message
Trialogus printed at Basel in 1525. Yet references to Wyclif,
arrived from the king’s mother forbidding them to pass judg-
always with approval, are scanty in his writings. Cranmer’s
ment on Wyclif. A mob broke into the meeting, and the
views on the Eucharist were similar to Wyclif’s, and he too
bishops concluded the meeting by merely enjoining Wyclif
worked for an English translation of the Bible. He would
from publicly disputing and preaching about his controvert-
have supported the reform of the church by the king, but not
ed views.
its disendowment and reduction to apostolic poverty.
If Wyclif’s mouth was shut for a time, his pen was not
After Elizabeth I’s settlement of the church in 1559,
stilled. In 1378 he wrote On the Truth of Holy Scripture, in
Wyclif became a hero and a martyr to those who dissented
which he affirms that the Bible taken literally is the sole law
from it. Yet even they, contrary to Wyclif, would have had
of the church and that a translation without interpretation
the church the dominant power in the kingdom. Wyclif’s
is needed so that the humblest person can learn from it. The
importance lies partly in his influence on Jan Hus, but even
treatise On the Eucharist (1379) cost him much support. In
more in his propagation of reformed principles.
it he denies the dogma of transubstantiation: it is unscriptur-
al, unknown in the church before the twelfth century, idola-
SEE ALSO Cranmer, Thomas; Hus, Jan.
trous, and contrary to his realist position that no substance
can be changed into another substance. Yet he affirms the
BIBLIOGRAPHY
real presence of Christ’s body and blood sacramentally in
The numerous Latin writings of Wyclif have not been completely
bread and wine. His last major work, the Trialogus (1382),
edited in modern editions. Most of them have been pub-
gives a summary of his views.
lished by the Wyclif Society of London since 1884. A com-
plete listing of Wyclif’s Latin works, based on notes of S.
Wyclif’s enemies blamed him for the Peasants’ Revolt
Harrison Thomson, has been completed by his son, Williell
in 1381, but there is no evidence to support the connection.
R. Thomson, in The Latin Writings of John Wyclyf: An Anno-
After Archbishop Sudbury’s murder during the rebellion,
tated Catalog (Toronto, 1983). It notes all manuscripts and
Courtenay succeeded to the primacy (1382–1396), deter-
editions, with commentary on them. The authenticity of
mined to root out Wyclif’s teachings at Oxford. In May
many, if not all, of Wyclif’s English works is disputed. The
1382 he presented twenty-four propositions from Wyclif’s
best selection is Herbert E. Winn’s Wyclif: Select English
writings to a council of bishops and theologians in London.
Writings (Oxford, 1929). A comprehensive bibliography is
Ten were voted heretical, the others erroneous. Leading Ox-
that of C. C. Scott in Cambridge Medieval History, vol. 7
ford supporters of Wyclif were summoned to appear and per-
(Cambridge and New York, 1932), which goes with Bernard
L. Manning’s chapter “Wyclif” in the same volume,
suaded to recant. In November, Courtenay held the Convo-
pp. 486–507. Translations of Wyclif’s Latin writings are few,
cation of Canterbury at Oxford, where all doctors, masters,
but see the excerpts from On the Pastoral Office and On the
and bachelors made their submission.
Eucharist in Advocates of Reform from Wyclif to Erasmus, ed-
ited by Matthew Spinka, “The Library of Christian Classics,”
Yet Courtenay never moved against Wyclif personally.
vol. 14 (Philadelphia, 1953), pp. 32–88.
Wyclif had retired to Lutterworth in 1381 and suffered his
first stroke in 1382. In his last years Wyclif may have super-
The standard biography is Herbert B. Workman’s John Wyclif: A
vised the translation of the Latin Vulgate Bible and the train-
Study of the English Medieval Church, 2 vols. (Oxford, 1926).
Less sympathetic to Wyclif is K. B. McFarlane’s John Wycliffe
ing of “poor preachers,” cleric and lay (the Lollards), to
and the Beginnings of English Nonconformity (London, 1952),
spread the gospel, but his personal involvement has been dis-
reprinted under the title The Origins of Religious Dissent in
puted. The translation has come down in two principal ver-
England (New York, 1966). McFarlane gives good back-
sions, a literal version and a later, more idiomatic English
ground material about Oxford and church-state relations in
version.
Wyclif’s time and, based on original research, carries the
story through the Lollard movement until 1417, when it is
The marriage of Richard II to Anne of Bohemia (1382)
driven underground. John Stacey’s John Wyclif and Reform
brought several leaders of the Czech reform movement to
(Philadelphia, 1964) is informative and well balanced.
England who took many of Wyclif’s writings back home. Jan
The influence of Wyclif on the Bohemian reformers is carefully
Hus, the principal champion of that movement, admired
researched by Matthew Spinka in John Hus and the Czech Re-
Wyclif and quoted extensively from his writings, but he used
form (1941; Hamden, Conn., 1966). On the English version
them with care, especially those on the Eucharist. The Coun-
of the Bible associated with Wyclif, see Henry Hargreaves’s
cil of Constance in 1415 burned Hus as a “Wycliffite” here-
“The Wycliffite Versions,” in The Cambridge History of the
tic and ordered that Wyclif’s remains be exhumed and
Bible, vol. 2, The West from the Fathers to the Reformation
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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WYCLIF, JOHN
(Cambridge, 1970), edited by G. W. H. Lampe,
pp. 387–415, with bibliography, pp. 527–528.
MASSEY H. SHEPHERD, JR. (1987)
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N


X–Y
XAVIER, FRANCIS (1506–1552), cofounder of the Roman Catholic Society of
Jesus (the Jesuits), missionary, and saint. Francisco de Jassu y Xavier was born in the fami-
ly castle in the kingdom of Navarre (now northern Spain), the fifth and youngest child
of noble, wealthy, and pious Catholic parents. His early education took place at home
and under the tutelage of local priests. In 1525 the keen, ambitious student left home
permanently, bound for Paris. A handsome, slender, athletic youth, about five feet four
inches tall, he was noted then, as throughout his life, for his cheerful and vivacious person-
ality. At the University of Paris, Xavier gained a master of arts degree in philosophy in
1530, taught this subject for several years (1530–1534), and then studied theology until
1536.
During his years at the university, Ignatius Loyola, a fellow student since 1528, be-
came an increasingly important influence on Xavier, and by 1533 Xavier had become one
of his disciples. In 1534 Xavier made the Spiritual Exercises under the direction of Igna-
tius and on August 15 he joined Ignatius and five other students in a chapel in Montmar-
tre, a district of Paris, where all of them vowed to lead lives of apostolic poverty, to labor
for the salvation of their neighbors, to make a pilgrimage to Jerusalem, and to place their
services at the disposition of the pope. Together with three other students who joined
the group when it renewed its vows a year later, these men were the ten founders of the
Society of Jesus.
Beginning the pilgrimage to Jerusalem, Xavier left Paris in November 1536 with
eight of his companions and, traveling by foot, reached Venice nearly two months later.
Ignatius met them there. In Venice, Xavier, along with Ignatius and four other compan-
ions, was ordained a priest in June 1537. War with the Turks ruled out a voyage across
the Mediterranean to Palestine, so in 1538 Xavier went to Rome and there shared in the
discussions that led to the founding of the Society of Jesus. Until his departure from Rome
in 1540, he served as secretary of the new religious order.
When the pious King John III of Portugal put out a call for missionaries, especially
for the care of recently converted Paravas (Bhavatas) in southern India, Xavier left Rome
C LOCKWISE FROM TOP LEFT CORNER. Scupture of a yaks:a at the Great Stupa at Sa¯ñc¯ı, India. [©Charles
& Josette Lenars/Corbis]; Detail of a nineteenth-century Chinese ceramic plate with the yin-yang
symbol. [©Werner Forman/Art Resource, N.Y.]; Postclassic Mixtec sculpture in gold of
Xiuhtecuhtli, the fire god. Museo Nacional de Antropologia, Mexico City. [©Werner Forman/
Art Resource, N.Y.]; Eighteenth-century Tibetan bronze of Yama, the Lord of Death. [©Werner
Forman/Art Resource, N.Y.]; Nineteenth-century Yoruba wood carvings commemorating the
death of twins. Nigeria. [©Werner Forman/Art Resource, N.Y.] .
9853
9854
XENOPHANES
for Portugal, traveling overland to Lisbon in the entourage
informed about them. Both his actions and his writings show
of the Portuguese ambassador. While awaiting the annual de-
practicality, prudence, and sound spirituality. His success
parture of the India fleet, Xavier performed various priestly
was promoted also by his exemplary apostolic zeal, his per-
tasks in the city and at the royal court. His ship set sail in
sonal holiness, and his ability to mix easily with persons of
April 1541, rounded the Cape of Good Hope, and wintered
all classes, races, and beliefs. In addition, he was a man much
in Mozambique, where Xavier’s two Jesuit colleagues re-
devoted to prayer, a mystic. Unlimited confidence in God,
mained. After further stops at Melinde (Malindi, in modern-
his most basic spiritual trait, freed him from discouragement
day Kenya) and the island of Socotra (off the coast of mod-
in the face of obstacles and reverses. These characteristics, to-
ern-day Somalia, where Xavier had to be dissuaded from re-
gether with his reputation as a wonder-worker, led Chris-
maining), the voyage ended in May 1542 in Goa, a district
tians, Muslims, and pagans alike to refer to him as “the holy
on the west coast of India and the main Portuguese center
father,” and “the great father.” Since his death, he has been
in that country.
venerated as the ideal missionary and, as such, has inspired
thousands to devote their lives to spreading the gospel far
Until the end of the rainy season in September, Xavier
afield. In 1622 he was canonized, and in 1927 he was desig-
ministered to the Portuguese and native Christians in Goa.
nated by Pius XI as patron of all missions. His annual liturgi-
Accompanied by three native helpers, he then sailed to the
cal feast is celebrated on December 3.
southern tip of the continent. For the next three years his
apostolate was centered in Malabar and Travancore, the
SEE ALSO Jesuits.
coastal regions northwest of Cape Comorin; in the regions
northeast of the cape as far as Sa˜o Thomé (modern-day Ma-
BIBLIOGRAPHY
dras); and on the neighboring island of Ceylon. Much of his
The critical edition of the letters and other writings of Xavier that
ministry consisted of instructing the thousands of Parava
supplants earlier, defective editions is Epistolae S. Francisci
pearl divers and fishermen who had been converted to
Xaverii aliaque eius scripta, 2 vols., edited by Georg
Roman Catholicism around 1535 but whose religious
Schurhammer and Joseph Wicki (Rome, 1944–1945), pub-
knowledge remained minimal. Spectacular numbers of con-
lished as volumes 67 and 68 of Monumenta historica Societatis
versions were made: Xavier reported baptizing over ten thou-
Iesu. Applicable bibliographies include Archivum historicum
sand villagers in Travancore in one month.
Societatis Iesu (Rome, 1932–) and Bibliographie sur l’histoire
de la Compagnie de Jésus, 1901–1980, 7 vols., by László Pol-
In September 1545 Xavier sailed from Sa˜o Thomé to
gár (Rome, 1982–). A readable, brilliantly written biography,
Malacca, a Portuguese settlement on the Malay Peninsula;
the one most widely read in English, which has also been
then to the Moluccas, or Spice Islands, in the East Indies,
translated into several languages, is James Brodrick’s Saint
where his main concern was the native Christians, left with-
Francis Xavier, 1506–1552 (New York, 1952); it should be
studied with some caution, however, because of questionable
out clergy in the Portuguese centers of Amboina and Terna-
accuracy in its characterizations of Xavier. The Life and Let-
te; and then as far north as the Moro Islands. He returned
ters of Saint Francis Xavier, 2d ed., 2 vols. (1881; reprint,
to Malacca in June 1547 and to Goa in March 1548. After
London, 1927), by Henry J. Coleridge is useful still because
further work along the Fishery Coast he returned to Goa
of its translation into English of all the letters of Xavier, al-
once again. In April 1549 he set sail with three Japanese con-
though the collections of letters used by Coleridge have now
verts and two fellow Jesuits to inaugurate the Christian mis-
been superseded by that edited by Schurhammer and Wicki.
sion in Japan. When he departed from Japan for Goa twenty-
Francis Xavier: His Life, His Times, 4 vols., by Georg
seven months later, he left behind some two thousand con-
Schurhammer (Rome, 1973–1982) is the definitive biogra-
verts. Hoping to initiate a Christian mission to China, he
phy by the leading authority on Xavier, the result of decades
took ship from Goa in April 1552, but he was not allowed
of study. Schurhammer’s Saint Francis Xavier: The Apostle of
India and Japan (Saint Louis, Mo., 1928) and Margaret
to disembark on the Chinese mainland. After three months
Yeo’s Saint Francis Xavier: Apostle of the East (New York,
of fruitless waiting on the desolate island of Sancian (near
1932) are both good, popular biographies.
Canton), he died on December 3 following a brief illness.
His incorrupt body was taken in 1554 to Goa, where it is
JOHN F. BRODERICK (1987)
still enshrined and greatly venerated.
Xavier is ranked among the greatest missionaries in
Christian history. His numerous far-ranging journeys were
XENOPHANES (c. 580–470 BCE), Ionian poet, satirist,
not those of a spiritual adventurer, restlessly seeking new
philosopher, and theologian, was born in Colophon, a
fields to conquer. He served not only as missionary but also
wealthy city of Ionia under the influence of the Lydian king-
as apostolic nuncio and Jesuit superior, with the duty of in-
dom. Because of Persians’ invasion of the city, he had to flee
vestigating mission possibilities in areas then little known to
to South Italy. He spent much of his life wandering through
Europeans. He was both a pioneer and organizer of the Jesuit
Sicily and Greece until he joined a Phokaian colony sent to
missions in the Far East, intent on obtaining suitably trained
Elea in Lucania, and he taught there, founding the Eleatic
European co-workers. He was eager to supply mission sta-
school. His pupil Parmenides was the founder of Western
tions with churches, schools, and personnel and to be kept
metaphysics. A friend of Empedocles, Xenophanes attacked
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
XENOPHANES
9855
Pythagoras and was attacked by Heraclitus. He has been con-
(fragments 27, 28, 29, 33)—perhaps a survival of ancient
sidered both an amateur thinker and “a paradigm of the [pre-
pre-Olympian religiosity.
Socratic] genius” (Barnes, 1982, p. 82). In fact, he was a sig-
nificant thinker and an innovator in many fields of research,
From the theological reflection combined with the sci-
such as natural sciences, morality, and gnosiology. His ap-
entific speculation, Xenophanes moved to scathing criticisms
proach to the problems of human knowledge is so particular
of the most objectionable aspects of Greek religion. He at-
(and somewhat contradictory) that he can be defined as a
tacked poets (including Homer and Hesiod) for saying false
sceptic, an empiricist, a rationalist, a fallibilist, a critical phi-
and immoral things about the gods in their tales of divine
losopher—or, more accurately, a natural epistemologist. A
warfare with Titans, giants, and centaurs (fragment 1); as
precise definition of his epistemological attitude clearly influ-
well as in their attributions to the gods of things that are mat-
ences any evaluation of his theology (see fragment 34: “No
ters of reproach even among men—theft, adultery, and mu-
man has seen, or ever will see, the exact truth about the
tual deceit (fragments 11 and 12). Further, he repudiated the
gods”).
whole enterprise of divination through natural signs (testi-
monium 52) and the connected popular belief in the godship
As a religious thinker, Xenophanes has been identified
of celestial bodies (fragment 32 and testimonia 32 and 38–
as the founder of the Greek enlightenment, prior to Heracli-
46). Subjects of stern rebuke are also the contemporary out-
tus and Hecataeus. From the complex of his polymath oeu-
breaks of ecstatic religion such as the naturalism of the Bac-
vre (of which only 43 fragments and 52 controversial testi-
chic cult (fragment 17) and the Pythagorean belief in the re-
monia have been preserved) he emerges as a critical thinker,
incarnation of the human soul in any animal form (fragment
sceptical about any claims to knowledge in religious matters.
7). Had Xenophanes limited himself to these assertions, he
As a consequence of the elusiveness and versatility of his
would have emerged only as an innovative theologian, albeit
thought in these matters, an ample variety of opinions has
one less insightful and less audacious than his near contem-
risen about his religious positions. If one emphasizes single
porary and fellow Ionian, Heraclitus of Ephesus. Nor would
facets of his teaching, it is possible to consider him a tradi-
he have found a place among the pioneers of the comparative
tional polytheist, a revolutionary monotheist, a pantheist, or
study of religion. As can be inferred from Aristotle’s and Plu-
even an atheist or precursor of negative theology. What is
tarch’s testimonies (testimonium 13), the Ionian thinker per-
clear is that with him there emerged in Greece the first form
ceived a marked affinity between the cult of the Greek Leu-
of scientific inquiry into indigenous and alien religious
cothea, worshipped with funeral dirges (threnoi) although
realities.
considered a deity (ergo, immortal for the Greeks), and the
Xenophanes’ first concern was God and the divine. He
cult of the Egyptian Osiris, who was ritually mourned by his
wrote: “One god is greatest among gods and men” (fragment
worshippers (as befitted a dead god) but was at the same time
23). This does not mean that he was a monotheist. The frag-
honored as a very high-ranking god. Thus, Xenophanes
ments warrant attributing to Xenophanes the novel idea of
seems to have virtually highlighted—two and a half millen-
a single god of unusual power (henotheism), but not the
nia before James Frazer (1854–1941)—the typological cate-
stronger view that beyond this one god there could be noth-
gory of the dying/rising gods present on both sides of the
ing else worthy of the name. God is a body (testimonium
Mediterranean. This ability for critical perception, which
28), spherical in form, being alike and perceptive in all his
earned Xenophanes the mantle of “precursor of comparative
parts (testimonia 1, 28, 33, and 34) and in a way coextensive
ethnology” (Pettazzoni, 1954, p. 134), is certainly connected
with the whole universe (testimonium 31), and identical
with his experience as an Ionian citizen who since birth had
with the One (testimonia 30, 34 and 35). God is ungenerat-
been familiar with the beliefs and customs of the other peo-
ed and eternal (testimonia 28 and 31), motionless (fragment
ples of Anatolia: the Lydians, the Carians, and the Median-
26), and at the same time “shaking all things by the thought
Persian invaders. Xenophanes could autoptically realize that
of his mind” (fragment 25). Apparently, this view anticipates
the routes through which humans (and, by paradoxical anal-
Anaxagoras’s Nous (intellect, mind—the intellectual princi-
ogy, the other animals) reach the representation of the divine
ple that is separate from the mass that it governs), which is
are numberless. Starting with his criticism of the anthropo-
the ultimate source of movement, and the Aristotelian doc-
morphism typical of the Greek conception of divinity (frag-
trine of the prime unmoved mover. Xenophanes was the first
ment 14), Xenophanes came to make two famous assess-
to regard the soul (psuch¯e) as “breath” (pneuma), that is, mov-
ments: “The Ethiopians say that their gods are snub-nosed
ing air, full of vital energy (testimonium 1). His concept of
and black, the Thracians that theirs are blue-eyed and red-
time is cyclic: there is an unlimited number of worlds exist-
haired”(fragment 16); and “But if horses or oxen or lions had
ing successively without overlapping one another, and a new
hands or could draw with their hands and do the works that
generation begins again after each cosmic catastrophe (testi-
men can do, horses would draw the forms of the gods like
monia 1, 33, and 37)—the first manifestation of the doctrine
horses, and oxen like oxen, and they would make their bodies
of the Eternal Recurrence, later adopted by the Pythagore-
such as they each had themselves”(fragment 15). This can be
ans, the Stoics, and Friedrich Nietzsche (1844–1900). Earth
viewed as the first application of a comparative perspective
(Gaia) is the root and the ultimate destination of all things
to the study of religion.
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9856
XIAN
SEE ALSO Atheism; Images; Knowledge and Ignorance; Mo-
ground (Leucothea, Persefone) against which Xenophanes
notheism; Parmenides; Plato; Pythagoras; Sociology; Sto-
built his characteristic theology.
icism; Transmigration.
Xenophanes is acknowledged as the founder of religious criticism
by Raffaele Pettazzoni, in La religione nella Grecia antica fino
BIBLIOGRAPHY
ad Alessandro, Bologna, 1922, 2d ed. Turin, 1954,
All the fragments (21 B: 1–45) and the testimonia on Xenophanes’
pp. 133-134, and in two standard histories of the compara-
life and teaching (21 A: 1–52) are collected in Die Fragmente
tive study of religion: Jan de Vries, Perspectives in the History
der Vorsokratiker, vol. 1, edited by Hermann Diels and Wal-
of Religions (New York, 1967; 2d ed., Berkeley, Calif., 1977),
ther Kranz (6th ed., Berlin, 1951), which has an indispens-
pp. 3–5; and Eric J. Sharpe, Comparative Religion. A History
able critical apparatus and German translation of the text.
(London, 1975; 2d ed., 1986), pp. 3–4.
Diels’s and Kranz’s numeration is still the standard system
GIOVANNI CASADIO (2005)
of reference. A personal selection, in English translation and
with substantial interpretation, is provided by Geoffrey S.
Kirk in The Presocratic Philosophers: A Critical History with
a Selection of Texts, 2d edition, edited by Geoffrey S. Kirk,
XIAN. Usually written using the characters for “man” and
John E. Raven, and M. Schofield (Cambridge, U.K., 1983),
for “mountain,” the character for xian is said originally to
pp. 163–181. A complete edition with Greek text and Italian
have been composed of those for “man” and for “ascend.”
translation is given by Mario Untersteiner, Senofane’s Testi-
An early dictionary explains that it refers to those who,
monianze e frammenti (Firenze, Italy, 1956). The commen-
tary and the introduction (especially “Senofane di fronte alla
“when they grow old, do not die.” Xian means “to move into
religiosità preellenica. Il politeismo” and “Il dio di Seno-
the mountains”; that is why it is written with the character
fane,” pp. 134–212) are important from the religiohistorical
for “man” next to that for “mountain.” Together, these ety-
point of view. James H. Lesher, in Xenophanes of Colophon:
mologies circumscribe a field of meaning that links the
Fragments: A Text and Translation (Toronto, 1992), provides
search for survival beyond death to mountains and to the
a very informative and perceptive commentary on most of
heavens—a range that quite accurately reflects both the prac-
the fragments (Greek text of all the fragments, with critical
tice and the status of xian throughout Chinese history. It also
annotations) and the testimonia (English translation only).
explains why the term is translated in English either as “im-
The interest of this work is philosophical but the main theo-
mortal” or “transcendent.”
logical questions are examined with subtlety. Extensive bibli-
ographies are provided by Untersteiner and Lesher.
The xian is in the first place a human being. But unlike
ordinary human beings who die and become ancestors (or
Among the numerous general interpretations, Hermann Fränkel,
Early Greek Poetry and Philosophy (Oxford, 1975),
roving ghosts), the xian survives beyond death and becomes,
pp. 325–337, and Jonathan Barnes, The Presocratic Philoso-
as a result, the focus of tales and even of worship. The earliest
phers (London, 1982), pp. 82–99, are representative of two
images of these extraordinary beings date to the Han dynasty
divergent approaches: for the German scholar, even as a
(206 BCE–220 CE) and sometimes portray them with wings,
theologian, Xenophanes was “a staunch empiricist”; for the
a feature expressed in later texts that refer to them as yuren,
British philosopher, he was “the initiator of natural theolo-
or “feathered humans” (this term is also a synonym for Dao-
gy.” Relevant themes of Xenophanes’ religious thought are
ists). One of the earliest tales describes them as living on dis-
examined in various recent contributions. Michael Eisen-
tant, perhaps imaginary isles in the sea off the eastern coast
stadt, in “Xenophanes’ Proposed Reform of Greek Religion,”
of China. The First Emperor (r. 221–206 BCE), having heard
Hermes 102 (1974): 142–150, argues for Xenophanes’ ap-
of them and being desirous of surviving beyond death like
proval of the worship of the Olympian gods in spite of the
philosophical inadequacy of traditional religion. In “The
them, dispatched three thousand lads and lasses to find
Xenophanean Religious Thought: A Field of Various Inter-
them, but the ships never returned, and rumor had it, in later
pretations,” Kernos 2 (1989): 89–96, Aikaterini Lefka out-
times, that they had found and populated what is now
lines the main approaches to the philosopher’s teaching
known as Japan.
about god. Mark J. Edwards, in “Xenophanes’ Christianus?,”
Other early tales recount the earthly lives of future xian.
Greek, Roman, and Byzantine Studies 32 (1991): 219–228,
Not surprisingly, many of them were indeed mountain-
seeks to demonstrate (somewhat unconvincingly) that the
three crucial fragments cited by of Alexandria in the Stro-
dwellers: people who had left their homes and families to be-
mateis (fragments 14, 15, 23) are attributable to a Christian
come hermits and devote themselves to the search for surviv-
or Jewish forger. Massimo Di Marco, in Sapienza italica.
al. They went to the mountains not only to find the neces-
Studi su Senofane, Empedocle, Ippone (Rome, 1998),
sary solitude, but also because they could find there the herbs
pp. 9–31, contributes a useful discussion on the controversial
and minerals they needed to secure, at the very least, longevi-
issue of Xenophanes’ relationship with the Eleatic school. In
ty. Xian who had lived several centuries became a standard
a series of insightful articles—“Elea, Senofane e Leucothea,”
trope in hagiographies, as were the capacity to foresee the fu-
Annali Istituto Universitario Orientale Napoli 16 (1994):
ture, ubiquity, and “ascension to the heavens in broad day-
137–155; “Senofane ed Elea,” Quaderni urbinati di cultura
light.”
classica 95 (2000): 31–49; and “Il frammento Lebedev di
Senofane,” Quaderni urbinati di cultura classica 98 (2001):
Of the seventy immortals whose legends are recounted
25–34—Giovanni Cerri reconstructs the polytheistic back-
in the earliest collection, the Liexian zhuan (Biographies of
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
XIAO
9857
the immortals; second century CE), over twenty may be clas-
case of ancestors, this interaction occurs primarily, though
sified as gods. Some, such as Chisongzi (Red Pine), the Mas-
not exclusively, within the lineage, while in the case of im-
ter of Rain, are known to have been the focus of official wor-
mortals, virtually all links with lineage are severed: they be-
ship, but most are worshiped as local saints. A woman by the
long to and embody the Dao; that is, they “live as long as
name of Changrong, for example, is said to have been a “per-
Heaven and Earth.”
son of the Dao” living on Mount Chang. For over two hun-
dred years she was seen coming and going, “and her com-
SEE ALSO Daoism, overview article and article on The Dao-
plexion was that of a twenty-year-old.” For generations, she
ist Religious Community.
sold plants used for dyeing and gave the money thus earned
to widows and orphans. “Thousands worshiped her.” Hanzi,
BIBLIOGRAPHY
Campany, Robert Ford, trans. and ed. To Live as Long as Heaven
a lover of dogs, was led by one into a cave where he discov-
and Earth: A Translation and Study of Ge Hong’s Traditions
ered a magic world of palaces, forests, and immortals guard-
of Divine Transcendents. Berkeley, 2002. A complete transla-
ing the gates. He also encountered his dead wife, who urged
tion with an excellent introduction and textual notes.
him to join her. A year later he did so, and from then on only
Kaltenmark, Max, trans. Le Lie-sien tchouan: Biographies légen-
left the mountain on occasion “to succor his lineage. The
daires des immortels taoïstes de l’antiquité. Beijing, 1953; re-
people of Shu built a temple for him at the mouth of the
print, Paris, 1987. Contains superb notes on each of the sev-
cave. Over several thousand li in the southwest, people wor-
enty biographies of the immortals.
ship him.”
Mathieu, Rémi, trans. and ed. A la recherche des esprits: Récits tirés
The immortals of the Liexian zhuan are prescient, and
du Sou shen ji par Gan Bao. Paris, 1992.
this enables them to save local populations from floods by
JOHN LAGERWEY (2005)
giving advance warning. Others provide drugs that save peo-
ple from epidemics. Of some it is said simply that they disap-
pear without a trace, of others that their corpse disappears
XIAO. For the three thousand years of China’s recorded
and only a sacred writ or some clothing are found in the
history, xiao (filial piety) has been the cornerstone of Chinese
grave, of still others that people catch a glimpse of them now
religious, social, and ethical life. According to China’s oldest
and again over decades or centuries.
dictionary, xiao simply means “to serve one’s parents well.”
Immortals are usually thought of as a quintessentially
This concept’s unchanging spirit has been that one surren-
Daoist category, a classification that is probably legitimate
ders pleasures and even necessities to ensure the happiness
in modern times, when the Eight Immortals with their
of one’s parents. Within the family, this moral value has sub-
drunken whimsicality and endearingly unorthodox behavior
ordinated the young to the old and the individual to the col-
come to be almost synonymous with Daoism, at least in the
lective. Since Confucianism maintained that the ruler-
popular mind. A Daoist work of the Yuan, the Lishi zhenxian
subject relationship was merely an extension of that between
tidao tongjian (Comprehensive mirror of the real persons and
parent and child, within the larger community, xiao has pro-
immortals who have embodied the Dao through the ages)
duced loyal and obedient citizens. Due to its overwhelming
by Zhou Daoyi (fl. 1294–1307), would seem to confirm this
importance, each of China’s great religious traditions—
Daoist identity by linking xian and zhen, immortals and real
Buddhism, Confucianism, and Daoism—appropriated and
persons, to the idea of “embodying the Dao.” In fact, the
popularized its understanding of it. Moreover, xiao’s appeal
term zhen has an even longer pre-Daoist history than xian.
extended well beyond China to all of East Asia.
At the time of the compilation of the Liexian zhuan, Daoism
Although long a salient feature of Chinese society, xiao’s
did not yet exist as a self-conscious religious movement or
meanings and requirements have undergone much change.
institution, and only two or three of its xian were explicitly
Around the year 1000 BCE, xiao probably originated as a
said to have been “people of the Dao” while alive. A good
form of sacrifice given to the powerful dead, which included
number of the immortals in the Liexian zhuan turn up again
one’s ancestors, in-laws, and allies. Soon its focus narrowed
in two works of the fourth century: the Sou Shen Ji (In search
to service to one’s senior patrilineal kin, both living and
of the gods) of Gan Bao (b. 280) and the Shenxian zhuan
dead. By the fifth century BCE, Confucians began to remold
(Biographies of the gods and immortals) of Ge Hong (283–
filial practices into specific ceremonial forms, which their rit-
343). While Ge Hong’s work is generally classified as Daoist,
ual codes spelled out in great detail. Through daily morning
that of Gan Bao is not: it is said to belong to the category
and evening audiences, sons and daughters (in-law) were
mirabilia. Classifications aside, what the titles of their texts
supposed to nourish their parents, obey their instructions,
confirm is that xian and zhen, immortals and gods, were not
anticipate their wishes, and ensure their comfort. This service
hermetically sealed categories. Xian, insofar as they do consti-
did not end with death; rather, it intensified. For three years,
tute a distinct type of divine entity, should probably be dis-
a son or daughter was supposed to serve the parents’ spirits
tinguished from zuxian, or ancestors: both once lived on
through ascetic mourning rituals: he or she should dress in
earth, and both continue to interact with humans after their
rough hemp clothes, live in a hut near the parent’s tomb, and
death (both are also referred to as shen, “gods”). But in the
forego meat, alcohol, music, and sex. After the conclusion
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9858
XIAO BAOZHEN
of these rites, he or she continued to serve the dead by pre-
tity: A Comparative Study of Chinese Ethical Values in Ming-
serving the patrimony and producing heirs—acts that en-
Ch’ing Times (Leiden, 1988) looks specifically at the extrem-
sured that the ancestral sacrifices would be ceaseless. During
ism that was associated with late imperial expressions of
the third century BCE, most notably in the Xiao jing (Classic
filiality. Norman Kutcher’s Mourning in Late Imperial
of filial piety), a short work that almost every imperial dynas-
China: Filial Piety and the State (Cambridge, U.K., 1999) ex-
ty promoted, Confucians assimilated xiao to the lord-retainer
amines how governments tried to regulate xiao’s demands.
tie. They argued that, since in a larger sense a ruler parents
KEITH N. KNAPP (2005)
his people through the care he lavishes on them, a retainer
should serve his ruler as he would his father. Hence, by defi-
nition, a filial child should also be a loyal subject.
XIAO BAOZHEN (d. 1166 CE), Daoist master of the
Jin period and founder of the Taiyi sect of Daoism. A native
After China’s unification in 221 BCE, imperial govern-
of Ji prefecture (present-day Henan province), he was also
ments found xiao’s hierarchy-affirming message to be irre-
called Yuan Sheng. Neither his occupation before becoming
sistible; consequently, dynasty after dynasty lavished awards
a Daoist master nor the training he undertook to that end
on outstanding filial children. The Han dynasty (206 BCE–
is known. During the Tianjuan period (1138–1140) of Em-
220 CE) even selected its officials on the basis of their reputa-
peror Xizong’s reign, Xiao established the Taiyi sect in Ji pre-
tion for filiality. By the fourth century, each officially sanc-
fecture. Of the three new Daoist sects established in the
tioned dynastic history devoted a chapter to the previous
northern reaches of the Jin kingdom (Quanzhen, Zhenda,
era’s filial paragons. By the Tang (618–907), unfilial behav-
and Taiyi), Taiyi was the most similar in character to existing
ior, such as failing to sufficiently nourish one’s parents or
Daoist teachings. Its practices centered on the talisman called
marrying while mourning them, became punishable by law.
Taiyi Sanyuan that had allegedly been transmitted to Xiao
Buddhists, too, discovered that to appeal to Chinese sensibil-
from an immortal. Although the contents of the talisman are
ities they had to emphasize filial piety; thus, they stressed that
not known, it is clear that the sect placed great importance
their religion best served one’s parents because it saved them
on talismans and incantations. Because of Xiao’s ability to
from the torments of purgatory and delivered them to Bud-
relieve people’s suffering, disperse evil spirits, and cure ill-
dhist heavens. Daoists likewise insisted that mastery of the
nesses, he gradually attracted many disciples and succeeded
immortality arts would not only secure salvation for oneself,
in establishing the Taiyi sect. As Xiao’s teachings became a
but also for seven generations of one’s ancestors.
source of salvation for people wracked by the social unrest
By the late imperial period (960–1911), the overwhelm-
of the time, his sect’s power grew apace. Hearing of his grow-
ing emphasis placed on filial piety led to increasingly extreme
ing reputation, Emperor Xizong invited him to the court
manifestations of it. Inspired by Buddhist tales of self-
during the eighth year of his reign (1148). While at court,
sacrifice, filial children would slice off part of their flesh and
Xiao demonstrated his spiritual prowess by curing a sick per-
feed it to their parents to cure them of incurable diseases.
son. Deeply impressed, the emperor presented Xiao with a
Moreover, although classical texts stressed the need for filial
name plaque inscribed “Taiyi wanshou gong,” the name he
children to remonstrate with their errant parents, late imperi-
bestowed on Xiao’s Daoist temple in Ji prefecture, thereby
al filial piety emphasized the inviolable obedience owed to
indicating official recognition and patronage of Xiao’s sect.
parents and discounted the possibility that they could ever
Xizong is also said to have been converted to Taiyi Daoism
be wrong. At the same time, filial directives increasingly fell
by Xiao.
upon women in their role as daughter-in-law. Hence,
Although part of Xiao’s teachings centered on the use
women were credited with increasingly extreme and self-
of talismans, he did not adopt elixirs of immortality or other
destructive forms of filiality. In the twentieth century it is
elements of the immortality cult. Instead, he upheld the
precisely this fanaticism that lead intellectuals such as Lu
“middle way,” forbidding the drinking of intoxicants and the
Xun (1881–1936) to condemn filial piety (and Confucian-
consumption of the five pungent substances. He also forbade
ism, which it exemplified) as an impediment to moderniza-
priests to marry. It is clear that the rules of conduct that he
tion and westernization.
taught were strict and aimed at transforming Daoist specula-
tive theories into a disciplined monastic practice. He also re-
SEE ALSO Chinese Religion, overview article.
quired that successive head priests of his school take his own
name. Unfortunately, many elements of his life remain un-
BIBLIOGRAPHY
clear.
For a simple overview see Kenneth L. Traylor, Chinese Filial Piety
SEE ALSO Daoism, overview article and article on the Dao-
(Bloomington, Ind., 1988). For a more detailed study of
ist Religious Community.
xiao’s propagation and functions in early imperial China, see
Keith Knapp’s Selfless Offspring (Honolulu, 2005). Stephen
F. Teiser’s The Ghost Festival in Medieval China (Princeton,
BIBLIOGRAPHY
1988) and Alan Cole’s Mothers and Sons in Chinese Buddhism
Chen Yuan. Nan Song chu Hebei xin daojiao kao. Beijing, 1958.
(Stanford, Calif., 1998) extensively discuss Buddhist adapta-
Kubo Noritada. Chugoku no shukyo kaikaku. Tokyo, 1967.
tions of xiao. T’ien Ju-k’ang’s Male Anxiety and Female Chas-
Kubo Noritada. Dokyoshi. Tokyo, 1977.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
XI WANG MU
9859
New Sources
dhas and all dharmas,” predicated upon the underlying Bud-
Pas, Julian F. Historical Dictionary of Taoism. Lanham, Md.,
dha nature in all things. Members of his school were thus
1998.
conspicuous for the public obeisance they made to others as
K
a recognition of their potential Buddhahood, and for their
UBO NORITADA (1987)
Translated from Japanese by James C. Dobbins
strong emphasis on charitable activities. The sect came to re-
Revised Bibliography
ceive lavish donations and eventually instituted wujin zangy-
uan (“inexhaustible treasuries”) as a means of dispensing its
charities to the needy and to the sam:gha.
XINXING (540–594), Chinese Buddhist monk and
With the reunification of the empire under the Sui
founder of the Sanjie Jiao, or Three Stages sect. A native of
(589), Xinxing was summoned to Chang’an by the emperor
Henan Province, Xinxing entered the religious life at an early
Wen (581–604). At the suggestion of one of his ministers,
age and eventually took full monastic orders (upasampada¯)
five temples were built in the capital for followers of the sect,
at the Fazang Si near the city of Ye, the capital of the North-
thus providing an institutional base around which the sect
ern Qi dynasty and a thriving center of Buddhist learning.
flourished for the next decade. During this brief period of
With the eclipse of the Northern Qi by the Northern Zhou
official favor and patronage Xinxing produced many of his
dynasty and the initiation, in the year 574, of a vigorous pro-
most important works, including the Sanjie fofa and the Dui-
scription of Buddhism by the new government, Xinxing re-
gen qixin fa. In all, his works are believed to comprise at least
nounced his vows and lived as a common laborer. It was dur-
forty fascicles, some of which were only recovered in this cen-
ing this period that he formulated the religious doctrines that
tury among the documents unearthed at Dunhuang.
would form the basis for the Sanjie Jiao.
In the year 600, the Three Stages sect suffered the first
The foundation of Xinxing’s thought was the convic-
in a series of proscriptions. The enormous wealth of the sect,
tion, common to many segments of the Buddhist communi-
its essentially negative assessment of the moral condition of
ty during the latter half of the sixth century, that the Bud-
society, and its contention that human institutions, particu-
dha’s teachings had recently entered a period of degeneration
larly governments, were incapable of conferring any lasting
and decline foretold in several Buddhist scriptures. This peri-
spiritual benefits, made it a conspicuous target for the civil
od, known as mofa, or the Latter Days of the Law, was be-
authorities. Throughout the Tang dynasty the sect suffered
lieved to be one in which the spiritual capacities of sentient
numerous attempts to seize its wealth and outlaw its writings,
beings would be so far diminished as to render them incapa-
until it finally succumbed under the general suppression of
ble of observing the Vinaya or of distinguishing good from
Buddhism in the year 845.
evil and truth from falsehood. Because it was an age far re-
moved from that of S´a¯kyamuni (fifteen hundred years from
SEE ALSO Mappo¯.
the date of his parinirva¯n:a by the reckoning of many of Xinx-
ing’s contemporaries), sentient beings were deemed no lon-
BIBLIOGRAPHY
ger subject to his guidance and unable even to practice Bud-
For the traditional account of Xinxing’s life, see his biography in
dhism as it had traditionally been taught, let alone to attain
Daoxuan’s Xu gaoseng zhuan (T.D. 50. 559c–560b). Among
enlightenment. Adherents of this doctrine believed that mofa
modern studies of Xinxing and his sect, none surpasses Ya-
buki Keiki’s Sangaikyo¯ no kenkyu¯ (1927; reprint, Tokyo,
would last for ten thousand years, at the end of which time
1973). This monumental study includes some four hundred
the teachings of S´a¯kyamuni would disappear from this
pages of original texts found at Dunhuang.
world.
New Sources
Against this starkly eschatological background, Xinxing
Lewis, Mark Edward. “The Suppression of the Three Stages Sect:
argued for a reappraisal of contemporary Buddhist practice,
Apocrypha as a Political Issue.” Chinese Buddhist Apocrypha
one that would bring it into conformity with the greatly al-
(1990): 207–238.
tered historical conditions prevailing during the mofa. He be-
MIYAKAWA HISAYUKI (1987)
lieved that it was only when religious practices matched the
Revised Bibliography
capacities of sentient beings and the historical conditions
under which they lived that genuine enlightenment was pos-
sible. Unlike thinkers of the Pure Land tradition, who saw
in the onset of mofa the need to replace the traditional range
XI WANG MU, whose name is usually rendered as
of Buddhist practices with a single, “easy,” discipline, the
“queen mother of the west,” appeared in the earliest stages
worship of the Buddha Amita¯bha, Xinxing claimed that the
of Chinese mythology and was a focus of intense religious
practice most appropriate to the mofa age was a radical recog-
devotion during the first few centuries of the present era. It
nition of the Buddhahood inherent in all sentient beings.
is possible that she is mentioned in the oracle bone inscrip-
Calling his teaching that of the Universal Dharma (pufa),
tions of about 1500 BCE, but she appears with more certainty
Xinxing advocated rigorous moral training to combat the de-
in the Zhuangzi (fourth century BCE) and later writings. Xi
generacy of the age and a catholic embracement of “all Bud-
Wang Mu is described as one who had “attained the Dao,”
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9860
XUANZANG
but nothing is known of her beginning or her end; she was
tion of immortality through the agency of the Queen Mother
said to dwell in the never-never land of the far west. In some
of the West, in one of two ways. Either she might be induced
sources she is described as a being of hybrid form. Usually
to provide the elixir that would ensure continuity of life on
her realm is pictured at the summit of a mountain called
earth, or the soul might journey to the land where the queen
Kunlun, but there are also references to a cave residence. She
presided, a realm populated by mythical beings who took
is said to possess certain magical powers and to live in materi-
part in a superhuman existence.
al splendor, surrounded by rare jewels. She may be accompa-
The custom of burying talismans to ensure the happi-
nied by spirits, also of hybrid form, and Kunlun is sometimes
ness of the deceased was established in China long before the
described as a being protected by encircling waters, or as be-
first century CE, but from this time on the Queen Mother
yond human reach.
of the West appears repeatedly in funerary iconography. Her
The queen was also credited with various cosmic pow-
attributes, as shown on stone reliefs, frescoes (rarely), and
ers. She may have controlled certain constellations, and she
bronze mirrors, include a characteristic headdress or crown
may have been able to maintain or to disrupt the rhythms
and sometimes a throne, composed of part dragon and part
that kept the universe in operation. She is also believed to
tiger, on which she is seated in majesty. She is accompanied
have held the secret of the elixir of immortality, which she
by one or more hares who are engaged in compounding the
made available to suppliants in the form of a potion.
elixir, a three-legged bird (sometimes three separate birds),
and a nine-tailed fox, all of whom have special duties and
These characteristics feature in several versions of a Chi-
properties. She may be attended by an armed guardian.
nese myth relating a meeting between partners. According
Sometimes suppliants are shown beside the queen, praying
to one version, in order to keep the cosmic rhythms in mo-
for the drug or drinking a dose in a cup. In a few instances
tion it was necessary for two stars (who were otherwise sepa-
she is portrayed at the top of a pillar that is virtually inaccessi-
rated by the Milky Way) to meet annually at a crucial point
ble to man; rarely, her partner is shown beside her, similarly
during the summer. The same theme is seen in accounts of
enthroned.
meetings held during the summer between the Queen Moth-
er of the West and various earthly monarchs. Sometimes the
In time the symbolic power of this type of iconography
queen is described as receiving a king in her own abode;
weakened, so that the details that originally possessed talis-
sometimes she travels to earth in all her glory to meet a king
manic significance were reduced to decorative motifs and re-
or emperor in his realm. The purpose of these ceremonial
produced inaccurately. At the same time it is likely that the
meetings was to enable the human partner to obtain the drug
queen’s religious significance and her popularity began to de-
of immortality. In another version the queen is partnered by
cline as Buddhist influence began to grow in China, begin-
a mythical consort known as the King Father of the East.
ning perhaps in the third century CE. Traces of Buddhist
characteristics can be seen in versions of the myth of the
According to several accounts, a soteriological move-
queen that appeared from the third century CE. This shift in
ment that centered on the invocation of the queen swept
emphasis culminates in the well-known account of a banquet
through wide areas of northern China in 3 BCE. Descriptions
given by the queen during which Monkey steals the peaches
of this movement refer to such practices as the exchange of
of immortality from her table. Monkey’s subsequent punish-
tokens or talismans, the performance of religious services,
ment and adventures are all placed within a Buddhist con-
and singing or dancing, as well as a certain amount of per-
text.
missive or unrestrained behavior. The purpose of these gath-
erings was to prepare for the arrival of the queen and to con-
SEE ALSO Afterlife, article on Chinese Concepts; Chinese
vey or to acquire the promise of deathlessness. But it was not
Religion, article on Mythic Themes.
until the middle of the first century CE that the queen began
increasingly to be associated with immortality.
BIBLIOGRAPHY
Early Chinese notions of an afterlife had envisaged a
For further discussion, see chapter 4, “The Queen Mother of the
“paradise of the east” situated in islands such as Penglai. In
West,” of my book Ways to Paradise: The Chinese Quest for
addition to the attempts made by talismanic means to guide
Immortality (London, 1979).
the souls of the deceased to paradise by way of those islands,
MICHAEL LOEWE (1987)
considerable effort was stimulated by a completely different
notion, one that sprang from intellectual rather than reli-
gious motives. It was hoped that the provision of symbolic
objects of a different sort, notably a particular type of bronze
XUANZANG (596?–664), religious name of the Chinese
mirror, would set a deceased person within the most favor-
pilgrim-monk who became a leading cleric of the early Tang
able cosmic circumstances. By this means a correspondence
dynasty after returning from an eighteen-year journey to the
would be forged between the individual’s personal circum-
homeland of Buddhism in India. Famous in his own day as
stances of life and death and the eternal cyclical movements
a Buddhist scholar and adviser to the emperor, Xuanzang
of heaven and earth. But from perhaps the middle of the sec-
eventually came to be best known as the historical prototype
ond century BCE emphasis was being directed to the acquisi-
for the legendary Tripit:aka, Master of the Three Collections
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
XUANZANG
9861
of the Buddhist Dharma, whose mythical adventures with
his knowledge in a long and detailed travelogue, the Da Tang
his companion, the supernatural monkey king Sun Wukong,
xiyu ji (Record of western realms), a document that remains
are elaborated in the great sixteenth-century Chinese folk
one of the best historical sources for Central and South Asia
epic, the Xiyou ji (Journey to the West).
during this period. In recognition of his unique knowledge,
Xuanzang was received as a national hero and eventually in-
Born into a family of relatively important government
stalled as the director of a lavishly funded translation project
officials and court scholars under the Sui dynasty (581–618),
that greatly expanded the Chinese Buddhist canon.
Xuanzang grew up during a period of great turmoil and tran-
sition, a time that saw the reunification of the Chinese em-
Taizong’s imperial patronage gave Xuanzang a position
pire after almost three centuries of division. With the encour-
of great prestige and power within the Chinese Buddhist es-
agement perhaps of his father, he decided early to follow the
tablishment of Chang’an. As a Buddhist philosopher and
example of an elder brother in pursuing a monastic career.
scholar, he is probably best characterized as a radical conser-
The young monk is depicted as a precocious, even impetuous
vative. The radical aspect of his character was evident already
student, one who diligently sought out the best scholars of
in the restlessness of his youth, in the dissatisfaction with the
the realm, only to decide while still in his twenties that he
state of Chinese Buddhism that inspired his long pilgrimage
had already exhausted the resources available to him in
to India. His primary concern was to preserve faithfully the
China. To truly master the Buddhist teaching, he felt, he
roots of the tradition, and he had little interest in the new,
would have to travel to the source of the tradition, to the
more indigenous Chinese Buddhist thought that was being
Ganges River valley, thousands of miles away across some of
formulated in the late sixth century. It was surely no accident
the most inhospitable terrain in Asia.
that once in India he allied himself with the most conserva-
tive faction of Maha¯ya¯na thought then current, the scholastic
In 627 Xuanzang set out on his pilgrimage, surrepti-
Yoga¯ca¯ra doctrine represented by S´¯ılabhadra, a school that
tiously crossing the western frontier of China after failing to
was vigorously resisting the innovations of tatha¯gata-garbha
secure the official bureaucratic approval he had sought. After
thought and Tantric practice. The Yoga¯ca¯ra thought he fol-
an arduous journey across mountain and desert with several
lowed sought to revitalize the old Abhidharma program of
long sojourns at the oases of Central Asia, he finally reached
systematic soteriology, undertaken anew in light of the Ma-
India two years later, there slowly to make his way to the vari-
hayana concept of emptiness (´su¯nyata¯). His respect for older
ous sites associated with the career of the Buddha and also
Buddhist traditions is demonstrated further by his devotion
to spend a number of years studying with Buddhist teachers,
to the Maitreya cult and by the conspicuous absence of any
including the aged Yoga¯ca¯ra master S´¯ılabhadra at the great
reference to the increasingly popular Amita¯bha cult in his
university-monastery of Na¯landa¯. We are told that the gifted
travelogue and his biographies.
Chinese monk mastered the intricacies of Buddhist philoso-
phy, both H¯ınaya¯na and Maha¯ya¯na, while also pursuing
In spite of his prestige, Xuanzang’s best efforts to restore
studies in the standard curriculum of the day: Vedic litera-
a more Indian style of scholastic Buddhism in China were
ture, logic, grammar, medicine, and mathematics. Excelling
swept away by the new schools of Chinese Buddhism,
at philosophical debate, an important spectator sport in the
schools that better addressed the Chinese philosophical
prosperous urban centers, Xuanzang’s fame increased steadi-
problematic. Court patronage proved fickle, the influence of
ly. He was chosen to represent Na¯landa¯ in important con-
his disciples waned quickly, and in the end his teaching sur-
tests, and in 642, fourteen years after leaving China, he was
vived as a distinct lineage only in Japan, where it was known
summoned to the court of King Hart:a, a patron of the arts
as the Hosso¯ school. Modern scholars have gained an invalu-
and ruler of most of northern India. With the generous pa-
able picture of early India through Xuanzang’s prodigious ef-
tronage of Hart:a, which ensured his victory at a royal debate
forts. Yet it is not as scholar or philosopher that he is most
held in Kanauj later that year, Xuanzang reached the apogee
venerated within the tradition. For East Asian Buddhists,
of his career in India and began to make plans for a return
Xuanzang came to epitomize the sincerely devout and pious
to China.
pilgrim, the itinerant seeker ever in arduous pursuit of ulti-
mate enlightenment.
After traveling for more than a year, Xuanzang arrived
back in China in 645 bringing an extensive collection of
SEE ALSO Kuiji; Yoga¯ca¯ra.
Buddhist texts and artifacts. The new Tang dynasty was a
powerful and recently consolidated regime ready to initiate
B
an expansionist policy in the west, a campaign that would
IBLIOGRAPHY
eventually extend China’s frontier across much of the very
The grandeur of the Tang dynasty and the drama of Xuanzang’s
journey are well captured by René Grousset in his popular
terrain that Xuanzang had come to know so well. The em-
history, Sur les traces du Bouddha (1929; reprint, Paris,
peror Taizong was quick to recognize the strategic military
1977), translated by Mariette Leon as In the Footsteps of the
value of his extensive knowledge of the geography, customs,
Buddha (London, 1932) and translated again under the same
and politics of the many kingdoms to the west, but Xuan-
title by J. A. Underwood (New York, 1971). The best schol-
zang politely declined to return to lay life in order to serve
arly survey currently available is Genjo¯ by Kuwayama
as a court official. The monk did agree, however, to record
Sho¯shin and Hakamaya Noriaki (Tokyo, 1981). On Xuan-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9862
XUNZI
zang’s relationship to the Tang court, see Stanley Weinstein’s
period of Chinese thought. Despite conflicting and fragmen-
Buddhism under the T’ang (Cambridge, U.K., 1987).
tary evidence regarding his exact dates, Xunzi appears to have
In addition to his many translations, Xuanzang wrote a record of
lived from approximately 310 to 220 BCE, through the cli-
his journey and several philosophical treatises, including
max of the Warring States period of Chinese history. This
most notably an essay reconciling Ma¯dhyamika and
was a time of social turmoil and terrible interstate warfare,
Yoga¯ca¯ra. Only the travelogue has survived, however, and of
culminating in 221 BCE with the annexation of all the origi-
it there are several translations, all now rather dated and in
nal “central states” of China by the western state of Qin.
need of revision. The best is Samuel Beal’s Si-yu-ki: Buddhist
Xunzi rose to a position of intellectual and cultural eminence
Records of the Western World, 2 vols. (1884; reprint, Oxford,
1906). There is no complete translation of the main bio-
during his own lifetime, three times serving as head liba-
graphical document, that written by Xuanzang’s contempo-
tioner among the assembled scholars in the state of Qi, trav-
raries Huili and Yanzong. Beal published a partial translation
eling widely to different states, and even briefly holding a sig-
of this work also, The Life of Hiuen-Tsiang (London, 1911).
nificant administrative post in the state of Chu.
Preferable, though difficult to obtain, is the more complete
and more accurate version published by the Chinese Bud-
Xunzi saw himself as defending the true Confucian heri-
dhist Association of the People’s Republic of China in com-
tage from threats both internal and external to the tradition.
memoration of Xuanzang’s anniversary: The Life of Hsüan-
He appears familiar with all the known currents of thought
tsang, translated by Li Yung-hsi (Beijing, 1959).
of the period, and often aggressively attacks some central
Xuanzang’s understanding of the Vijñaptima¯trata¯ school of
point of a previous thinker while quietly borrowing other ele-
Yoga¯câra thought is best seen in the Cheng weishi lun, a syn-
ments of their thought that seem valuable to him when prop-
optic edition of ten Indian commentaries on the Thirty Verses
erly assimilated into his Confucianism. He wrote focused,
of Vasubandhu prepared by Xuanzang and his main disciple,
well-constructed essays in a pugnacious and frequently color-
Kuiji. This work was translated by Louis de La Vallée-
ful style, which taken as a group present a remarkably coher-
Poussin as Vijñaptima¯trata¯siddhi: La Siddhi de Hiuan-tsang,
ent and powerful religious philosophy. His intellectual goal
2 vols. with separate index (Paris, 1928–1929), and less ade-
was to rearticulate Confucianism on a more sophisticated
quately by Wei Tat as Ch’eng Wei-Shih Lun: The Doctrine of
and realistic anthropological, political, and cosmological
Mere Consciousness (Hong Kong, 1973).
basis, while preserving the hopeful humaneness of the Con-
On the complex problems with Xuanzang’s chronology, see espe-
fucian Way.
cially Luo Xianglin’s “Xuanzang Fashi niandai kao,” pub-
lished with an English summary in the Journal of Oriental
In contrast to Mencius, who retains the Zhou dynasty
Studies 3 (1956): 34–47. For further research on the geo-
idea of a purposive tian or “Heaven” that lifts up worthy
graphical and historical data in Xuanzang’s travelogue, see
leaders at regular intervals to put the Confucian Way into
Thomas Watter’s monograph On Yuan Chwang’s Travels in
India (London, 1904) along with the extensive review by
practice, Xunzi argues that Heaven is not humanlike and is
Paul Pelliot in Bulletin de l’École Française d’Extrême-Orient
unconcerned with human affairs. It follows its own path,
5 (1905): 423–457. On Xuanzang’s rather tenuous relation
does not reward goodness or punish evil, and does not send
to the mythical Tripit:aka in the folk epic Xiyou ji, see the in-
meaningful omens or respond favorably to appropriate sacri-
troduction to Anthony C. Yu’s four-volume translation, The
fices. To view the arts of sacrifice and divination as tech-
Journey to the West (Chicago, 1977–1983).
niques to manipulate spiritual or material realities, Xunzi
New Sources
thinks, is a profound error; such ceremonies, as well as other
Barat, Kahar, ed. and trans. The Uygur-Turkic Biography of the
rituals, are done to bring order to human life and thereby
Seventh-Century Chinese Buddhist Pilgrim Xuanzang, Ninth
give it beauty and proper form. For Xunzi, Heaven does oc-
and Tenth Chapters. Bloomington, Ind., 2000.
cupy the supreme position in the cosmos, and along with
Kuwayama, Shoshin. “How Xuanzang Learned about Nalanda.”
Earth deserves ritualized respect as one of the “three roots”
In Tang China and Beyond: Studies on East Asia from the Sev-
of human existence; this is so because Heaven and Earth
enth to the Tenth Century, edited by Antonino Forte,
through their interactions mysteriously generate all life, in-
pp. 1–33. Kyoto, 1988.
cluding human life. But humans have a crucial role to play,
Lusthaus, Dan. Buddhist Phenomenology: A Philosophical Investiga-
governing themselves and indeed ordering the whole world,
tion of Yoga¯ca¯ra Buddhism and the Ch Deng Wei-shih lun. New
on the basis of steady cycles of change within the cosmos.
York, 2002.
Heaven, like a ruler, occupies the central position of the cos-
Rongxi, Li, trans. A Biography of the Tripit:aka Master of the Great
mos; but human beings, like ministers of state, actively order
Ci’en Monastery of the Great Tang Dynasty. Berkeley, 1995.
the natural and social worlds according to the Way. This
Wriggins, Sally. Xuanzang: A Buddhist Pilgrim on the Silk Road.
Confucian Way is for Xunzi the human Way, in explicit con-
Boulder, Colo., 1996.
trast with the Heavenly Way, and it is crucial for us “not to
ALAN SPONBERG (1987)
compete with Heaven over responsibilities.”
Revised Bibliography
For Xunzi the Way is the ultimate human tradition, cre-
ated over time by the ancient sages in response to human na-
XUNZI (“Master Xun”) was, after Confucius and Mencius
ture and the environment, and yet still universally binding
(Mengzi), the third great Ru or “Confucian” of the classical
on all human beings. This Way is both necessary and suitable
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YAEAQOV BEN ASHER
9863
for us, Xunzi argues (notoriously in the view of later Chinese
ny with natural processes. This ideal state of affairs, which
commentators), because humanity’s innate impulses are e,
Xunzi calls “forming a triad with Heaven and Earth,” is the
“bad,” in the sense of “ugly” or “foul.” This is a direct attack
fullest flowering of the human Way.
on Mencius, who taught that people all possess four
Xunzi’s ideas had a significant impact on the formation
“sprouts” or “beginnings” of virtue within their hearts, which
of later Confucian imperial bureaucracy and methods of edu-
we must attend to and follow if we are to become good (in
cation. Moreover, his students preserved texts (such as the
Mencian terms, we will “cultivate” our “sprouts” until they
Odes) that proved indispensable to later Chinese tradition.
are fully grown). Xunzi adamantly rejects these agricultural
Nevertheless, his two most famous students were viewed by
metaphors for self-cultivation, and the whole anthropologi-
later Confucians as apostates from the Way who brought dis-
cal edifice they are meant to symbolize. Following our uncul-
grace upon their teacher by aiding Qin’s ruthless drive to
tivated intuitions and impulses will lead only to strife, Xunzi
unify China. And later, during the Confucian revival of the
thinks, as people struggle with each other for social domi-
Song dynasty (960–1279
nance and limited material resources. We have no reliable in-
CE), Mencius’s views on human
nature became canonical, with Xunzi’s thereafter considered
born moral intuitions; we must learn the Way from others,
heterodox. He was thus occasionally disparaged but largely
and only over time will its fittingness and power become ap-
ignored until modern times. He is the subject of considerable
parent to us.
current scholarly interest in the West because of his philo-
Xunzi speaks of the formation of virtuous people as a
sophically complex and sophisticated version of Con-
long, initially difficult and unpleasant process akin to craft-
fucianism.
ing beautiful and useful implements out of less than ideal raw
materials. Mere indoctrination or coercion will be insuffi-
BIBLIOGRAPHY
cient, however; people must be exposed to the gracious hu-
John Knoblock’s three-volume Xunzi: A Translation and Study of
maneness of the Confucian Way, and judge for themselves
the Complete Works (Stanford, Calif., 1988–1994) is invalu-
that it is more desirable than their current anxious, danger-
able, particularly in its voluminous notes to the commentari-
ous, and painful lives, even from an ignorant starting point.
al tradition, even if particular translations are sometimes de-
batable or excessive; Knoblock includes ample introductory
A beginning Confucian student needs above all to find
material on Xunzi’s context, and the fullest collected bibliog-
and follow a wise teacher, and congregate with fellow stu-
raphy of Xunzi studies available. Burton Watson’s partial
dents of the Way. Xunzi describes in some detail the prac-
translation is also very good (Hsün-Tzu: Basic Writings, New
tices of self-cultivation he recommends, the most prominent
York, 1963), as are the precisely rendered but brief selections
of which are textual study of the Confucian classics, the prac-
translated by Eric Hutton in Readings in Classical Chinese
tice of ritual, and musical performance and appreciation.
Philosophy, edited by Philip J. Ivanhoe and Bryan W. Van
Norden (New York, 2001). The best collections of secondary
Xunzi’s treatment of ritual is particularly noteworthy.
works are Virtue, Nature, and Moral Agency in the Xunzi, ed-
His use of the term is very broad, encompassing not only sac-
ited by T. C. Kline III and Philip J. Ivanhoe (Indianapolis,
rifices and discrete ceremonies, but also deportment, eti-
Ind., 2000), and Ritual and Religion in the Xunzi, edited by
quette, speech, and even dress; such matters of interpersonal
T. C. Kline III (New York, 2004). Other helpful works con-
“style” are crucial elements of Xunzian ethics. According to
cerning Xunzi’s understanding of ritual include A. R. Rad-
Xunzi, ritual works at personal, social, and even cosmic le-
cliffe-Brown’s classic and insightful “Religion and Society,”
in Radcliffe-Brown, Structure and Function in Primitive Soci-
vels, properly ordering all things into harmonious wholes.
ety: Essays and Addresses (1952), pp. 153–177 (New York,
Over time, by means of diligent ritual practice, the Xunzian
1968), and Robert F. Campany, “Xunzi and Durkheim as
student will “cut and stretch” his dispositions to feel, judge,
Theorists of Ritual Practice,” in Discourse and Practice, edited
and act so that they come to perfectly accord with the rites;
by Frank Reynolds and David Tracy, pp. 197–231 (Albany,
by doing this he will come to follow and “enact” the Way.
N.Y., 1992). Edward Machle’s Nature and Heaven in the
For Xunzi, Confucian learning is a sham unless it is ground-
Xunzi: A Study of the Tian Lun (Albany, N.Y., 1993) is a
ed in a bodily appropriation of the Way, so that a person’s
searching treatment of Xunzi’s views of tian or “Heaven” that
every movement and word is appropriate; this sort of self-
argues Xunzi should be seen as a religious thinker, and that
mastery can only be attained by practicing ritual and music.
his tian is better understood as a Chinese sort of high god
Fully cultivated leaders will both exemplify and implement
than as an amoral, law-governed “Nature.”
the Way in society at large, ushering in a humane society
AARON STALNAKER (2005)
where the poor, weak, and infirm never lack for basic necessi-
ties, the strong are restrained from predation and redirected
to more public service, and the surplus bounty of a harmoni-
ous state will be used to elevate and enrich the lives of all,
YAEAQOV BEN ASHER (c. 1270–1343), Hispano-
according to their virtue and social standing (which ought,
Jewish codifier. YaEaqov was a son of the great German
in a Xunzian world, to coincide). Even the natural world will
halakhist Asher ben Yeh:iDel, who settled with his family in
share in greater fecundity and order when brought under
Toledo in 1303. YaEaqov ben Asher never accepted rabbini-
Confucian stewardship, as people’s needs are met in harmo-
cal office and at times suffered economic adversity, but he
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9864
YAKS:AS
continued his father’s lifework—the revival of Talmudic
Includes the testament of YaEaqov to his children
studies in Castile and the fusion of Franco-German and
(pp. 202–205) as well as testaments of YaEaqov’s brother and
Spanish halakhah.
father.
YaEaqov’s magnum opus was his code, the Arba Eah t:urim
Elon, Menachem. Ha-mishpat: ha EIvri, vol. 3. 2d ed. Jerusalem,
1973. A good description of the T:urim as a code,
(lit., “four rows”; see Ex. 28:17). It consists of four books:
pp. 1058–1082.
Orah: h:ayyim, on liturgy and holidays; Yoreh de Eah, on “the
prohibited and permitted” and other topics, including
Freimann, Alfred. “Die Ascheriden, 1267–1391.” Jahrbuch der
jüdisch-literarischen Gesellschaft 13 (1920): 142–254. Still the
mourning, charity, education, and filial piety; Even ha- Eezer,
basic study of YaEaqov and his family.
on family law; and H:oshen mishpat:, on civil law. YaEaqov
sought to attain coherence and order in Jewish law, but in
Twersky, Isadore. “The Shulh:an EAruk: Enduring Code of Jewish
a manner less radically reductive and homogenizing than that
Law.” Judaism 16 (1967): 141–158. Reprinted in The Jewish
Expression, edited by Judah Goldin (New York, 1970),
of Maimonides in his Mishneh Torah a century and a half
pp. 322–343. Contains valuable comments on the T:urim
earlier. Instead of excising all disagreement and discussion,
and its use by Yosef Karo.
as Maimonides had done, YaEaqov skillfully integrated into
Urbach, E. E. “Darkhei pesiqah: Sefer ha-T:urim.” In American
his code brief discussions of legal cruxes and of the divergent
Academy for Jewish Research Jubilee Volume, edited by Salo
views of major authorities who represented different schools,
W. Baron and Isaac E. Barzilay, vol. 2, pp. 1–14 (Hebrew
generally concluding with his father’s view.
section). Jerusalem, 1980. Explores, among other things, the
The language of the T:urim is clear and simple. Unlike
question of structural parallels between the T:urim and
Mishneh Torah, its arrangement aims at functionality rather
Roman and Spanish law codes.
than conceptual categorization. This practical orientation is
New Sources
evident also in its omission of all laws not applicable since
Amrán, Rica. “Un estudiante ruso en la Yesiba de Toledo en tiem-
the destruction of the Temple. Nor does the T:urim attempt
pos de Asher ben Yehiel, ha-Rosh.” Anuario de Estudios Me-
the grand synthesis of law and theology to which Mishneh
dievales 20 (1990): 9–13.
Torah aspires. It does, however, contain many homiletical
Ta-Shma, Israel Moses. “Between East and West: Rabbi Asher b.
and hortatory passages (especially in the section prologues)
YehiEel and His Son Rabbi YaEakov.” In Studies in Medieval
based on classical aggadah and the author’s own pure and
Jewish History and Literature, vol. 3, edited by Isadore Twer-
simple piety. Only rarely are there reflections of the Ashke-
sky and Jay M. Harris, pp. 179–196. Cambridge, Mass.,
nazic Hasidism of YaEaqov’s German forebears and of his op-
2000.
position to philosophical rationalism. The spirituality under-
BERNARD SEPTIMUS (1987)
lying YaEaqov’s piety occasionally breaks through the surface,
Revised Bibliography
as in his recommendation, inserted matter-of-factly in “the
laws of prayer,” that one emulate the “men of piety and good
deeds [who] would so meditate and concentrate in prayer,
YAKS:AS
that they achieved a stripping away of corporeality and an
SEE NA¯GAS AND YAKS:AS
intensification of the rational soul, which brought them close
to the level of prophecy.”
The T:urim became an immensely popular work among
YAKUT RELIGION. The Yakuts, who numbered
both Sephardic and Ashkenazic Jews and occasioned many
328,000 during the 1979 census, are the northernmost of
commentaries. It was the second Hebrew book published
Turkic peoples. Beginning in the twelfth and thirteenth cen-
(Piove di Sacco, 1475) and in the sixteenth century served
turies, under pressure caused by Buriat encroachment, they
as the basis for Yosef Karo’s classic code, the Shulh:an !arukh.
gradually emigrated northward from the Lake Baikal region
of southern Siberia. They moved upstream along the course
YaEaqov also composed a commentary on the Torah
of the Lena River and finally settled in northeastern Siberia,
(1806) that clearly summarizes the brilliant but difficult thir-
the coldest region in the world. The horses and cattle bred
teenth-century Pentateuch commentary of Moses Nahma-
by these semisedentary people have successfully adapted to
nides, without the latter’s qabbalistic exegesis. To each sec-
the rigorous climate; however, hunting and fishing provide
tion, YaEaqov prefaced homiletical interpretations based on
the Yakuts with a significant additional source of income.
the numerical value of letters (gemat:riyyah) and the ortho-
The Yakuts are organized in patrilineal and exogamic clans
graphic peculiarities of the Masoretic text. Ironically, these
regrouped into tribes.
interpretations, mentioned as a relatively inconsequential af-
terthought in YaEa-qov’s introduction, became extremely
Under pressure from the Russians, who subjugated
popular, eclipsing the main body of the commentary.
them during the first half of the seventeenth century, the ma-
jority of Yakuts were baptized by the end of the eighteenth
BIBLIOGRAPHY
century. They adopted Christianity primarily for material
Abrahams, Israel, ed. and trans. Hebrew Ethical Wills (1926). Re-
reasons (e.g., gifts of crosses, shirts, and various privileges).
print, with a foreword by Judah Goldin, Philadelphia, 1976.
At the same time, they secretly preserved their own religious
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YAKUT RELIGION
9865
system, shamanism, which was modified superficially as the
would become an avatar of the goddess of the earth. Such
result of contact with Russian Orthodoxy. The practitioners
an identification of the goddess may be a vague indication
of shamanism accepted the new idea of a reward after death
of a marriage between the sky and the earth.
and attributed the traits of God, the Virgin Mary, and the
The a˘ıyysyts, a group of spirits, female for the most part,
guardian angels to some of their spirits.
attend to human reproduction and the reproduction of cer-
COSMOLOGY. The Yakut universe is composed of three su-
tain species of animals (especially the domestic species). The
perimposed worlds. The “upper world” comprises nine skies
a˘ıyysyt who attends to human reproduction brings the soul
of different colors. Spirits reside in each sky: In the east are
of the child created by A˘ıyy To˘ıon. She also comes to help
the a˘ıyys, bright, creative spirits, and in the west are the
women during childbirth. She is often associated with
abaasys, dark, harmful spirits. (The Yakuts are situated in the
Ië˘ıiëkhsit, and is occasionally confused with her. When they
east.)
are associated, A˘ıyysyt is the one who grants the soul and
The “middle world,” flat and octagonal, is populated by
Ië˘ıiëkhsit is the one who delivers it. (The latter has been lik-
humans and by a host of spirits. The forest of this world is
ened to a guardian angel.) A˘ıyysyt and Ië˘ıiëkhsit are both
a formidable territory because the greatest number of spirits
proper nouns and epithets that can be applied even to male
are found there: Although they grant game, they also capture
personages: When one is begging for offspring one uses the
the souls of hunters who have pleased them.
epithet A˘ıyysyt, and when one desires an intermediary the
epithet Ië˘ıiëkhsit is used. The three a˘ıyysyts of man, of
The “lower world” is a crepuscular region solely inhabit-
horned livestock, and of dogs are all feminine spirits, but the
ed by the harmful spirits who roam among a metallic, iron
spirit that grants horses, “the formidable Dzhësëgë˘ı,” is mas-
vegetation. Here, the “sea of death,” composed of children’s
culine. When mares and cows reproduce, and each time a
cadavers, churns its waves. The term employed for “lower
child is born, relatives and cousins come together to offer a
world,” allaraa, signifies “below, downstream, in the north.”
ritual of renewal to the spirit that granted the soul. However,
(The rivers of Siberia flow northward, hence the use of the
the ritual for the spirit-master of horses is conducted by the
same term for both “downstream” and “north.”) It is possible
(male) ruler of the house, while the other two rituals are cele-
that the lower world is not conceived of as a sinister and sub-
brated by the women.
terranean replica of the middle world but rather as a watery
abyss in the northern regions. In any case, the contrasts of
The goddess of the earth, who lives among beautiful
above and below and of upper and lower do not figure pre-
white birches far from the evil spirits, takes care of the travel-
dominately in the Yakut religion. More important is the divi-
er, blesses the harvests, and occasionally decides the fate of
sion of the sky into east (good) and west (evil): This division
the newborn. The spirit-master of the domestic fire assures
allows for the classification of the spirits.
the survival of the household: In his embers tremble the souls
T
of children and calves yet to be born. He removes harmful
HE PANTHEON. The bright, creative spirits, a˘ıyys (from the
spirits and purifies the accessories of the hunt that are soiled
Turkic root “ai,” “to create”), assure the Yakuts their survival
by the presence of a menstruating woman. This spirit-master
by granting them the souls of children and also of horses, cat-
also serves as an intermediary for other spirits by delivering
tle, and dogs, the Yakuts’ only domesticated animals. How-
offerings to them that are thrown into his flames in their
ever, the Yakuts must pay homage to the aiyys with milk of-
honor. In exchange, one must not forget to feed him by
ferings and prayers and must consecrate animals to them
throwing him a mouthful of food before each meal; other-
from their herd. The consecrated animal (yzykh) is not slain;
wise, he may take revenge by, for example, burning down the
it is sent back to the herd and is treated with respect, for it
house.
no longer belongs to humans but to the spirit to which it was
consecrated. This spirit will reward the people for their care
On the opposite side, in the western sky, loom the black
by granting fertility to the herd. The a˘ıyy cult, called “white
spirits, abaasys (the Turkic root is probably ap, “enchant-
shamanism,” disappeared in the eighteenth century and
ment”), “gigantic as the shadows of larches under the full
never was studied properly.
moon.” In fact, they appear to be more terrible than they
really are, because once they have sent diseases (most often,
The White Lord Creator, Iurung Aiyy Toion, is the
various types of insanity), they will take them away if the sha-
master of all the a˘ıyys who are imagined to be like rich Yakuts
man sacrifices horses with suitable coats. The supreme ruler
and are organized in clans, as are the Yakuts themselves. As-
of the nine clans of abaasy is Ulu Toion (“powerful lord”),
sociated with the sun and the heat of summer, the White
who gave the Yakuts fire and perhaps one of the three souls
Lord Creator resides in the ninth sky, where “the grass is as
that the Yakuts believe each person possesses (according to
white as the wing of a white swan.” He rules the world, sends
some, the soul he gave was the siur, vital energy). He is the
the soul (kut) to children, and assures fertility in cattle and
protector of the black shamans, abaasy o˘ıun (lit., “shamans
the growth of plants, but he does not interfere in human af-
in contact with the abaasys”).
fairs on his own initiative. During the great spring feasts
called “libations” (ysyakh), he is first offered libations of fer-
Other harmful abaasys populate the earth and the lower
mented mare’s milk; later, horses are consecrated to him. Oc-
world. The two most celebrated are the ruler of the lower
casionally a goddess, the wife of this god, is mentioned; she
world, Arsan Duolan (a pale replica of Ulu To˘ıon), who
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9866
YAKUT RELIGION
sends infant mortality and obstinacy, and Kudai Bagsi, the
The shaman is aided by his principal spirit (ämägät),
ruler of the smiths, who cures the apprentice smith of his ini-
generally the shaman’s ancestor, who chose the shaman from
tiatory illness if the shaman offers him a black bull.
among his descendants in order to pass on the shamanic gift,
Among the harmful spirits are the unsatisfied deceased
a gift that always remains in the same family. Women also
(iuërs) those who died without completing a full life cycle,
can become shamans (udaghans), but female shamans are less
such as young girls who died without having been married.
numerous because the clans are patrilineal. Once chosen by
The souls of suicides and of shamans become the most formi-
the ancestor, the soul of the future shaman takes on the form
dable iuërs.
of a young bird and is educated atop either the mythic larch
of the upper world or the pine tree of the lower world. It is
In the domestic environment and in natural phenomena
during his initiation that the shaman seals his alliance with
that directly influence humanity’s well-being, there exists a
the spirits. In the course of his sleep, his body is cut up in
supernatural force that the Yakuts call ichchi (“master, pos-
the lower world and consumed like a sacrificial animal by
sessor”). This force is personified in the spirit-masters who
several spirits. The spirits then reconstitute his body. Recre-
reside in the object, house, or territory they possess. To en-
ated in this manner, the shaman acquires rights over the spir-
sure that a tool be effective or that a house not collapse, to
its who have consumed his flesh and who will subsequently
avoid being crushed by a tree or hurled into the waters when
help him remove illnesses.
crossing the forest or the river, one must make an offering
The shaman is also aided by zoomorphic spirits who
to one’s spirit-master.
transport him in the air or under the ground and who fight
Since the Yakuts believed the spirits were organized in
at his side. Moreover, the shaman possesses an animal double
clans as they themselves were, they recognized their right to
(usually a male moose or bull); it is in this form that he fights
have tribal property. This property was the game and fish ex-
against shamans of enemy clans. If the shaman’s animal dou-
isting in the territory of these spirits. They accorded part of
ble has been killed, he himself dies. The shaman also fights
this to humans in exchange for food (milk products, alcohol,
against the souls of dead avengers, the spirits of illnesses and
flesh of domestic animals) in an alliance that is similar to that
epidemics. He also assures the survival of his clan by divina-
formed between bartering human tribes. However, the spirits
tion—predicting the future, the areas where game will be
never give enough souls of game, cattle, and children. This
most plentiful, and so forth. In this dark universe, where
is where the shaman intervenes.
mad spirits who populate three-fourths of the sky in the west
THE SHAMAN. To obtain the souls of wild game, the shaman
predominate, where the bright spirits (a˘ıyys) often refuse to
provides the master of the particular kind of animal in ques-
grant offspring and prosperity, and where “soul-eating” spir-
tion with food in return: He smears the blood of a sacrificed
its lurk about the earth and in the lower world, the shaman
animal on a wooden statuette where he has caused the spirit-
is the Yakuts’ only support.
master of the forest, the rich Baiana˘ı or Baryllakh, to de-
S
scend. He then gives a symbol of these souls (e.g., feathers,
EE ALSO Shamanism, article on Siberian and Inner Asian
Shamanism; Southern Siberian Religions.
etc.) to the members of the clan. To obtain the souls of chil-
dren and additional cattle, the shaman himself goes to the
BIBLIOGRAPHY
beyond to confront the a˘ıyysyts. At first the spirits refuse, re-
Alekseev, N. A. Traditsionnye religioznye verovaniia iakutov v de-
membering the wrongs that humans have committed. Then,
viatnadtsatom-nachale dvadtsatogo v. Novosibirsk, 1975. A
after considering the supplications of the shaman, they give
work giving a detailed description, from an evolutionist per-
him the souls. The position of the shaman has changed: He
spective, of Yakut beliefs.
no longer barters, he implores, because the a˘ıyy spirits, dis-
Ksenofontov, G. V. Legendy i rasskazy o shamanakh u iakutov, bur-
pensers of cattle and human offspring, are venerated, unlike
iat i tungusov. 2d rev. ed. Moscow, 1938. Very valuable work
the spirits of the hunt or of illnesses, whom the shaman treats
for the study of Yakut, Buriat, and Tunguz shamanism, con-
as equals.
sisting of a series of accounts by indigenous informants, col-
lected between 1921 and 1926 and accompanied by notes
To cure illness, which the Yakuts conceive as the instal-
from the author, a Yakut himself.
lation of an evil spirit in the body of the ailing person and
Pekarskii, E. K. Slovar D iakutskago iazyka. 3 vols. Saint Petersburg
also as the theft of the soul by a spirit “soul-eater,” the sha-
(Leningrad), 1907–1930. Dictionary that contains many
man trades the soul of the sick person for that of a sacrificed
facts on the ethnography and religion of the Yakuts.
animal, which he sends into the otherworld. These negotia-
Popov, A. A. “Materialy po religii iakutov Viliuiskogo okruga.”
tions with the spirits take place during the shamanic séance,
Sbornik Muzeia Antropologii i Etnografii 11 (1949):
which is generally held nocturnally at the afflicted person’s
255–323. Important article including information on the
home, with relatives and neighbors in attendance. The sé-
Yakut world, spirits, souls, and certain rituals, collected by
ance includes a purification ceremony; a convocation of the
the author during the time of a survey conducted from 1922
spirits through the shaman’s chanting, accompanied on the
to 1925 on the Yakuts living in the region of the Viliui, a
tambourine; a voyage of the shaman himself into the other-
western tributary of the Lena River.
worlds to find the spirits (a voyage mimicked by the sha-
LAURENCE DELABY (1987)
man’s dance); and an act of divination.
Translated from French by Sherri L. Granka
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YAMA
9867
YAMA. In the earliest R:gvedic hymns, Yama is a benign
ciated with his various aspects as Ka¯la, Mr:tyu, and Antaka
god who looks after the well-being of the dead, whom he en-
are images of repulsiveness, cruelty, and deformity. In de-
tertains with food and shelter. His abode and its environ-
scriptions of Yama red and black colors predominate.
ment are pleasant and comfortable; survivors supplicate him
In the final stage of his evolution, Yama shares two sig-
for the care of their departed relatives.
nificant characteristics with S´iva: He is Ka¯la (“time”) and
Yama is the son of Vivasvat and Saran:yu¯; he has a twin
Dharmara¯ja (“lord of righteousness”). As Ka¯la, he is also An-
sister, Yam¯ı. In the R:gveda, Amr:ta (“ambrosia”) is Yama’s
taka, the “ender” (i. e., Death). As Dharmara¯ja, he takes over
son, but in the Atharvaveda, Yama has a son, Duh:svapna
Varun:a’s role as the moral judge and punisher whose assis-
(“bad dream”), by Varun:a¯n¯ı. In the epic-Puranic literature,
tants torture the wicked in hell. At this stage his name is
the A´svins are his brothers, and S´ani and Manu are his half
clearly derived differently, from the root yam (“to control”),
brothers. The An˙girasas are his associates.
from which are derived yantran:a (“constriction”) and
yantran:a¯ (“torture”). As Dharmara¯ja, Yama can also be le-
The name Yama is derived from a stem meaning
nient to supplicants and revoke his own order (as he did for
“twins”; Latin gemini and the Avestan names Yima and
Sa¯vitr¯ı) or modify it (as he did for Pramadvara¯ in the
Yimeh are cognates. In a R:gvedic hymn, Yam¯ı implores
Maha¯bha¯rata).
Yama to unite with her, but he rejects her advances. The
Numerous episodes in the epics and Pura¯n:as contribute
hymn has an abrupt, inconclusive end. In Buddhist litera-
to Yama’s almighty and sinister image. This image contrasts
ture, Yama is identified with Ka¯ma (“desire”) and Ma¯ra
with his early Vedic appearance as a minor god who is simply
(“death”). In the Vedic literature, Yama has close relations
a “gatherer of men.” A cluster of hymns in the tenth and last
with Rudra, Soma, Agni, Ka¯la, and Nirr:ti. Yama also bears
book of the R:gveda presents him as a benign god like any
a remote relationship to Varun:a.
other in the pantheon. But from the Yajurveda (especially in
Yama in the Vedas was the first mortal to die. He then
the Purus:amedha sacrifice), where different oblations are
went to heaven, where he ruled over the dead. But toward
prescribed for each of the various aspects of Yama, his per-
the close of the Vedic period sinister traits began to appear
sonality undergoes a radical change: From the benevolent
in him, and they grew stronger with time. Yama then became
god of the dead he becomes the dread god of death. The the-
the god of death and the lord of Hell. In the Kat:ha Upanis:ad,
ophany of Yama as Ka¯la, Antaka, and Dharmara¯ja brings
as death personified, he holds a long discourse with the boy
him closer to S´iva.
Naciketas, whom he initiates into the mysteries of life, death,
and immortality. Prayers are offered to Yama for longevity
BIBLIOGRAPHY
and deliverance from recurring deaths. Yama also grants re-
Barua, P. R. “The Conception of Yama in Early Buddhism.” Jour-
lease from a´sana¯ya¯ (hunger). In many rituals of ancestor wor-
nal of the Asiatic Society (Pakistan) 9 (December 1964): 1–14.
ship, oblations are offered to Yama with prayers for averting
Bhattacharji, Sukumari. The Indian Theogony: A Comparative
recurring deaths. In the Gr:hyasu¯tras, oblations are offered to
Study of Indian Mythology from the Vedas to the Pura¯n:as.
Cambridge, 1970. The chapter on Yama (pp. 48–64) seeks
Yama’s men, presumably his associates, in the realm of the
to trace Yama’s evolution from the Vedic to the epic-Puranic
dead.
period and his transformation from a benign god of the dead
Of the two paths in later Vedic eschatology, Devaya¯na
to an agent of S´iva.
and Pitr:ya¯n:a, the latter is that of the fathers and of spirits
Chapekar, N. G. “Pita¯ra¯h: and Yama.” In Belvalkar Commemora-
doomed to rebirth. These spirits proceed through Soma, the
tion Volume, Benares, 1957, pp. 36–42. Deals with Yama’s
moon, and are judged by Yama. In the epics and Pura¯n:as,
relationship with ancestral spirits.
Yama has a palace, S´ubha¯vat¯ı, in the netherworld. Yama’s
Dandekar, R. N. “Yama in the Veda.” In B. C. Law Commemora-
realm begins, in Buddhist literature, to shift from the heaven
tive Volume, edited by D. R. Bhandarkar. Calcutta, 1945. A
of the gods until, in the Hindu epics and Pura¯n:as, it assumes
critical and comprehensive account.
distinctly sinister characteristics. As god of death and lord of
Dumézil, Georges. “La sabha¯ de Yama.” Journal asiatique 253
Hell, Yama is dark and malevolent, yet still a giver of boons.
(1965): 161–165.
Ehni, Jacques. Die ursprüngliche Gottheit des vedischen Yama. Leip-
The south is the region of Yama (as it is that of the Aves-
zig, 1896. One of the earliest studies.
tan Yima) and the region of death. Yama has two dogs,
Heras, Henry. “The Personality of Yama in the R:gveda.” In
S´ya¯ma and S´abala, who are associated with the final judg-
Jadunath Sarkar Commemoration Volume, edited by Gupta
ment of souls, as are Hades’ dog, Kerberos, the Egyptian An-
Hari Ram, vol. 2. Hoshiarpur, 1958. Discusses the Vedic an-
ubis, and Yima’s four dogs. Yama is also associated with oil
tecedents of Yama.
and with the dove, eagle, and raven (all of which are en-
Karmarkar, A. P. “Yama—The God of Death of the Dravidians.”
dowed with sinister traits). The epic and Puranic Yama has
Indica 4 (March 1967): 7–10.
a buffalo for a mount. Dread monsters (ra¯ks:asas), semidivine
Varma, M. Yama. Allahabad, 1939. A fairly full study of some im-
yaks:as, demons, cruel messengers, the An˙girasas, and the
portant aspects of Yama’s personality.
souls of the departed throng his realm. His ritual oblations
Wayman, Alex. “Studies in Yama and Ma¯ra.” Indo-Iranian Journal
in ancestor worship are gruesome and evil. The symbols asso-
3 (1959): 44–73, 112–131. A critical and comparative treat-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YAMAGA SOKO
¯
9868
ment of the Vedic Yama and his transformation into Ma¯ra
Soko¯ is also known as an advocate of Ancient Learning.
in Buddhist literature.
While he had once subscribed to Neo-Confucianism, he
New Sources
came to oppose it, calling for a return to the teachings of the
Merh, Kusum P. “Yama, the Glorious Lord of the Other World.”
ancient Chinese sages and Confucius. In Seikyo¯ yo¯roku, he
Reconstructing Indian History & Culture no. 12. New Delhi,
attacked Neo-Confucianism’s introspective concerns and in
1996.
their stead, advanced a new utilitarianism, stressed the im-
portance of social relationships, and recommended the reviv-
SUKUMARI BHATTACHARJI (1987)
Revised Bibliography
al of ancient Chinese regulations and rituals. Soko¯ began the
work that Ito¯ Jinsai (1627–1705) and Ogyu¯ Sorai (1666–
1728), his successors in the school of Ancient Learning,
would complete. While in exile, Soko¯ became an ardent na-
YAMAGA SOKO
¯ (1622–1685), Japanese Confucian of
tionalist. In Chu¯cho¯ jijitsu and Takkyo¯ do¯mon he argued that
the school of Ancient Learning (Kogaku). Soko¯ was born in
Japan’s idigenous religion, Shinto¯ (“way of the gods”), was
Aizu, the son of a masterless warrior named Yamaga Sada-
superior to Confucianism and that Japan itself was superior
mochi (1585–1664) and Sadamochi’s mistress, Myo¯chi
to China and all other countries in the world.
(d. 1677). He began studying the Confucian classics at the
Soko¯’s writings reveal, first, an impressive eclecticism
age of five or six, and at eight he was en rolled at the Hayashi
that reflects his having studied, at different times, Neo-
school in Edo (present-day Tokyo). As a youth, he also stud-
Confucianism, Shinto¯, military science, Buddhism, and even
ied Japanese literature, Shinto¯, and military science—the lat-
Taoism. They also reflect his concern, associated with his
ter with Obata Kagenori (1572–1663) and Ho¯jo¯ Ujinaga
utilitarianism, with the actual affairs of daily life and the larg-
(1609–1670).
er problem of how best to govern the country. Finally, Soko¯’s
Soko¯ first achieved fame in 1642 when he published
writings give evidence of his fierce loyalty to the shogun and
Heiho¯ yu¯bishu¯ (Collected Writings on Military Methods and
the government he headed. Although Soko¯ never became a
Preparedness), a fifty-volume work on military science that
direct retainer of the shogun, he taught hundreds, perhaps
treated a whole range of subjects from castle defense to war-
thousands, of Tokugawa retainers and formulated political
rior organization. Over the next two decades his lectures on
principles aimed at strengthening shogunal rule.
military affairs and the Chinese classics attracted growing
numbers of local warriors and lords. In 1652 Soko¯ entered
SEE ALSO Bushido¯; Confucianism in Japan; Ito¯ Jinsai; Ogyu¯
the service of Asano Naganao (1610–1672), lord of the Ako¯
Sorai.
domain, and served him until 1660, when he resigned to de-
vote himself to teaching. Despite his service in the Asano
BIBLIOGRAPHY
house and his success as a teacher, Soko¯ longed to become
de Bary, Wm. Theodore. “Sagehood as a Secular and Spiritual
a direct retainer of the shogun. Although he nearly realized
Ideal in Tokugawa Neo-Confucianism.” In Principle and
Practicality: Essays in Neo-Confucianism and Practical Learn-
this ambition on several occasions, his hopes were dashed in
ing, edited by Wm. Theodore de Bary and Irene Bloom,
1666 when the senior councillor Hoshina Masayuki (1611–
pp. 127–188. New York, 1979. An important revision of
1672) had him exiled to the Ako¯ domain. The ostensible rea-
Maru-yama Masao’s interpretation of Tokugawa intellectual
son for this was the publication of Seikyo¯ yo¯roku (Essentials
history, in which Yamaga Soko¯ is treated.
of the Sages’ Teachings), in which Soko¯ criticized the offi-
Maruyama Masao. Studies in the Intellectual History of Tokugawa
cially sanctioned Neo-Confucianism. During his exile Soko¯
Japan. Translated by Mikiso Hane. Princeton, 1974. A clas-
was well cared for by the Asano family, had an endless stream
sic study of Tokugawa intellectual history.
of visitors from Edo, and wrote more than seventeen books,
Uenaka Shuzo. “Last Testament in Exile: Yamaga Soko¯’s Haisho¯
the most important of which were Takkyo¯ do¯mon (A Child’s
Zampitsu.” Monumenta Nipponica 32 (Summer 1977):
Queries During Exile), Chu¯cho¯ jijitsu (The Truth about
125–152. An annotated translation of Soko¯’s Haisho¯ zanpit-
Japan), and Haisho¯ zanpitsu (Last Testament in Exile). When
su, with full biographical introduction.
he was pardoned in 1675 he returned to Edo, where he re-
S
sumed his teaching career, once again lecturing on military
AMUEL HIDEO YAMASHITA (1987)
science and Confucianism. He died of jaundice in 1685.
Soko¯ is best known as a military thinker, Confucian
scholar, and nationalist. Early in his life he concentrated on
YAMATO TAKERU. Yamato Takeru, whose name
formalizing and systematizing the essentially medieval
means “brave man from the Yamato region,” is a legendary
mores, customs, and institutions of the warrior class. In the
character described in the records of the Yamato kingship,
early 1650s, he developed the notion of what he called
including the Nihonshoki (720 CE) and Kojiki (712 CE). Ac-
bushido¯ (“way of the warrior”), which, borrowing heavily
cording to the Nihonshoki and Kojiki, Yamato Takeru was
from Neo-Confucianism, provided a philosophical basis for
the son of Keiko Tenno, the twelfth emperor. He laid the
military science and described the ideal behavior of a class
foundations for the Yamato kingship to rule almost all of the
whose chief function was no longer to fight but to govern.
Japanese islands by conquering previously unsubjugated peo-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YAMAZAKI ANSAI
9869
ples, such as the Kumaso in the southwest and the Emishi
mato Takeru as crystallizing memories of pre-imperial Japan.
in the northeast. Yamato Takeru’s conquests finally ended
Ishimoda believed that the national epics of Japan were equal
when he died after his defeat by a mountain god just before
to the Greek and Roman mythologies. They could be traced
returning to the Yamato region. Today, Yamato Takeru is
back to the stage before the construction of an artificial na-
not considered to have been an actual living person, but his
tional identity through the Kojiki and Nihonshoki, when
character may reflect memories of Yuryaku Tenno, who lived
there was, according to Ishimoda, a pure national sensibility.
during the fifth century.
The image of Yamato Takeru has been transformed through
interpretive acts in every period of Japanese history and used
The descriptions of Yamato Takeru’s character are simi-
to legitimate the standpoint of each interpreter. For many,
lar in the Kojiki and Nihonshoki, but his relationship with his
the legend of Yamato Takeru was thought to preserve histori-
father, Keiko Tenno, is described very differently in the two
cal traces of national memories of how ancient Japanese soci-
books. In the Nihonshoki, Yamato Takeru is the one and only
ety was established. The image of Yamato Takeru will no
crown prince who is relied on by his father as a man of per-
doubt continue to change over time in order to meet new
fected character in terms of the ideal Chinese Confucian. But
needs.
in the Kojiki, Yamato Takeru is just one of many princes, and
he is hated by his father because of his extraordinary powers
BIBLIOGRAPHY
as a trickster-like character. Yamato Takeru’s expedition is
Aston, W. G., trans. Nihongi: Chronicles of Japan from the Earliest
also described differently in the two books. In the Nihon-
Times to A.D. 697. 1896; reprint, Rutland, Vt., and Tokyo,
shoki, he leads his father’s army, whereas in the Kojiki he is
1972.
forced to enter enemy territory almost alone, as if he had
Ishimoda Sho¯. Kodai kizoku no eiyuu jidai: Kojiki no ichi kousatsu.
been expelled from the Yamato region, even though he had
1948; reprint, Tokyo, 1989.
shown obedience to his father. The relationship described in
Isomae Jun’ichi. “Myth in Metamorphosis: Ancient and Medieval
the Kojiki could be thought of as an Oedipus complex in re-
Versions of the Yamato Takeru Legend.” Monumenta Nip-
verse, with the father showing hatred for the son regardless
ponica 54, no. 3 (1999): 361–385.
of the son’s affection towards him.
Isomae Jun’ichi. “Re-appropriating the Japanese Myths: Motoori
Norinaga and the Creation Myths of the Kojiki and Nihon
Legends of Yamato Takeru are also found in the Fudoki,
shoki.” Japanese Journal of Religious Studies 27, nos. 1–2
a compilation from the early eighth century CE explaining
(2000): 15–39.
the origins of the names of places across the Japanese islands.
Motoori Norinaga. Kojiki-den. Motoori Norinaga zenshu¯, vol. 11.
There are some suggestions in the Fudoki that Yamato
Tokyo, 1969.
Takeru was classified as an emperor. From the evidence of
Philippi, D. L., trans. Kojiki. Princeton, 1969.
the Nihonshoki, Kojiki, and Fudoki, there are at least three
Tsuda So¯kichi. Nihon koten no kenkyu¯ (1948). Tokyo, 1993.
different types of legends concerning Yamato Takeru. Al-
Ueda Masaaki. Yamato Takeru no Mikoto. Tokyo, 1960.
though they are not unified, all of these books concern the
Yamato kingship.
Uegaki Setsuya, ed. Fudoki. Shinpen Nihon koten bungaku zenshu¯,
vol. 5. Tokyo, 1997.
In the medieval era, there were repeated attempts to
ISOMAE JUN’ICHI (2005)
unify the numerous records of Yamato Takeru. Most of the
stories of the period, in the Heike monogatari and other
works, were based on the Nihonshoki account. They empha-
YAMAZAKI ANSAI (1618–1682), Japanese Confu-
size the Yamato Takeru legend as a story about the miracu-
cian and Shinto¯ scholar of the early Tokugawa period. The
lous powers of the Kusanagi sword, one of three items mak-
son of a samurai who lost his position in the turbulence of
ing up Japan’s imperial regalia. This emphasis reflected the
the early Tokugawa period, Ansai was set at a young age on
fact that at this point in history the warrior class controlled
a career as a Zen priest. However, in his twenties he became
the political power of Japan, and the imperial family feared
acquainted with the anti-Buddhist writings of the Song Chi-
losing cultural power as well. Thus, the imperial family and
nese Neo-Confucian scholar Zhu Xi. Inspired by them, he
their supporters sought to exemplify the family’s strength
rejected Buddhism in favor of Confucianism, left the monas-
and lineage through their possession of the legendary sword.
tery, and devoted himself to the study and explication of the
Beginning in the middle of the early modern period, Ya-
ideas of Zhu Xi. He attracted many disciples, drawn primari-
mato Takeru came to be characterized as a figure with rich
ly from the samurai class, and developed close relations with
human emotions, especially the feeling of sorrow. Scholars
a number of important political figures. He thus played a sig-
of Japanese classical studies, such as Motoori Norinaga, drew
nificant part in the spread of Confucian learning among the
more upon the Kojiki account. In the modern era and mov-
Tokugawa samurai class. Ansai was also deeply interested in
ing into World War II, the Japanese government used the
the fusion of Confucianism and Shinto¯ that had been devel-
figure of Yamato Takeru to represent and glorify the loyal
oped by contemporary Shinto¯ scholars such as Yoshikawa
subject, implying that it was honorable to die in war for the
Koretaru. From Yoshikawa, Ansai received the Shinto¯ reli-
country and the emperor. After Japan’s defeat, Marxists his-
gious name of Suika Reisha, and Ansai’s own version of Con-
torians, such as Ishimoda Sho¯, re-presented the story of Ya-
fucian-flavored Shinto¯ is known as Suika Shinto¯.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9870
YA¯MUNA
Insisting that, like Confucius, he sought only to trans-
made between Shinto¯ and Confucianism were forced and
mit, not to create, Ansai wrote little of a systematic, interpre-
far-fetched, and his leading disciples, although declaring
tive nature. His preferred method was to compile selections
themselves faithful to the essence of Ansai’s teachings, broke
of excerpts from the writings of Zhu Xi and to express his
with him over the question of the relationship between Con-
own views on Zhu Xi’s teachings through lectures on these
fucianism and Shinto¯. This break led in later years to the di-
excerpts and a few chosen texts. Ansai’s ideas were thus con-
vision of the Ansai school into two major branches, one Con-
veyed primarily in the form of lecture notes taken down by
fucian and one Shinto¯.
his disciples. As reflected in these notes, Ansai’s lectures, de-
livered in a forceful, colloquial style, sought both to come
BIBLIOGRAPHY
to terms with the complexities of Zhu Xi’s metaphysics and
An introduction in English to Yamazaki Ansai’s major ideas can
to deliver them to a relatively uneducated audience in a sim-
be found in Okada Takehiko’s “Yamazaki Ansai,” in Princi-
ple, direct fashion. This approach was undoubtedly an im-
ple and Practicality: Essays in Neo-Confucianism and Practical
Learning, edited by Wm. Theodore de Bary and Irene Bloom
portant factor behind the popularity and influence of his
(New York, 1979). For an account of the ideological orienta-
school.
tion of his school, see Herman Ooms, Tokugawa Ideology:
Similarly, Ansai stressed mastery of a few basic texts
Early Constructions, 1570–1680 (Princeton, N. J., 1985).
rather than wide reading. Whereas other Tokugawa Confu-
Bito¯ Masahide’s Nihon ho¯ken shiso¯shi kenkyu¯ (Tokyo, 1961)
cian scholars, such as Hayashi Razan, emphasized the impor-
presents an incisive treatment of Ansai’s place in the develop-
ment of Tokugawa thought and of the points where Ansai
tance of erudition and thereby presented Confucian learning
diverges from Zhu Xi.
as the special province of the professional scholar, Ansai de-
cried the pursuit of erudition as encouraging dilettantism
KATE WILDMAN NAKAI (1987 AND 2005)
and as counterproductive to the development of a firm sense
of moral priorities. Confucian scholars of other schools criti-
cized his position as narrow and rigid, but it did serve to offer
YA¯MUNA (fl. c. 1022–1038), known in Tamil as
a large audience entry into the forbidding body of Chinese
A¯lavanda¯r; Hindu philosopher, theologian, and devotional
Confucian literature.
¯
poet. Ya¯muna lived in the Tamil-speaking area of South
India and represented a learned family of brahmans who
Ansai insisted that his selection of the core teachings of
played a leading role in the formulation of the S´r¯ı Vais:n:ava
Zhu Xi constituted the orthodox tradition. In fact, however,
tradition and of the Vi´sis:t:a¯dvaita school of Veda¯nta, which
he modified Zhu Xi’s ideas in several important ways. For
is most widely associated with the name of Ra¯ma¯nuja. The
instance, he gave added emphasis to the moral importance
S´r¯ı Vais:n:avas made a major contribution to the development
of the relation between lord and vassal, depicting the obliga-
of Hindu religion by being the first Brahmanic movement
tion of the vassal to the lord in absolute terms comparable
to integrate fully into the classical Vedic tradition a popular,
to that between parent and child. The Ansai school position
predominantly non-Brahmanic religious movement, the ec-
on this subject contributed to the growth of the idea, found
static devotion (bhakti) of the Tamil hymnists called the
widely in the late Tokugawa period, of the absolute, eternal
A¯lva¯rs. This synthesis of popular or vernacular elements with
nature of the obligation of loyalty to the imperial line.
¯
Vedic or Sanskritic ones provided a highly influential model
Another area in which Ansai deviated significantly from
for a number of later Hindu theistic sectarian movements.
Zhu Xi was in emphasizing the importance of “reverence”
Ya¯muna is recognized as the fourth in the preceptorial
over “investigation of the principle of things” in the process
line of a¯ca¯ryas, or teachers, who provided the intellectual
of the individual’s cultivation of his innate moral nature. The
leadership of the S´r¯ı Vais:n:ava sect, and is the first for whom
resulting stress on cleaving to the norms of Confucianism
there are extant works. His incompletely preserved literary
and on rigorous introspection to ensure that one’s behavior
corpus thus provides the major beginning point for a study
conformed to those norms contributed to the characteristi-
of the formulation of this important movement and its
cally stern and dogmatic tone of the Ansai school.
school of philosophical theology, Vi´sis:t:a¯dvaita Veda¯nta.
Ansai’s linking of Confucianism and Shinto¯ was anoth-
Ya¯muna’s name is closely linked with that of his grandfather,
er distinctive feature of his teachings. Unlike other Confu-
Na¯thamuni (c. tenth century), who is acknowledged as the
cian scholars such as Hayashi Razan, who sought to equate
first teacher in the S´r¯ı Vais:n:ava line. Na¯thamuni, in addition
Shinto¯ and the Confucian way, Ansai presented them as two
to propounding a system of logic and epistemology (nya¯ya),
distinct manifestations of a universal truth, each particular
was the head of a family of prestigious Bha¯gavata brahmans
to the country in which it originated. Ansai’s joining of
devoted to Hare Krishna and is the one to whom tradition
Shinto¯ and Confucianism added a note of mystery and reli-
ascribes the canonization of the Tamil hymns of the A¯lva¯rs
gious authority to Confucianism that furthered its accep-
¯
in the collection entitled the Divyaprabandha. While the evi-
tance in Tokugawa society, while his insistence on the partic-
dence for this traditional ascription is inconclusive,
ularly “Japanese” character of Shinto¯ endowed his school
Ya¯muna’s two devotional hymns to Visnu and S´r¯ı, the Sto-
with a nationalistic flavor that tended to increase with the
traratna and the Catu´s´slok¯ı, reflect the influence of the
passage of time. However, many of the connections Ansai
A¯lva¯rs’ ecstatic devotional style.
¯
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YANTRA
9871
According to the tradition, Ya¯muna’s greatest contribu-
YANTRA. Geometrical diagrams known as yantras form
tion lay in attracting to the S´r¯ı Vais:n:ava sect Ra¯ma¯nuja (elev-
a very special class of religious symbols in Hinduism. Their
enth to twelfth centuries), their sixth teacher and the classical
forms and functions within the tradition vary according to
exponent of Vi´sis:t:adva¯ita. Although the two never met, it is
their uses. The most important ones are those that serve as
clear from the literary evidence that Ya¯muna was the seminal
supports for daily ritual worship and as meditational aids to
thinker who provided the primary inspiration for
stimulate inner visualizations; others are employed in astrol-
Ra¯ma¯nuja’s major Vedantic writings. The basic structure for
ogy and temple rites; some are meant for proficiency in oc-
Ra¯ma¯nuja’s commentary on the Bhagavadg¯ıta was provided
cult arts, and many of these are used as talismans.
by Ya¯muna’s versified summary, the Gitarthasamgraha¯; and
in his other works Ra¯ma¯nuja regularly refers to and quotes
Meditational yantras are an indispensable constituent of
from Ya¯muna’s major Vedantic philosophical writings, the
Tantric worship and are a substitute for the deity’s icono-
Siddhitraya, a triad of critical works (A¯tmasiddhi,
graphic image. Basically, a yantra used in this context is an
Sam:vitsiddhi, and ¯I´svarasiddhi) that are now only fragmen-
abstract icon of some personification or aspect of the deity.
tarily preserved, having been eclipsed by Ra¯ma¯nuja’s own de-
Most Indian divinities have been assigned aniconic symbols
finitive works.
in their specific yantras. Whereas an anthropomorphic image
is a static presentation, the yantra is a dynamic symbol of the
Another of Ya¯muna’s major contributions as represent-
totality of the cosmos. Hence it is represented as an expand-
ed by his largest completely preserved work, the
ing form emanating from the central nucleus, a dimension-
A¯gamapra¯ma¯n:ya, was his defense of the Pañcara¯tra revelation
less point, the bindu. A linear configuration, the yantra usu-
or scriptures (A¯gamas) as being equal to the Vedas in author-
ally has around its center several concentric primal shapes,
ity. These Pañcara¯tra A¯gamas, also called Tantras or
such as triangles, hexagons, circles, octagons, and rings of
Sam:hita¯s, provide the scriptural basis for the earliest post-
lotus petals. The figure’s periphery is a square enclosure with
Vedic, Tantric tradition to arise during the first millennium
four sacred doors opening toward the four cardinal direc-
CE. Ya¯muna’s defense of these temple-oriented ritual texts as
tions. The centrifugal yantras are conceived of as a sacred
compatible with the Vedas and Veda¯nta facilitated a radical
dwelling in which the presiding deity and its retinue take up
enlargement and enrichment of the Hindu scriptural base,
residence. The seat of the principal deity is in the center,
as did the incorporation of the Tamil hymns of the A¯lva¯rs.
¯
while those of its emanations, or pariva¯ra devata¯s, are ar-
ranged concentrically in successive circuits known as
SEE ALSO A¯lva¯rs; Ra¯ma¯nuja; S´r¯ı Vais:n:avas; Tamil Reli-
¯
a¯varan:as (“veils”), so called because they conceal the lumi-
gions; Vais:n:avism, articles on Bha¯gavatas, Pa¯ñcara¯tras.
nous splendor of the deity in the center.
BIBLIOGRAPHY
At the subtlest level, yantras translate into visual terms
the theory of cosmogenesis. They are to be read as dynamic
Works by Ya¯muna
graphs of the creative process of cosmic evolution and invo-
Gitarthasamgraha. Edited with an English translation by J. A. B.
van Buitenen in his Ramanuja on the Bhagavadgita, pp. 177–
lution that takes place from the center and moves outward.
182. Delhi, 1968.
The creative process is represented by the unity of the male
and female principles, which, descending into the world of
Siddhitraya. Edited, translated, and annotated by R. Ramanuja-
chari and K. Srinivasacharya. Annamalainagar, 1943. Reis-
multiplicity, are symbolized by the concentric geometric cir-
sued with a new introduction by Ramanujachari as Sri Ya-
cuits. The best example of this type of yantra is the S´r¯ıcakra
munacharya’s Siddhi Traya (Madras, 1972). Contains
of the cult of the goddess Tripurasundar¯ı. It is composed by
Ya¯muna’s three major but fragmentarily preserved Vedantic
the interlacing of two sets of triangles: Four apexes point up-
works: Atmasiddhi (pp. 1–151), Isvarasiddhi (pp. 153–174),
ward, representing S´iva, the male principle, and five apexes
and Samvitsiddhi (pp. 175–213), “The Definitive Determi-
point downward, representing sakti, the female principle.
nations of the Self, of the Lord, and of Consciousness.”
The S´r¯ıcakra is devised to give a vision of the totality of exis-
Ya¯muna’s Agama Pramanyam, or, Treatise on the Validity of
tence, so that the adept may internalize its symbols for the
Pañcaratra. Sanskrit text with English translation by J. A. B.
ultimate awareness of his own unity with the cosmos. Every
van Buitenen. Madras, 1971.
meditational yantra is in essence a psychic improvisation in
Works about Ya¯muna
which the closed concentric circuits of various geometric
The most complete survey of Ya¯muna’s extant literary corpus,
shapes, from the periphery to the center, correspond to the
written from a traditional perspective, is M. Narasimha-
planes of the adept’s consciousness.
chary’s Contribution of Yamuna to Visistadvaita (1971; 2d
ed., Hyerabad, 1998). The most comprehensive critical work
Architectural yantras contribute substantially to the
is Walter G. Neevel, Jr.’s Ya¯muna’s Veda¯nta and Pa¯ñcara¯tra:
conceptual basis of the Hindu temple. An early example is
Integrating the Classical and the Popular (Missoula, Mont.,
the Va¯stupurusa Man:d:ala, of which Hindu manuals of archi-
1977). A critical study of Ya¯muna’s theory of consciousness
tecture provide thirty-two variations. The man:d:ala repre-
is Roque Mesquita’s Ya¯muna¯ca¯ryas Philosophie der Erkennt-
sents the diagram of the ordered cosmos. In Tantric temple
nis: eine Studie zu seiner Sam:vitsiddhi (Vienna, 1990).
rites, yantras were laid into the foundation of the womb
WALTER G. NEEVEL, JR. (1987 AND 2005)
chamber and were also embedded in cult figures installed in
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9872
YAO AND SHUN
the shrine. Yantras were also used as compositional diagrams
Bunce, Fredrick W. The Yantras of Deities and Their Numerologi-
in the execution of sculptural images adorning the walls of
cal Foundations: An Iconographic Consideration. New Delhi,
the temple. The architectural yantra functions as an ideo-
2001.
gram, while the temple is a materialization of the concepts
Ramachandra Rao, Saligrama Krishna. The Yantras: Text with 32
it embodies.
Plates. Delhi, India, 1988.
Occult yantras are distinguished from all other yantras
MADHU KHANNA (1987)
by their practical applications. They serve as powerful dia-
Revised Bibliography
grams of magical potency, used mainly in preventive medi-
cine, as good luck charms, for exorcism, to ward off calami-
ties, and so forth. The occult figures are not stereotyped;
their designs vary according to the object of worship. One
YAO AND SHUN were legendary sage-rulers of antiq-
of the most popular is the Dha¯ran:a Yantra; worn as an amu-
uity in China. According to traditional Chinese historiogra-
let for protection, this yantra is given to a person after the
phy, Tang Yao (Yao of the Tang clan or state; personal name,
priest has consecrated it in a life-giving ceremony. Another
Fang Xun) or Tang Dao ruled from 2356 to 2256 BCE. A
kind that serves the same purpose is the magical square. The
ruler of great virtue, he considered his son Dan Zhu (or, in
proven efficacy of such yantras is explained in psychological
some versions, his ten sons) unworthy to rule the empire, and
terms. To the individual who wears a yantra as a talisman or
thus selected Shun to be his successor, having first given to
an amulet, the diagram manifests itself as a repository of
him his two daughters in marriage. Yu Shun (personal name,
power through which the presence of the divinity can be in-
Zhong Hua) served Yao first as a minister, then in Yao’s old
voked at will. Ultimately, the efficacy of the yantra is brought
age as regent, finally succeeding him and ruling for fifty
about by the adept’s own willpower, working through faith.
years. Shun in turn considered his son Shang Xun (or, in
Yantras are most commonly drawn on paper or en-
some versions, his nine sons) unworthy to rule and so he se-
graved on metals or rock crystals, although any flat surface,
lected Yu as his successor. Yu became the founder of the Xia,
such as a floor or wall, can be used. The yantras are always
traditionally considered to be the first hereditary dynasty in
used in conjunction with mantras, or mystical sound-units,
China.
that correspond to the deity’s subtle form. Mantras are em-
In Zhou dynasty (eleventh to third century BCE) texts,
ployed to energize the latent force inherent in the deity’s yan-
history conventionally begins with the time of Yao. All the
tra. Indeed, it is said that a yantra without its seed mantra
great cosmological events took place during his rule. The ten
is as lifeless as a corpse.
suns appeared, nine of which were shot down by the archer
S
Yi; Buzhou Mountain, the pillar of the northwest, was
EE ALSO Man:d:alas, article on Hindu Man:d:alas; Mantra;
Temple, article on Hindu Temples.
brought down by Gonggong; and the great flood occurred,
which was eventually controlled by Yu. During the Warring
BIBLIOGRAPHY
States period (403–221 BCE), however, other rulers, some of
Sanskrit and Hindi Sources
whom were originally the mythical ancestors of other houses,
Especially recommended for an overview of the theory and cultic
began to be placed before Yao, and in the Shi ji, the universal
significance of yantras are Ra¯macandra Kaula¯ca¯ra’s S´ilpa
history compiled by Sima Qian during the second century
Praka¯´sa, translated by Alice Boner and S. R. S´arma¯ (Leiden,
BCE, Yao and Shun are but the most recent of five emperors.
1966); the Yantra Sam
˙ ska¯rapaddhiti (Moradabad, 1899); the
Yantracinta¯man:i, with Hindi translation by B. P. Misra
Yao abdicated to Shun because of Shun’s virtue. An ex-
(Bombay, 1967); and the “Yantrasa¯ra Tantram,” in
emplar of filial piety since the Zhou period, Shun often ap-
Tantrasa¯ra, edited by R. Chattopadhyaya (Calcutta, 1922).
pears on temple frescoes, usually following a plow drawn by
See also Arthur Avalon’s translation of Pun:ya¯nanda’s
an elephant. His filial piety is exemplary because his wicked
Ka¯makala¯vila¯sa, 2d ed. (Madras, 1953), which includes a
father, Gu Sou (“blind man”), and his younger brother
translation of Nat:ana¯nanda’s commentary, the Cidvall¯ı.
Xiang (“elephant”) both tried to murder him. They first tried
Secondary Sources in English
to kill him by removing the ladder and setting fire to a grana-
Boner, Alice, and S. R. Sarma with R. P. Das, trans. and eds. New
ry while he was repairing its roof; then they filled in a well
Light on the Sun Temple of Kon:a¯rka. Varanasi, 1972.
that he had been sent to dredge. The earliest version of this
Cammann, Schuyler. “Islamic and Indian Magic Squares.” History
story is in the Mengzi. In the more elaborate Han dynasty
of Religion 8 (February 1969): 275–286, (May 1969): 271–
version found in Lienu zhuan (Biographies of exemplary
299.
women), Yao’s daughters advised Shun how to escape his fa-
Khanna, Madhu. Yantra, the Tantric Symbol of Cosmic Unity. Lon-
ther’s evil schemes. Shun continued to serve his father as a
don, 1979.
son should and without resentment; according to the Meng-
Kramrisch, Stella. The Hindu Temple (1946). 2 vols. Columbia,
zi, his father was in the end pleased.
Mo., 1980.
New Sources
Although Shun is a symbol of filial piety, in accepting
Bühnemann, Gudrun. Mandalas and Yantras in the Hindu Tradi-
the succession to Yao and in marrying Yao’s two daughters,
tions. Leiden; Boston, 2003.
he both went against his father’s will and displaced Yao’s son
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YATES, FRANCES AMELIA
9873
from the succession. His role therefore is paradoxical, and his
Surrey, on September 29, 1981. By the time a brief illness
story exemplifies the conflict between the principles of rule
ended a long life of intense and single-minded scholarly en-
by virtue and rule by hereditary right that is a common
deavor, her reputation had reached almost cult status.
theme in the succession legends recorded in Zhou dynasty
Yates was the fourth and youngest child of James Alfred
texts. Motifs in the story of Shun’s succession, such as the
Yates and Hannah Eliza Malpas. Her father, having entered
ruler’s perception of his successor’s virtue in spite of his lowly
Portsmouth Naval Dockyard as an apprentice, had risen to
position and his willingness to rely on a man of low birth,
chief constructor of the British navy. One of her elder sisters
also occur in the legends that surround the foundation of the
was a schoolteacher and novelist, the other an art-student-
hereditary dynasties.
turned-missionary. On the death in action of her only broth-
Elements in the stories of Yao and Shun in early texts
er in 1915, the ambitions of a close-knit family came to cen-
suggest still earlier legends concerning clan origins. The earli-
ter on her. Hopes of following her brother to Oxford having
est record of the story of Yao and Shun is found in the “Yao
been disappointed, partly because of interruptions to early
dian” chapter of the Shang shu, a Zhou dynasty text. In this
formal schooling, she took a London first-class degree in
text, Yao is called di (lord), a title that suggests Shangdi, the
French by correspondence, following it with a graduate the-
high lord of the Shang dynasty (c. sixteenth to eleventh cen-
sis on French religious drama of the sixteenth century. She
tury BCE) who is later equated with Tian (Heaven). The suc-
never married.
cession story of Yao to Shun may contain the remnants of
Yates would often later pay tribute to the material and
an earlier cosmogonic myth in which the Lord on High first
intellectual support of her family and its tradition of what
gave the rule to Shun, the progenitor of the Shang people.
she called “effort.” Observantly Anglican, liberal in their
Shun has been identified with Di ku (who gave birth to the
opinions, interested in ideas, devoted to Shakespeare, and
first Shang ancestor, Xie, by means of the egg of a black bird)
sympathetic to matters French, they left their mark on her
and with Zhun, the husband of Xihe (who gave birth to the
strongly individual mind and personality. They enabled her
ten suns) and possibly the highest ancestor claimed by the
to begin the life of a modestly circumstanced private scholar;
Shang kings in their oracle-bone inscriptions. Shun is also
from a newly purchased family house in Claygate, in the
closely associated with the Eastern Yi tribe. His two wives
countryside outside London, where she lived uninterrupted-
are sometimes identified with the goddesses of the Xiang
ly from 1925 until almost the day of her death, she would
River in the “Nine Songs” of the Zhuzi.
go to read in the British Museum Library and the Public Re-
The philosophers of the Warring States period recount-
cord Office. The hallmark of her work was always firsthand
ed the story of Shun’s succession to Yao with differing em-
acquaintance with her sources.
phasis and attitudes concerning the role of the sage and the
On those sources was based her first book: the prize-
right to hereditary succession. Recently discovered philo-
winning and still standard John Florio: The Life of an Italian
sophical texts written on bamboo slips and buried in tombs
in Shakespeare’s England (1934). Here, as throughout her
around the end of the fourth century BCE include several ac-
work, the religious dimension—the Florios were Protestant
counts of Shun’s accession to Yao with many details not
refugees—is a major concern. A Study of Love’s Labour’s Lost
found in the traditional texts. These suggest that the idea that
(1936), her second book, explored Shakespeare’s ideas about
a virtuous ruler should appoint a sage rather than an heir as
language. Less successful, it led her in 1937 to the Warburg
his successor was an important philosophical position in this
Institute, then newly escaped to England from Nazi Germa-
period.
ny, which became her intellectual second home. She began
SEE ALSO Chinese Religion, article on Mythic Themes;
to use its excellent library and to learn from Fritz Saxl,
Kingship, article on Kingship in East Asia.
Gertrud Bing, Edgar Wind, and Rudolf Wittkower how to
apply an encyclopedic historical approach to the study of
Giordano Bruno, which had led her there in the first place.
BIBLIOGRAPHY
When, in 1941, she was given a part-time place on the staff,
Allan, Sarah. The Heir and the Sage: Dynastic Legend in Early
China. San Francisco, 1981. A discussion of the Warring
it was virtually her first paid employment; she remained part
States legend and its meaning in philosophical texts.
of the institute until she died, bequeathing to it her residual
estate to found research fellowships.
Allan, Sarah. The Shape of the Turtle: Myth, Art, and Cosmos in
Early China. Albany, N.Y., 1991. Includes the hypothesis
The new approach she learned there, combined with her
that the legend of Yao and Shun was based upon an earlier
innate intellectual courage, is already clear in her indepen-
cosmogonic myth.
dent line on Giordano Bruno’s religious and philosophical
SARAH ALLAN (1987 AND 2005)
position in essays she wrote in 1937–38; it was consolidated
in “Queen Elizabeth as Astraea” (1945), a ground-breaking
inquiry into the messianic ideas behind the cult of the En-
glish ruler. The French Academies of the Sixteenth Century,
YATES, FRANCES AMELIA was born on Novem-
which followed in 1947, was a remarkable, original, and
ber 29, 1899, in Southsea, Hampshire, and died in Surbiton,
wide-ranging investigation of how academic study had once
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9874
YAZATAS
been directed at promoting religious and civil harmony; it
John Florio: The Life of an Italian in Shakespeare’s England. Cam-
was also a demonstration of the historical significance of
bridge, England, 1934.
ideas and ideals judged worthless and ineffectual by progres-
“Queen Elizabeth as Astraea.” Journal of the Warburg & Courtauld
sist opinion. The power of heterodox thought, already a
Institutes 10 (1947): 27–82; reprinted with other essays in As-
theme in her early work on Bruno, is again apparent in her
traea: The Imperial Theme in the Sixteenth Century. London,
pioneering essays of 1954 and 1959, for which she learned
1975.
Catalan, on the universalist mystic Ramon Lull, whom she
“The French Academies of the Sixteenth Century.” In Studies of
judged important for later philosophers, especially Bruno.
the Warburg Institute 15. London, 1947; reprinted London
Giordano Bruno and the Hermetic Tradition, published in
and New York, 1988.
1964 when she was in her mid-sixties, is—along with The
“The Art of Ramon Lull.” Journal of the Warburg & Courtauld In-
Art of Memory of 1966—the book for which she is best
stitutes 17 (1954): 115–173; reprinted with other essays in
known. In each she argued at length for the importance of
Collected Essays, vol. 1. London, 1982.
Hermeticism as the secret heart of Renaissance Neoplato-
“The Valois Tapestries.” In Studies of the Warburg Institute 22.
nism, especially invoking Giulio Camillo Delminio in rela-
London, 1959; reprinted London, 1975.
tion to the Renaissance transformation of artificial memory
Giordano Bruno and the Hermetic Tradition. London and Chica-
systems. Her opening for Anglophone scholars of Renais-
go, 1964.
sance occult belief, studied historically and not from the be-
liever”s point of view, as a legitimate subject for investigators
The Art of Memory. London and Boston, 1966.
of Renaissance thought in general has had a profound effect,
Theatre of the World. London and Chicago, 1969.
not least in arousing the opposition of historians of science.
The Rosicrucian Enlightenment. London and Boston, 1972.
In the background of everything that Frances Yates
Shakespeare’s Last Plays: A New Approach. London and Boulder,
wrote was a vision: peace and harmony denied by faction and
Colo., 1975 (published in Boulder as Majesty and Magic in
fanaticism. The Valois Tapestries (1959) was a study of the
Shakespeare’s Last Plays).
politico-religious context and purpose of these great works
The Occult Philosophy in Elizabethan England. London, 1979.
of art; she republished it in 1975, at the same time as a collec-
Collected Essays, 3 vols. Lull and Bruno. London, 1982. Renaissance
tion of related essays, Astraea: The Imperial Theme in the Six-
and Reform: The Italian Contribution. London, 1983. Ideas
teenth Century. Shakespeare’s Last Plays: A New Approach of
and Ideals in the North European Renaissance. London, 1984.
the same year was the closest she came to the definitive work
on the mind of Shakespeare she had always hoped to write.
“Biography and Assessment: ‘Autobiographical Fragments,’” in
Collected Essays, vol. 3 (1984), pp. 272–301; J. B. Trapp,
In her Theatre of the World (1969), the grand theme is hardly
“Frances Amelia Yates 1899–1981,” Proceedings of the Brit-
apparent; this book was rather aimed at showing influence
ish Academy, 120, in Biographical Memoirs of Fellows, vol. 2
from the Vitruvian tradition on the structure of Elizabethan
(2003), pp. 527–554; Robert S. Westman and J. E. Mc-
public theaters. The magus figure of John Dee is, however,
Guire, Hermeticisn and the Scientific Revolution: Papers Read
seen as important for the transmission of these ideas. In the
at a Clark Library Seminar March 9, 1974 (Los Angeles,
politico-religious context of the age of James I and the Win-
1977); Hilary Gatti, “Frances Yates’s Hermetic Renaissance
ter Queen of Bohemia, which is the subject of The Rosicru-
in the Documents Held in the Warburg Institute Archive,”
cian Enlightenment (1972), Dee plays an expanded role,
Aries, n.s., 2 (2002), pp. 193–210; Hilary Gatti, “The Notes
which is further enlarged in Yates’s final book, The Occult
on Camillo and Hermes Trismegistus in the Yates Archive
Philosophy in the Elizabethan Age (1979).
at the Warburg Institute in London,” Annali della Scuola
Normale Superiore di Pisa: Classe di lettere e filosofia, Serie IV,
Frances Yates, it has been said, created her own disci-
6, no. 1, 2001 (2004), pp. 171–194.
pline. She was widely honored for it by invitations, honorary
degrees, and international prizes from universities, acade-
J. B. TRAPP (2005)
mies, and other bodies in Britain, Europe, and the United
States, and by her appointments as OBE (Officer of the
Order of the British Empire) in 1972 and DBE (Dame
YAZATAS. The term yazata occurs in the Avesta, the col-
Commander of the Order of the British Empire) in 1977;
lection of sacred books of Zoroastrianism, as an attribute or
her writings have been translated into many languages. De-
designation of divine beings. From this term is derived the
spite a certain personal diffidence, she was undeterred by op-
Middle Persian yazd (“god”; pl., yazda¯n). The word appears
position, retaining a conviction that her approach was both
frequently in the Avesta, although not in the five Ga¯tha¯s
right and fruitful.
(“songs”) attributed to Zarathushtra (Zoroaster); in Gathic
it appears only in the Yasna Haptanha¯iti (Yasna of the Seven
BIBLIOGRAPHY
Frances Yates’s writings are listed in her posthumously published
Chapters), ascribed to Ahura Mazda¯. Its meaning in this text
Ideas and Ideals in the North European Renaissance, volume
is “worthy of worship, worthy of sacrifice” (from the verb
3 of her Collected Essays (London, 1984, pp. 325–336); her
yaz, “to venerate, sacrifice”), identical to that of its Vedic
books and articles have been many times reprinted in English
counterpart, yajata. This is the general meaning of the term,
and in translation. The most important are:
which is used to refer to divine beings, usually secondary
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YEHOSHUEA BEN H:ANANYAH
9875
gods, personifications, or cult gods of the pre-Zoroastrian
Nyberg, H. S. Irans forntida religioner. Stockholm, 1937. Trans-
Indo-European pantheon that had been absorbed into the re-
lated as Die Religionen des alten Iran (1938; 2d ed., Osna-
ligion. Thus, as Zoroastrianism reached a compromise with
brück, 1966).
ancient polytheism, yazata came to designate a deity who was
Widengren, Geo. Die Religionen Irans. Stuttgart, 1965. Translated
readmitted to the cult. At the beginning of the hymn dedi-
as Les religions de l’Iran (Paris, 1968).
cated to Vayu (Yashts 15), for example, the god is called yaza-
GHERARDO GNOLI (1987)
ta in a sentence that is evidently meant to justify the integra-
Translated from Italian by Roger DeGaris
tion of the hymn within the canonical list of the Yashts, a
section of the Avesta.
In the Zoroastrianism that evolved following the proph-
YEHOSHUEA BEN H:ANANYAH (first and second
et’s reforms, some of the ancient daivas—the word is used
centuries CE), Palestinian tanna who taught in Jerusalem and
here in its most general and archaic sense, to mean “gods”—
later at Yavneh and PeqiEin. Legend has it that when he was
became or were reinstated as yazatas. That is, they were
a child his mother carried him to the study hall so that he
transformed from beings whose worship was forbidden
would become accustomed to hearing words of the Torah
(daivas in the later sense of “demons”) back into beings
(J.T., Yev. 3a). Because he was a Levite, it is assumed that
whose worship was permitted or even recommended. The
he sang in the Temple before it was destroyed. He is said to
Yashts is very instructive in this regard: many passages in vari-
have made his living as a needlemaker or blacksmith.
ous hymns provide justification for the readmission to the
YehoshuEa achieved prominence as a leading rabbinic
cult of one or another daiva, and often it is Ahura Mazda¯
authority of his day. He was one of the five prominent disci-
himself who is said to approve such a reintegration.
ples of Yoh:anan ben ZakkDai (Avot 2.8). With EliEezer ben
The meaning of yazda¯n in Pahlavi texts (from the ninth
Hyrcanus, YehoshuEa is alleged to have carried Yoh:anan ben
and tenth centuries CE) is derived from this general meaning
ZakkDai out of Jerusalem in a coffin in 68 CE during the siege
of yazata. It is used for various categories of divine beings:
of the city by the Romans (B.T., Git. 56a). During Yehos-
for the gods in general, for the ancient yazatas in particular,
huEa’s later career he was the center of contention within rab-
and for the Amesha Spentas (MPers., Amahraspandan). The
binical circles. Several sources recount how he was humiliat-
yazdans rule over the months, the days, and five liturgical pe-
ed by the nasi D GamliDel (B.T., R. ha-Sh. 25a). YehoshuEa’s
riods of the day.
dispute with GamliDel over whether the evening prayer was
compulsory or voluntary brought about the events that led
But in the Avesta yazata has a precise meaning: any enti-
to the deposition of GamliDel and the ascension of ElEazar ben
ty to whom a hymn is dedicated. Besides Ahura Mazda¯ and
EAzaryah to the office of nasiD (B.T., Ber. 28a).
Vayu, yazata refers, as has been noted (Kellens, 1976), to the
following beings: Mithra, Sraosha (“discipline”), Arshta¯t
YehoshuEa was involved in many legal disputes with
(“justice”), Nairyo¯sanha (“of manly utterance”), Verethragh-
EliEezer ben Hyrcanus; one celebrated argument concerned
na (“victory”), A¯tar (“fire”), Apa˛m Napa¯t (“son of the wa-
the ritual cleanness of the ovens of EAkhnDai (a kind of tiled
ters”), Zam (“earth”), and Gairi Ushidarena (“mountain
oven). YehoshuEa ruled that the ovens were ritually unclean;
dawn-abode”). But in the so-called Younger Avesta it is,
EliEezer said that the ovens could not become ritually unclean
above all, the deities who form the escort of Mithra who are
(B.T., B.M. 59a–b). EliEezer announced that a heavenly voice
defined as yazatas. From this it follows that not all the beings
had declared his own position correct. YehoshuEa responded
to whom a hymn in the Avesta is dedicated are in a strict
with the famous declaration: “It [the Torah] is not in heav-
sense yazatas and that yazata is not the Avestan equivalent
en” (a quotation from Dt. 30:12)—that is, the rabbis alone
of the Old Persian baga; the latter has no specific meaning
have the authority to decide matters of law, not a supernatu-
but only carries the general sense of “god,” as does the paral-
ral voice or even a direct revelation.
lel Avestan bagha.
An important teaching attributed to YehoshuEa shows
a positive attitude toward outsiders: He declared that pious
SEE ALSO Amesha Spentas; Daivas.
Gentiles will be able to enter heaven (Tosefta, San. 13.2). Ac-
cording to tradition, he engaged in many discourses with po-
BIBLIOGRAPHY
litical figures and various groups, including the Roman em-
Boyce, Mary. A History of Zoroastrianism. 2 vols. Leiden, 1975–
peror Hadrian, the elders of Athens, and the Jews of
1982.
Alexandria.
Kellens, Jean. “Trois réflexions sur la religion des Achémé-nides.”
Recent scholarship has questioned the legitimacy of at-
Studien zur Indologie und Iranistik 2 (1976): 113–132.
tempts at reconstructing the lives of YehoshuEa and his fellow
Kellens, Jean. Le panthéon de l’Avesta ancien. Wiesbaden, 1994.
rabbis from the scattered traditions in rabbinic literature. No
systematic analysis has been made of YehoshuEa’s philosophi-
Lommel, Herman. Die Religion Zarathustras nach dem Awesta dar-
cal or religious beliefs.
gestellt. Tübingen, 1930.
Narten, Johanna. Die Amesa Spen:tas im Awesta. Wiesbaden, 1982.
SEE ALSO Tannaim.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9876
YEHOSHUEA BEN LEVI
BIBLIOGRAPHY
BIBLIOGRAPHY
Joshua Podro’s The Last Pharisee: The Life and Times of Rabbi Josh-
Fraenkel, Yonah. “Demuto shel R. YehoshuEa ben Levi be-
ua Ben Hananyah (London, 1959) is an early attempt at Ye-
sippurei ha-Talmud ha-Bavli.” In Proceedings of the Sixth
hoshuEa’s biography. William S. Green’s The Traditions of
World Congress of Jewish Studies, vol. 3, pp. 403–417. Jerusa-
Joshua ben Hananiah (Leiden, 1981) represents a hypercriti-
lem, 1977.
cal approach to rabbinic sources concerning this master, fol-
Hyman, Aaron. Toledot tanna Dim ve-amoraDim. 1910. Reprint, Je-
lowing some of the methods used in Jacob Neusner’s Eliezer
rusalem, 1964.
ben Hyrcanus: The Tradition and the Man (Leiden, 1973).
Safrai, Samuel. “Ha-qehillah ha-qedoshah be-Yerushalayim.” Zion
New Sources
22 (1957): 183–191.
Flensberg, Hayim Yirmeyahu ben Avraham. Sefer Nezer ha-
nitsahon: al vikuah Rabi Yehoshu Ea ben Hananyah im save
New Sources
de-ve Atuna. Lakewood, NJ, 2001.
Rozenfeld, Ben Tsiyon. Lod and Its Sages in the Period of the Mish-
nah and the Talmud (in Hebrew). Jerusalem, 1997.
TZVEE ZAHAVY (1987)
Revised Bibliography
ROBERT GOLDENBERG (1987)
Revised Bibliography
YEHOSHUEA BEN LEVI, Palestinian amora of the
early third century. A native of Lydda (modern-day Lod),
YEHUDAH BAR ILEAI (second century CE), Palestin-
YehoshuEa reflects the interests and traditions of Judaea at a
ian tanna. Born in Usha, in the lower Galilee, he was a stu-
time when rabbinic activity was becoming increasingly con-
dent of EAqivaD and T:arfon and was ordained as rabbi by Ye-
centrated farther north in Galilee.
hudah ben BavaD during the Hadrianic persecutions in the
YehoshuEa’s son married into the patriarchal house
aftermath of the Bar Kokhba Revolt.
(B.T., Qid. 33b), a fact that may explain the notorious inci-
Numerous traditions attributed to Yehudah are pre-
dent in which YehoshuEa arranged for a wanted Jewish na-
served in rabbinic literature where he is usually referred to
tionalist to be handed over to the Romans (J.T., Ter. 8.10,
without patronymic. Along with MeDir, ShimEon, and Yose,
46b). In general, he was an active representative of Jewish in-
he is one of the most frequently quoted authorities of his
terests before the Roman authorities, both in the regional
generation. His importance is reflected in the tradition that
capital at Caesarea (J.T., Ber. 5.1, 9a) and, apparently, even
tells us that his contemporaries were called “members of Ye-
in Rome (Gn. Rab. 33.1, 78.5). On the other hand, by or-
hudah bar IlEai’s generation” (B.T., San. 20a). Yehudah is
daining his own disciples (J.T., Ned. 10.8, 42b), YehoshuEa
also one of the most important transmitters of rabbinic
contributed to one of the important developments in Pales-
teachings from the Sanhedrin at Yavneh before the Bar
tine in the third and fourth centuries—the weakened pres-
Kokhba Revolt to the Sanhedrin at Usha afterward. He cites
tige of the patriarchate among the rabbis of the Land of
numerous legal rulings in the names of EAqivaD, T:arfon, and
Israel.
other masters of the period of rabbinic activity at Yavneh.
YehoshuEa’s main distinction was as a master of aggadah
To date, no systematic analysis has been made of Yehu-
(nonlegal rabbinic thought), a rubric of learning that he asso-
dah’s traditions, probably because of the sheer size of the cor-
ciated with the “honor” promised in Proverbs 21:21 (B.T.,
pus of sayings attributed to him. There are, for example,
B.B. 9b). He was a fervent advocate of Torah study (B.T.,
some 180 disputes recorded between Yehudah and
Mak. 10a, Meg. 27a, EEruv. 54a). His descriptions of the
Neh:emyah, yet these represent only a fraction of the entire
fates of the righteous and the wicked after death (B.T.,
collection ascribed to Yehudah. Jacob Epstein (1957) be-
EEruv. 19a) and his reported conversations with the Angel
lieves that the corpus of his traditions was one of the primary
of Death and with the prophet Elijah (B.T., Ber. 51a, Ket.
documents used in the redaction of the Mishnah by his stu-
77b; J.T., Ter. 8.10, 46b) made him a favorite subject of later
dent Yehuda ha-NasiD. Several of his rulings deal with the
legend. It was to him that Elijah allegedly made his famous
standardization of rabbinic liturgy (Ber. 4.1), the regulation
remark that the Messiah might come any day—any day, that
of prayer (Ber. 4.7; Tosefta, Ber. 1.9; Tosefta, Ber. 3.5), and
is, that Israel was ready to listen to God’s commands (B.T.,
the regulation of daily liturgical blessings (Tosefta, Ber.
San. 98a).
6.18). Other rules ascribed to Yehudah emphasize the im-
Although YehoshuEa was technically not a tanna, he
portance of concentration and intention during the perfor-
lived close enough to the tannaitic period, and his teachings
mance of rituals (Tosefta, Ber. 2.2) and the importance of
were honored enough, that one of his sayings was added to
maintaining the proper frame of mind during recitation of
the closing paragraph of the Mishnah (Uqts. 3.12) and an-
prayers (Ber. 2.2). Yehudah is also associated with legislation
other was included in the supplementary chapter added to
concerning the recitation of blessings over foods (Ber. 6.4;
the Mishnaic tractate Avot (known as Ethics of the Fathers,
Tosefta, Ber. 4.4–5) and with blessings over natural wonders,
6.2).
both those for which one is permitted to recite blessings (Ber.
9.2) and those for which one is forbidden to recite blessings
SEE ALSO Amoraim.
because it would appear to be a form of idolatry (Tosefta,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YEHUDAH HA-LEVI
9877
Ber. 6.6). Yehudah’s legal, exegetical, and theological sayings
Stating that the laws of neziqin had to be carried out to ob-
range across the whole spectrum of rabbinic thought and life.
tain saintliness (B.T., B.Q. 30a), Yehudah asserted that equi-
ty in one’s daily life was a criterion of one’s faith. This
SEE ALSO Tannaim.
rootedness in the practical realm and concern that people re-
late to the society in which they live may be further reflected
BIBLIOGRAPHY
in his teachings that discouraged his disciples from emigrat-
Jacob N. Epstein’s Mavo D la-sifrut ha-tannaDim (Jerusalem, 1957)
ing from Babylonia to Palestine (B.T., Ber. 24b; B.T., Ket.
discusses the role of Yehudah’s materials in the development
110b–111a); he believed they should not hold their personal
of the Mishnah. In Rabbi Yehudah bar Ilai: Collected Sayings
religious goals over the needs of the community in the here
(in Hebrew) (Jerusalem, 1965), Israel Konovitz collects all
and now, in the Diaspora.
the references to Yehudah in rabbinic literature. My own
Studies in Jewish Prayer (1990) analyzes some of the major
SEE ALSO Amoraim.
contributions of Yehudah to the development of early Jewish
prayer.
BIBLIOGRAPHY
New Sources
A comprehensive treatment and bibliography of Yehudah bar Ye-
Silverberg, David. “Rabbi Akiva’s Students: What Went Wrong?”
hezqeDl and his teachings can be found in Jacob Neusner’s
Alei Etzion 9 (2000): 67–85.
A History of the Jews in Babylonia, 5 vols. (Leiden, 1966–
T
1970), esp. vol. 3. Note in particular Jacob N. Epstein’s
ZVEE ZAHAVY (1987)
Revised Bibliography
Mavo D le-nusah: ha-Mishnah, 2 vols. (1948; reprint, Jerusa-
lem, 1964), pp. 318–343. See also David M. Goodblatt’s
Rabbinic Instruction in Sasanian Babylonia (Leiden, 1975)
and my Post Mishnaic Judaism in Transition (Chico, Calif.,
YEHUDAH BAR YEH:EZQEDL (c. 220–c. 299), a
1980).
leading second-generation Babylonian amora, based in Pum-
New Sources
bedita. He studied chiefly with Rav and then ShemuDel. Al-
Goodblatt, David. “Local Traditions in the Babylonian Talmud.”
though remaining subservient to the exilarch (B.T., Qid.
HUCA 48 (1977): 187–217.
70a–70b), the leader of the Jewish community appointed by
BARUCH M. BOKSER (1987)
the Persian authorities, Yehudah was empowered by him to
Revised Bibliography
apply rabbinic law in the marketplace and in civil and other
matters that fell under his jurisdiction, especially through the
enforcement of documents (B.T., Mo Eed Q. 4b, Yev. 39b).
YEHUDAH HA-LEVI (c. 1075–1141), Jewish poet,
As a teacher of rabbinic tradition, Yehudah cited the
theologian, and physician. Born in either Tudela or Toledo,
Mishnah to draw out its subtle legal points and to emend or
Spain, to a wealthy and cultured family, Yehudah ben She-
explain it to make it fit the physical and social conditions of
muDel ha-Levi was well educated. He studied the Bible, rab-
Babylonian Jewry or extra-Mishnaic tannaitic traditions (Ep-
binic literature, Arabic poetry, philosophy, and medicine.
stein, 1964). In interpreting and rewording the comments
During his early travels in southern Spain he won acclaim
of Rav and ShemuDel, Yehudah played a crucial role in pre-
for his poetic talent and was warmly received by many prom-
serving and employing their teachings (Bokser, 1980, esp.
inent Jewish families. However, in the wake of the Al-
pp. 399–406, 414–415).
moravid invasions of the area to halt the Christian recon-
Yehudah was accorded high status due to his communal
quista, his enjoyment of courtly life was cut short. Eventually
role, expertise in tracing people’s genealogy, and devotion to
he settled in Christian-held Toledo, supporting himself as a
Torah study (see, e.g., B.T., Mo Eed Q. 16b–17a, H:ag. 15b).
physician and continuing to write. But he viewed with grow-
People believed that he was able to communicate with the
ing alarm the disruption of Jewish life throughout Andalusia.
dead, intercede for rain, and give insightful advice on health
Sometime after 1125, in response to the queries of a Karaite
and other practical matters (B.T., Ber. 20a and parallels,
thinker, ha-Levi began to draft a defense of Judaism, which
EA. Z. 28b–29a). He lectured in the pirqaD, a popular instruc-
developed into his most famous work, the Kuzari. In the
tional gathering for both aggadic and halakhic subjects aimed
summer of 1140, various personal, political, and religious
at the general public but to which disciples were also expect-
considerations prompted him to depart for Palestine. Legend
ed to attend (B.T., Shab. 148a).
claims that he was killed within sight of Jerusalem, although
Notably, Yehudah speculated on the creation (B.T.,
recent studies suggest that he died en route, in Egypt.
Shab. 77b), handed down teachings on sacred objects such
Ha-Levi’s poetry is generally regarded as the finest He-
as the mezuzah and fringes (tsitsit) (B.T. Men. 35b, 39b,
brew verse written in the Middle Ages. Besides addressing all
41a), and proposed additional blessing formulas for the wed-
the traditional secular and religious themes of his day, he also
ding ceremony (B.T., Ket. 7b–8a) and other situations. He
developed, in his poems of Zion, an entirely new genre ex-
reportedly concentrated on neziqin (Torts)—the area in
pressing both his own and his people’s longing for renewal
which he had received actual authority from the exilarch.
in their ancestral home. This longing was intensified by the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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YEHUDAH HA-LEVI
upheavals and persecution suffered by Jews on both sides of
imply deficiency and imperfection in God. Still, a human
the Mediterranean following the Almoravid invasion of An-
may perfect him or herself and even achieve prophecy by
dalusia and the First Crusade. As ha-Levi observes,
studying the eternal system of necessary causes that emanate
from God, thus attaining union with the Active Intellect, the
Between the hosts of SeEir [Christians] and Qedar
[Muslims], My host is utterly lost. . . . When they
source of all human knowledge. Since the principal require-
wage their wars, we fall with their fall.
ment for achieving that union is the purification of one’s
soul, it does not matter from a purely rational standpoint
Dismayed by the upheavals within Spanish Jewish life and
which religious regimen one follows.
sensing its eventual dissolution, ha-Levi began to question
the value of some of its main cultural pursuits, especially
The king finds the philosopher’s argument plausible,
philosophic speculation about religion:
but says it does not provide what he seeks. Nor does he find
that philosophers are able to prophesy. Consequently, he
Let not the wisdom of the Greeks beguile you Which
turns to the Christian and Muslim scholars. Their exposi-
has no fruit, but only flowers. . . . Why should I seek
out crooked ways And forsake the mother of paths?
tions directly address his concern, but they do not provide
adequate evidence for their respective claims. Still, because
While philosophy could produce a tantalizing array of opin-
both scholars agree that their beliefs are based on God’s well-
ions, it could not satisfy the spiritual hunger of men seeking
attested revelation to Israel, the king finally consults a Jewish
concrete guidance for their actions. This required a return
scholar.
to the wellsprings of traditional Jewish piety, since one could
approach God only by following “the mother of paths,” the
The rabbi declares his faith in the God of Abraham,
Torah.
Isaac, and Jacob, who led the Israelites out of Egypt, miracu-
lously sustained them, and gave them his law in the Torah
I have sought Your nearness. With all my heart have I
of Moses. Subsequent discussion of these claims eventually
called You; And going out to meet You I found You
coming toward me.
convinces the king of their truth because they are supported
by what he regards as compelling grounds: public, empirical,
Still, for ha-Levi, the path of return and religious renewal in-
direct, and miraculous evidence. Over 600,000 initially
evitably led to the Land of Israel as the chief site of past reve-
skeptical Israelites saw and heard God personally reveal his
lations and as the focus of God’s promised redemption:
commandments at Mount Sinai and transmitted a unani-
Have we either in the East or the West A place of hope
mous, reliable report of that occasion to subsequent gen-
wherein we may trust, Except the land that is full of
erations.
gates Toward which the gates of Heaven are open?
The king regards the rabbi’s account as superior not
Ha-Levi’s only theological work, the Kuzari (Book of the
only to that of the other scholars but also to that of the phi-
Khazars, or Book of refutation and in defense of the despised
losopher. The philosopher infers the existence and nature of
faith), develops these and other themes in a five-part dia-
God from some aspect of the world’s order, but such specula-
logue, mainly between a pagan Khazar king who is converted
tion is tenuous and uncertain, and it evokes no reverence for
to Judaism and the Jewish sage who instructs him. The king’s
its object. By contrast, there is nothing tenuous or uncertain
conversion was factual, but ha-Levi created this dialogue
about the veracity of a collective experience of God, trans-
with him to answer contemporary criticism of Judaism by
mitted by a reliable, uninterrupted tradition.
representatives of philosophy, Christianity, Islam, and Kara-
ism. The philosopher is clearly the most formidable spokes-
The rabbi goes on to depict those few who are able to
man of those who leave it to human reason to determine how
prophesy as quite literally belonging to the divine realm. Re-
best to serve God. The fact that a pagan king must evaluate
lying heavily on conceptions current in Shiism, he argues
their competing claims aids ha-Levi in giving all the partici-
that in relation to the traditional hierarchy of inorganic mat-
pants, and notably Judaism, a fair hearing. It also under-
ter, plants, animals, and human beings, this elect group
scores, inasmuch as a king is preeminently a man of action,
(s:afwah) constitutes an essentially separate order, manifesting
the importance of practice over theory.
extraordinary faculties and behavior. Because they are by na-
ture conjoined with “the divine thing” (al-amr al-ila¯h¯ı)—
The story opens as the king repeatedly dreams that an
ha-Levi’s multivalent term for diverse aspects of divine im-
angel is telling him that his intention is pleasing to God but
manence—they alone can communicate God’s will to ordi-
his mode of worship is not. Convinced that this vision is gen-
nary persons, whereas human speculation and cosmic pow-
uine, he invites first an Aristotelian philosopher and then
ers, like the Active Intellect, cannot. Tradition identifies
scholars of Christianity and Islam to instruct him.
Adam as the first to possess this prophetic faculty or inner
The philosopher, expressing views reflecting the influ-
eye. From him it passed to the biblical heroes until it reached
ence of Ibn S¯ına¯ and Ibn Ba¯jjah, denies the presuppositions
the children of Israel. Prophecy flourished among them be-
of the king’s dream. God as a perfect and changeless First
cause, like choice fruit, it was cultivated in the ideal climate
Cause has neither likes nor dislikes, he says, or even knowl-
of the Land of Israel, through use of the Hebrew language
edge of the king’s mutable behavior, for all these would
and adherence to the regimen of God’s own laws. With exile
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YEHUDAH HA-LEVI
9879
and the neglect of many commandments, prophecy ceased,
God governs material things by determining their natural
yet it will reappear once the original conditions are restored.
forms. Since philosophy offers little wisdom about matters
of such importance, a turn toward the divine wisdom em-
After converting, the king learns more about these mat-
bodied in Israel’s ancestral tradition is called for. But, as the
ters and also that Israel remains a living focus of divine provi-
rabbi recognizes, a wholehearted turn toward the ancestral
dence in the world, despite its exile and degradation. While
tradition can be completed only by a return to the ancestral
other nations and religions imitate its religious institutions,
land. Accordingly, as the dialogue closes, he follows the logic
they are “dead” by comparison; they rise and fall according
of his position and departs for the Holy Land.
to chance and natural causes, being subject neither to mirac-
ulous deliverances nor to catastrophic defeats. Israel, howev-
Ha-Levi was the first medieval Jewish thinker to appre-
er, like a seed cast upon the ground, is governed by a secret,
ciate fully the challenge posed to Judaism by Aristotelian ra-
providential wisdom, whereby it transforms its surroundings
tionalism and to address it in a philosophically literate way.
and will eventually produce a unified humanity obedient to
Speaking as a religious empiricist and working from the
God’s will.
sources of Judaism, he produced what has become a classic
theological defense of Judaism as a suprarational religion of
The pious human personifies this obedience with a faith
revealed practice.
that is natural and wholehearted, neither the product of spec-
ulation nor vulnerable to it. Ruling one’s self and one’s incli-
nations, the individual is uniquely suited to rule the city, for
BIBLIOGRAPHY
like Plato’s philosopher-king he or she gives everything its
The definitive edition of the original Judeo-Arabic text of ha-
due by exercising rational choice. The behavior of the pious
Levi’s Kuzari is the Kita¯b al-radd wa-al-dal¯ıl f¯ı al-d¯ın
al-dhal¯ıl, edited by David H. Baneth and prepared for publi-
human thus conforms to the rational, political laws (such as
cation by Haggai Ben-Shammai (Jerusalem, 1977). Hartwig
decrees of justice) that are preambles to the divine traditional
Hirschfeld’s The Kuzari (Khitab al-Khazari): An Argument
laws (such as ritual rules), preceding them in nature and in
for the Faith of Israel (1905; reprint, New York, 1964) is a
time. The former constitute the indispensable prerequisite
complete but largely outdated English translation of his own
for the existence of any group, even a den of robbers. But
earlier edition of this work. An abridged but far more ade-
the divine laws are more important than the rational laws,
quate translation of Hirschfeld’s edition, accompanied by a
because they specify the application of the latter and also
brief but useful commentary, has been provided by Isaak
bring people to communion with God and to happiness in
Heinemann in Three Jewish Philosophers, edited by Hans
ways that reason cannot explain.
Lewy et al. (New York, 1960). Heinemann’s translations of
ha-Levi’s poetry have served as the basis for some of the
In their knowledge of God, both the pious and the
translations offered by me in this article.
prophets apprehend all that the philosophers do and more.
The groundbreaking studies of ha-Levi’s religious philosophy by
They, too, recognize God generically as Elohim, the govern-
Harry A. Wolfson, collected in volume 2 of Studies in the
ing cause of the universe from whom the natural forms of
History of Philosophy and Religion, edited by Isadore Twersky
all things emanate in regular ways, indifferent to the needs
and George H. Williams (Cambridge, Mass., 1977), remain
and merits of human beings. But they also experience God
valuable, as does Leo Strauss’s classic analysis of ha-Levi as
individually as YHVH (Adonai), who reveals himself to
an esoteric writer in “The Law of Reason in the Kuzari,” in
those suitably prepared and who overrides natural causes on
Strauss’s Persecution and the Art of Writing (1952; reprint,
their behalf at predetermined times. Only as YHVH does
Westport, Conn., 1973), pp. 95–141. The best recent study
God evoke love and service, for in communion with him hu-
of the literary structure of the Kuzari is Eliezer Schweid’s He-
mans find their greatest happiness, and in separation from
brew article “Ummanut ha-diDalog bi-sefer Dha-KuzariD u-
mashma Eutah ha-Eiyyunit,” in T:a Eam ve-haqashah (Jerusa-
him, their greatest misery.
lem, 1970). Aryeh L. Motzkin’s “On Halevi’s Kuzari as a
The rabbi’s final exposition and critique of philosophy
Platonic Dialogue,” Interpretation 9 (August 1980): 111–
attempts to show the king that he need not be persuaded by
124, is a valuable study of ha-Levi’s philosophical aims in
many of its key claims, since they are untenable. Earlier he
employing the dialogue form. Two works focusing on ha-
had suggested that the philosopher seeks wisdom only be-
Levi’s use of Arabic sources in connection with various issues
in the Kuzari are Herbert A. Davidson’s “The Active Intel-
cause he lacks a reliable tradition embracing wisdom, while
lect in the Cuzari and Hallevi’s Theory of Causality,” Revue
Israel has received divine wisdom in a Torah that contradicts
des études juives 131 (June–December 1972): 351–396, and
nothing truly demonstrated by philosophy. Apparently in-
Shlomo Pines’s “Shiite Terms and Conceptions in Judah
fluenced by al-Ghaza¯l¯ı’s Incoherence of the Philosophers, he
Halevi’s Kuzari,” Jerusalem Studies in Arabic and Islam 2
now suggests that what has been so demonstrated is confined
(1980). A valuable resource for the study of ha-Levi’s reli-
largely to mathematics and logic. In physics, he argues, the
gious poetry is Matitiahu Tsevat’s “An Index to the Religious
philosophers’ account of the four elements is empirically un-
Poetry of Judah Halevi,” Studies in Bibliography and Booklore
substantiated. In psychology, their theory of the Active Intel-
13 (1980).
lect entails numerous absurdities, and in metaphysics, their
New Sources
views on divine causation are riddled with inconsistency.
Brann, Ross. “Judah Halevi, the Compunctious Poet.” Prooftexts
The most we can know regarding metaphysics is that only
7 (1987): 123–143.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9880
YEHUDAH HA-NASID
Galli, Barbara Ellen. Franz Rosenzweig and Jehuda Halevi: Trans-
not the conversations reported in these texts actually oc-
lating, Translations, and Translators. With a foreword by Paul
curred is open to question. However, the point they make
Mendes-Flohr. Montreal, 1995.
is clear: Our patriarch is as powerful and important as their
Newmyer, Stephen T. “Climate and Zion in the ‘Kuzari.’” Koroth
emperor.
10 (1993–1994): 9–18.
At the same time that the sages picture Yehudah as an
Scheindlin, Raymond P. “Contrasting Religious Experience in the
outstanding political leader, they also describe him as an ex-
Liturgical Poems of Ibn Gabirol and Judah Halevi.” Proof-
ceptionally learned rabbi. One proverb stated that “from the
texts 13 (1993): 141–162.
days of Moses until the days of Rabbi we did not find both
Silman, Yochanan. Philosopher and Prophet: Judah Halevi, the Ku-
Torah and Greatness in one place” (B.T., Git. 59a). It is re-
zari, and the Evolution of His Thought. Translated by Lenn
corded that Yehudah wandered from academy to academy
J. Schramm. Albany, N.Y., 1995.
so he might learn from all five of EAqivaD ben Yosef’s major
BARRY S. KOGAN (1987)
students as well as from the other leading sages of his time
Revised Bibliography
(B. T., EEruv. 53a, YomaD 79b, Yev. 84a, Shab. 147b, Meg.
20a).
In addition Yehudah ha-NasiD exhibited the qualities of
YEHUDAH HA-NASID (135?–220?), called “Rabbi”
the “ideal sage.” ShiEmon ben MenasyaD said, “All of the
or “Our Holy Rabbi,” was a Palestinian tanna. Yehudah was
seven characteristics which the sages attributed to the righ-
the son of ShimEon ben GamliDel of Yavneh. With Yehudah
teous—comeliness, strength, riches, wisdom, old age, honor,
the office of nasi D (patriarch, head of the court) reached its
and children—all of them were established in Rabbi and his
zenith. Reestablished by the Romans after the disastrous de-
sons” (Avot 6.9). Although Yehudah was so wealthy that his
feat of the Bar Kokhba Revolt in 135 CE, the position of nasi D
house steward was said to be richer than the Persian ruler
by the end of the century afforded Yehudah an authority rec-
Sha¯pu¯r I (r. 241–272 CE; B.T., B. M. 85a), his generosity
ognized by Jews and Romans alike. Even the Jewish commu-
was also well known. He invited the sages to his table, and
nity in Babylonia looked to him as the head of the Jewish
during years of need he opened his private storehouses to the
people.
hungry (B.T., EEruv. 73a, B. B. 8a). When a person strayed
from the correct path, Yehudah was there to guide him or
As nasi D Yehudah first established his court in Beit
her gently back to God (B.T., B. M. 85a). He showed kind-
Shearim. However, for reasons of health he spent the last sev-
ness and compassion to all of God’s creatures, even to the
enteen years of his life in Sepphoris (J.T., Ket. 12.3, 35a).
insects (Gn. Rab. 33.3). He was willing to learn from all, and
Yehudah’s major task as nasi D was to secure the economic re-
he never treated his contemporaries with disrespect or con-
covery of Israel after the destruction caused by the Bar Kokh-
tempt; he often accepted their teachings when those differed
ba Revolt. He and his court exempted several places from
from his own (B.T., Ket. 93a). One proverb stated that
tithes (J.T., Dem. 2.1, 22c–d), enacted laws that allowed
“when Rabbi died humility and fear of sin ceased” (B.T., Sot.
Jews to regain ownership of land confiscated by the Romans
49b). He was noted for his support of the Hebrew language
during the Bar Kokhba Revolt (B.T., Git. 58b), eased the
(in place of the vernacular Aramaic). It was claimed that he
laws of the sabbatical years to increase the food supply in Is-
spoke only Hebrew in his house and that the sages came to
rael (J.T., Ta Ean. 3.1, 66c), took over the important task of
him seeking explanations of Hebrew words and phrases
proclaiming the new month and intercalating the year (J.T.,
(B.T., B.Q. 82b, R. ha-Sh. 26b; J.T., Shevi Eit 9.1 38c).
San. 1.2, 18c), and introduced regulations that eased taking
testimony and dispatching messengers to declare the court’s
No other political leader so captured the minds and
decision concerning the new months (J.T., R. ha-Sh. 2.1,
imaginations of the ancient rabbis. Upon Yehudah’s death
58a). His support of the rabbinic class found expression in
the sages decreed a fast and offered prayers of supplication,
his exempting the sages from some taxes (B.T., B. B. 8a).
and a voice from heaven proclaimed that “whoever has been
present at Rabbi’s death is destined to enjoy life in the world
The significance of Yehudah’s tenure as nasi D is seen in
to come” (B.T., Ket. 103b–104a). His burial place in Beit
the many stories that depict his close relationship with the
Shearim was visited by generations of Jewish pilgrims.
Roman emperor (B.T., EA. Z. 10a–b, San. 9 1a–b; J.T., Meg.
1.11, 72b; J.T., San. 10.5, 29c; Gn. Rab. 11.4, 67.6, 75.7,
Among the tannaim and the amoraim, only Yehudah
84.3). For example, the following is in Berakhot 57b of the
is pictured as combining the learning of a rabbinic sage who
Babylonian Talmud: “And YHVH said to her, ‘Two nations
mastered the oral Torah with the skill of a seasoned politician
are in your womb’ [Gn. 25:23]. Do not read nations [goyim],
who was an equal to the emperor of Rome. Other sages inter-
but ‘lords’ [ge Dim], and Rav Yehudah [third-century amora]
acted with Roman and Sassanian leaders, while other rabbis
said in the name of Rav: ‘These are [Marcus Aurelius] Anto-
were noted for their areas of knowledge. But Yehudah alone
ninus and Rabbi, whose table never lacked either radish, let-
among the rabbis is praised equally for his knowledge and
tuce or cucumbers either in summer or winter.’” These many
piety and for his political skills. His uniqueness is attested
stories are meant to equate Yehudah (Rabbi) with the leader
by his often being cited merely as Rabbi, the only sage who
of the most powerful political force of his time. Whether or
is cited merely by title without a reference to his name. Simi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YE SHES MTSHO RGYAL (YESHE TSOGYAL)
9881
larly he is the only patriarch known as Ha-Nasi, the Patri-
den, Netherlands, 1976). On the Mishnah, see Jacob Neus-
arch, par excellence. The tradition presents a unique rabbi
ner’s Judaism: The Evidence of the Mishnah (Chicago, 1981).
whose knowledge of the rabbinic tradition and whose politi-
On the problem of rabbinic biography, see William Scott
cal skills permitted him to bring together the rabbinic and
Green’s “What’s in a Name? The Problematic of Rabbinic
nonrabbinic classes of society and to rebuild the Palestinian
‘Biography,’” in his Approaches to Ancient Judaism, vol. 1
Jewish community after the devastating defeat of Bar Kokh-
(Missoula, Mont., 1978), pp. 77–96.
ba. Even though he could be intimidating and arrogant (B.T.
GARY G. PORTON (1987 AND 2005)
Ket. 103b, Yeb. 9a, J.T. Naz. IX:57d), these traits are played
down by the tradition.
During Yehudah’s tenure as nasi D, the foundation docu-
YE SHES MTSHO RGYAL (YESHE TSOGY-
ment of postbiblical rabbinic Judaism, the Mishnah, was cre-
AL) (777–873) is a leading female figure and role model
ated. This collection of primarily legal statements formed the
for Tibetan Buddhists. She is especially important for the
basis of both the Babylonian and the Jerusalem (Palestinian)
Rnyingma (Nyingma) school of Tibetan Buddhism as a key
Talmuds, repositories of Jewish law and lore from the first
figure in myth, dreams, iconography, and meditative prac-
six centuries of the common era organized as commentaries
tice. But she is also significant for Tibetans more generally,
on the Mishnah. The appearance of the Mishnah also
especially for her role in the stories of the establishment of
marked a crucial stage in the process of the development of
Tibetan Buddhism in the eighth century CE.
Judaism from a temple-oriented cult to a Torah-oriented cul-
Yeshe Tsogyal is said to have been one of the queens of
ture of study and exposition.
the pivotal Tri Songde Tsan (eighth century), the king who
Generations of scholars have maintained that Yehudah
brought Indian masters of Buddhism to Tibet and who built
was the sole editor of the Mishnah. Many have attempted
the first monastic community at Bsam yas (Samye). There
to explain the processes by which he created this document
are no contemporary inscriptions that mention her, and so
from sources composed by Hillel the Elder, EAqivaD ben
there is some question about whether she is really a historical
Yosef, and MeDir. Basing their theory largely on the letter of
figure. But she appears at a relatively early point—by at least
SheriraD Gaon (tenth century CE), these scholars have argued
the twelfth century—in the mythologized accounts of the
that Yehudah merely did what others before him had done—
conversion of Tibet to a Buddhist country, and references to
he faithfully preserved and transmitted what he had received
her clan title Mkhar chen Bza’ (Karchen Za) also make her
from his teachers. Although nothing was written down be-
historicity credible. It is certainly possible that there was such
fore Yehudah, the earlier oral traditions were part of a memo-
a queen who became involved in Buddhist meditative prac-
rized corpus that was carefully preserved and that included
tices, even if her story was elaborated greatly as the narrative
the names of those who had written opinions or of the ma-
of Tibet’s conversion developed.
jority. Yehudah organized this material into a unified text ac-
The earliest known reference to her life appears in a one-
cording to comprehensive principles.
page notice in a history by the Treasure-discoverer Nyangrel
Jacob Neusner, in Judaism: The Evidence of the Mishnah
Nyima Özer (1136–1204). A full-length presentation of her
(1981), concluded, on the basis of detailed literary analyses,
life from the fourteenth century has recently been identified,
that the Mishnah is not the work of one person. However,
but she is best known for the version by Tagsham Nuden
there is no doubt that the Mishnah’s reputation was en-
Dorje (b. 1655), a visionary of the seventeenth century. This
hanced by its completion at Yehudah’s court and that its im-
work has been translated into English twice. In this story her
portance in the history and development of Judaism stems
early rejection of suitors and her desire to practice Buddhism
from the central place Yehudah and his colleagues occupied
are recounted, placing her story squarely within the norms
in the minds and imaginations of subsequent generations of
of standard Buddhist hagiography, albeit with a number of
Jews.
twists specific to women’s situations. Yeshe Tsogyal’s plight
is noticed by King Tri Songde Tsan, who takes her as one
SEE ALSO Judaism, overview article; Mishnah and Tosefta;
of his queens, but he soon offers her in turn to the Indian
Rabbinic Judaism in Late Antiquity; Tannaim.
Tantric master Padmasambhava, whom the king had invited
to Tibet to teach Tantric Buddhism. Padmasambhava and
BIBLIOGRAPHY
Yeshe Tsogyal become a Tantric couple and Padmasambhava
For traditional views of Yehudah, see Aaron Hyman, Toldoht
transmits to her the full range of Tantric teachings. Early lin-
Tana Eim ve-Amora Eim, vol. 2 (London, 1910; reprint, Jeru-
eage stories of one of those teachings, on the Indic deity
salem, 1964), pp. 575–606; Hyman, “Judah Ha-Nasi,” in
Vajraka¯, lists Yeshe Tsogyal as a primary lineage holder.
Encyclopaedia Judaica, vol. 10 (Jerusalem, 1971), cols. 366–
371; and Mordechai Margalioth, ed., Encyclopedia of Tal-
Yeshe Tsogyal then proceeds alone to a mountain her-
mudic and Geonic Literature, vol. 1 (Jerusalem, 1945; Tel
mitage to practice what she has learned. She practices austeri-
Aviv, 1995), pp. 436–446. On Yehudah as patriarch, see Mi-
ties and endures extreme hardship, reaching key stages of re-
chael Avi-Yonah’s The Jews of Palestine (New York, 1976)
alization. At a certain point she is advised through visionary
and E. Mary Smallwood’s The Jews under Roman Rule (Lei-
means to take a Tantric consort of her own. In a rare twist
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9882
YESHIVAH
from the usual androcentric rendition of this stage on the
Gross, Rita M. “Yeshe Tsogyel: Enlightened Consort, Great
path, Yeshe Tsogyal sets out to procure a partner, who turns
Teacher, Female Role Model.” The Tibet Journal 12, no. 4
out to be an attractive but indigent man in Nepal, and she
(Winter 1987): 1–18.
brings him back to the caves of Tibet to teach him the requi-
Gyatso, Janet. Apparitions of the Self: The Secret Autobiographies of
site techniques of sexual yoga.
a Tibetan Visionary. Princeton, N.J., 1998.
Gyatso, Janet. “A Partial Genealogy of the Lifestory of Yeshe
Yeshe Tsogyal’s hagiography deals with several specifi-
Tsogyal.” Journal of the International Association of Tibetan
cally female situations, one of which is found in its provoca-
Studies 2 (2004).
tive account of her rape by seven bandits. During this ordeal
Nam-mkha’i snying-po. Mother of Knowledge: The Enlightenment
she turns the situation into a teaching for the bandits and
of Ye-shes mTsho-rgyal. Translated by Tarthang Tulku.
ultimately helps them on their own path to buddhahood.
Berkeley, Calif., 1983.
She also continues to serve as a premier disciple of the master
Tsogyal, Yeshe. Dakini Teachings: Padmasambhava’s Oral Instruc-
Padmasambhava. An important element of her story is that
tions to Lady Tsogyal. Translated by Erik Pema Kunsang. Bos-
she assists the master in recording and then concealing Trea-
ton, 1990.
sure (gter ma) teachings for future generations of Buddhists
in Tibet. After Padmasambhava’s departure to the Pure
JANET GYATSO (2005)
Land, Yeshe Tsogyal remains as a teacher of many, and final-
ly dies surrounded by a large number of disciples.
YESHIVAH. In contemporary usage, the Hebrew term
One more element of her life story in the Tagsham ver-
yeshivah refers to an academy for the advanced study of Jew-
sion is that she defeats in debate certain rival teachers from
ish religious texts, primarily the Talmud. Since the destruc-
the Bon religion. This episode seems to be missing in earlier
tion of the Second Temple in 70 CE, the yeshivah has been
renditions of her life, but it connects her to larger concep-
one of the most important institutions of Jewish communal
tions about Tibet’s past and its identity vis-à-vis Buddhism.
life. Although many yeshivah students go on to become rab-
Nonetheless, Yeshe Tsogyal was also adopted as a heroine for
bis and although the texts taught in yeshivot are among those
Tibetan followers of Bon, and another full-length version of
a rabbi is expected to master, it should be emphasized that
her life was recently identified in the Bonpo canon of scrip-
a yeshivah, an all-male institution, is not a rabbinical semi-
tures.
nary. Its function is not to train professional religious leaders
The appeal of Yeshe Tsogyal is undoubtedly tied pri-
but rather to provide a framework for study. In the Jewish
marily to her image as a female master of meditation and
religious tradition, study of the Torah is seen as a central and
yoga. That she serves as a role model for Tibetan women in-
meritorious religious act in and of itself, regardless of its rele-
volved in the lay yogic path can be seen from the fact that
vance to the student’s career plans. While yeshivot have been
outstanding female religious leaders in Tibet have been regu-
a common feature of Jewish communities, they have not
larly identified as her “emanation,” up to the twenty-first
been equally prevalent in every location and time. In various
century. But she is also a popular source of visionary revela-
communities and at various times, aspiring scholars would
tion for both male and female meditators. Yeshe Tsogyal
study individually under the guidance of more advanced
often appears in the dreams and visions of yogis of the Ny-
scholars and rabbis without taking part in a formal educa-
ingma school, during which she gives indications of how to
tional framework. The batei midrash, or communal study
uncover a Treasure revelation of their own, along with other
halls, that were common in many communities facilitated
key teachings. In addition, practitioners of visualization
this practice. However, for much of Jewish history, advanced
meditation in the Nyingma tradition will often use her image
study rarely occurred outside the framework of the yeshivot.
as the object of their imagination in the Tantric rites known
The term yeshivah appears in tannaitic sources, where
as sa¯dhana meditation. One of the most popular cycles of
it refers to a rabbinical court (beit din), not to an institution
meditation that contains instructions for visualization of
of learning. The Jews of Palestine in the first and second cen-
Yeshe Tsogyal is the Heart Sphere Teachings (Klong chen
turies CE made no distinction between higher education and
Snying thig), revealed by Jigme Lingpa (1729–1798) in the
judicial activity, and they had no tradition of academic career
eighteenth century. Tantric empowerment rites that focus on
training. Study of Jewish law (halakhah) was not seen as
her image continue to be given to students in Tibet today,
something that could or should be isolated from its practical
as well as in the exile communities of Tibetan Buddhists in
applications.
South Asia.
Little is known of the precursors of the yeshivot. Yeshivot
became central institutions in Palestine after the destruction
SEE ALSO Padmasambhava; Treasure Tradition.
of the Second Temple and in the absence of other central in-
stitutions. The academy founded by Yoh:anan ben ZakkDai
BIBLIOGRAPHY
at Yavneh in 68 CE and its successors, first in Judaea and later
Dowman, Keith. Sky Dancer: The Secret Life and Songs of the Lady
in the Galilee, functioned, according to rabbinic tradition,
Yeshe Tsogyel. London, 1984.
as the continuation of the Sanhedrin (the legislative body
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YESHIVAH
9883
that convened in the Temple) and as the training ground for
Twice a year, in the spring and the fall, this pattern of
future scholars and leaders.
study changed radically, with Jewish laymen flocking to the
YESHIVOT IN BABYLONIA. After the death of Yehuda ha-
yeshivot, apparently by the thousands, for a month of popular
NasiD, the patriarch of Judaea (c. 220 CE), the yeshivot of Bab-
and intensive study. These months were known as yarh:ei kal-
ylonia began to grow in importance and soon became the
lah (“months of assembly”).
most highly esteemed authorities in the Jewish world. For a
Geonic period. From roughly 550 to 1050 CE, Babylo-
period of eight hundred years, Babylonian yeshivot func-
nian yeshivot continued to flourish as centers of both educa-
tioned not only as the central religious-legal institutions of
tion and legal decision making. Students came not only from
Babylonian Jewry, alongside the lay authority of the exilar-
Babylonia but from Egypt, North Africa, Spain, Italy, and
chate, but also as the final arbiters of halakhic questions for
elsewhere to study and to prepare themselves for leadership
most of the Jewish communities of the world.
roles in their home communities. Legal questions (accompa-
Amoraic period. At any given time during the Talmud-
nied by donations) were sent from many Jewish communi-
ic period, there were usually two leading yeshivot that often
ties in the Mediterranean basin, and the responsa were copied
competed for honor and prestige. The first of these was the
down for the guidance of later generations. The Geonim, as
yeshivah of Nehardea, which flourished in the first half of the
the heads of the yeshivot were called in the post-Talmudic pe-
third century under the leadership of the Babylonian sage
riod, wrote legal treatises and other works that were widely
ShemuDel (d. 263?). Although the date of its foundation is
distributed. The widespread respect and authority that the
unknown, it was already regarded in ShemuDel’s time as a
Geonim enjoyed no doubt contributed to the acceptance of
venerable institution and as an important center for the
the Babylonian Talmud as the authoritative source of Jewish
transmission of Babylonian Jewish traditions. In 219 AbbaD
legal and aggadic thought. Their institutions were funded
bar Ayyvu (c. 155–247), known as Rav, a Babylonian who
not only by donations but by tax revenues from certain Baby-
had spent many years in Palestine and was familiar with Pal-
lonian Jewish communities. Much less is known about the
estinian traditions, settled in Nehardea. Shortly after, he
yeshivot in the Land of Israel in this period.
moved to the town of Sura and opened a yeshivah there. Both
The general decline of the Abbasid empire, long cen-
Rav and ShemuDel had able successors, and even though the
tered in Baghdad, anti-Jewish persecutions in the tenth and
institutions they led sometimes changed location or were
eleventh centuries in Iraq, and the rise of new Jewish centers
temporarily closed, they endured until perhaps the thirteenth
elsewhere led to the decline of the Babylonian yeshivot and
century. The yeshivah of Nehardea moved to Pumbedita in
a corresponding rise in the importance of yeshivot in other
the wake of the destruction of Nehardea in 259, and in the
locations. However, none of these newer yeshivot achieved
late ninth century it moved to Baghdad, followed soon after
the centrality and influence that the yeshivot of Babylonia
by the yeshivah of Sura.
had enjoyed. According to Avraham ibn Daud’s account in
The degree to which these Babylonian yeshivot (or me-
Sefer ha-qabbalah (The book of tradition; c. 1161), around
tivtot, as they were known in Aramaic) can be classified as
the year 990 a ship bringing four scholars to a kallah month
educational institutions is still a subject of debate. They cer-
was captured by pirates. Three of the scholars were sold as
tainly continued to function as courts, and the scholars who
slaves in various ports—one in Egypt, one in North Africa,
were clustered around them formed an equivalent to the San-
and one in Spain (the fourth met an unknown fate)—where
hedrin. It would appear, though, that from early on young
each became the leader of an important yeshivah. While the
students came to study with the eminent ro Dshei yeshivah
legend is not a reliable historical source, it does illustrate the
(masters of the yeshivah) and that the pedagogic function of
continuity between later yeshivot and their Babylonian pre-
the yeshivah was seen as important.
decessors as well as the weakening of the ties between other
Jewish communities and Babylonia.
According to later sources (which may not be complete-
ly reliable), the ro’shei yeshivot in Babylonia were often ap-
YESHIVOT IN THE MEDIEVAL DIASPORA. From the tenth
pointed by the exilarch (ro’sh ha-golah, lit., “head of the
century onward, yeshivot were to be found in most Jewish
exile”). The veteran scholars of the yeshivah sat at assigned
communities. In Spain, one of the first important yeshivot to
seats in the study hall in a seating order based on age and
develop was that of Cordova; others were located in Lucena,
scholarly reputation, wherein the more advanced sat in the
Toledo, Barcelona, and elsewhere. These yeshivot were often
front rows (this seating plan was also characteristic of non-
located in or near community structures such as synagogues.
Jewish academies in Babylonia). The contact between the
The curriculum of these yeshivot centered on the Babylonian
ro Dsh yeshivah and the students was often indirect. It was ap-
Talmud and its legal application and at times included qab-
parently a common practice for the ro’sh yeshivah to deliver
balistic literature. The well-known interest of some Spanish
his lecture in a soft voice and to have his words declaimed
Jews in secular subjects found no expression in the yeshivot;
by an amora D (speaker) in a loud voice. Since many of the
their study of languages and sciences was usually carried out
authoritative teachings of the Jewish tradition were transmit-
with the help of tutors or, occasionally, through enrollment
ted orally, recourse was made to tanna Dim (repeaters) who
in a non-Jewish school. The size and importance of a yeshivah
had committed them to memory.
was directly related to the fame and prestige of its head, the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9884
YESHIVAH
ro Dsh yeshivah. Most of the central rabbinical figures of Span-
lated to the Hebrew Bible and as the amoraim (the rabbis
ish Jewish history, including Nahmanides (Mosheh ben
whose teachings are collected in the gemara D) related to the
Nah:man, c. 1190–1270), Shalomoh ben Avraham Adret (c.
Mishnah.
1235–1310), and Nissim Gerondi (d. 1380?), headed yeshi-
There was a significant flow of ideas between the yeshi-
vot. The notes taken by students were passed from hand to
vot of various areas. Rashi, who lived in northern France, was
hand and formed the basis for many of the Spanish glosses
accepted in Spain and North Africa as the authoritative com-
on the Talmud.
mentator on the Talmud, and the work of his successors in
In North Africa, yeshivot were often located close to
northern Europe, the Tosafists, was eventually carried on in
Muslim academies, though the question of intellectual rela-
Spain. This tradition concentrated on reconciling texts and
tions between Jewish and Muslim schools has yet to be ex-
statements scattered through the rabbinic literature so that
plored. The first important yeshivah in North Africa was that
it would form a harmonious whole.
of Kairouan, which had close ties with Babylonian yeshivot.
One of the distinctive characteristics of the curriculum
The yeshivah of Kairouan rose to importance in the tenth
of the late medieval Ashkenazic yeshivah (thirteenth to seven-
century and upon its decline in the following century, the
teenth century) was the development of pilpul, a type of ar-
yeshivot of Fez and Tlemcen in Morocco became prominent.
gumentation that uses highly contorted, often hair-splitting
Fust:a¯t:, near present-day Cairo, was also the site of an impor-
reasoning to resolve hypothetical cases or to reconcile oppos-
tant yeshivah.
ing views. Most pilpul took place in oral debates, and few
In the Ashkenazic communities of northern Europe, the
texts from the period survive. Many scholars found pilpul a
great intellectual flowering that produced Gershom ben Ye-
fascinating intellectual stimulus, but others criticized it for
hudah (c. 965–1028), Rashi (Shelomoh ben Yitsh:aq, 1040–
its artificiality. Pilpul was eventually abandoned in favor of
1105), and the Tosafists was achieved to a large extent within
the more logical approach of the Spanish scholars, whose
the yeshivot. These yeshivot differed from their predecessors
works were widely disseminated in northern Europe after the
in that they were chiefly educational institutions and no lon-
development of the printing press. Another activity popular
ger functioned as courts or as facilities for scholarly assembly.
in yeshivah circles of the time was the collection and study
They tended to be small institutions with just a few tens of
of minhagim, or local customs.
students who often lived with the ro Dsh yeshivah and studied
YESHIVOT IN THE MODERN WORLD. The continuity of the
in a separate room in his house. Many of these students were
Ashkenazic yeshivah was broken in the seventeenth and eigh-
Talmudic scholars in their own right, and they were not so
teenth centuries in two different ways. In German-speaking
much disciples of the ro Dsh yeshivah as his partners in study.
lands, there was a gradual decline of interest in Talmudic and
Beginners would prepare for admission to the yeshivah by
rabbinic literature, exacerbated by the Haskalah (Jewish En-
studying with special teachers. The course of study in the
lightenment movement) and the increasing assimilation of
yeshivot centered on Talmud and led to the conferment of
Jews into the general community. In Polish lands there was
formal degrees. The lowest, corresponding roughly to the
a sharper break that was associated with (but not totally ex-
bachelor of arts degree granted by universities of the time,
plained by) the Cossack rebellion of 1648, which destroyed
was that of h:aver (“fellow”), while more advanced students
many communities and their yeshivot. The failure of the Pol-
looked forward to receiving the title morenu (“our teacher”),
ish Jewish community to reestablish the network of yeshivot
which entitled them to open their own yeshivot. As in the me-
immediately after the rebellion was due, in part, to the eco-
dieval universities, the curriculum emphasized discussion
nomic decline of the Jewish community and perhaps also to
and disputation rather than literary creativity; this phenome-
the spread of Hasidism, which encouraged the study of Tal-
non is reflected in the Jewish scholarly literature of the peri-
mud but placed less emphasis on formal education.
od, which was mainly in the form of commentaries and
glosses and not extended expository works. Like their coun-
The nineteenth century saw important growth in the
terparts in the universities, yeshivah students were highly mo-
number and role of European yeshivot. In central Europe a
bile and often studied in many schools in the course of their
key part was played by Mosheh Sofer (1762–1839), the rabbi
academic careers.
of Pressburg, Hungary (now Bratislava, Slovakia). He was
appointed to the position in 1806, and as his fame grew he
Both in Mediterranean countries and in northern Eu-
became a major force in developing an active Orthodoxy in
rope, yeshivot stressed creative study for their advanced stu-
reaction to the Reform movement, which was gaining adher-
dents rather than rote learning. Often students were required
ents in his native Germany and Hungary. One of the ele-
to resolve logical problems and contradictions in a text, or
ments of his program was the development and expansion
between authoritative texts, in a manner that led to a deeper
of the Pressburg yeshivah, whose student body soon num-
understanding of the issues. In a very real sense, this kind of
bered several hundred. Sofer’s students went on to occupy
intellectual development was an organic continuation of ear-
many of the important rabbinical posts in the Habsburg Em-
lier patterns. The members of the medieval yeshivah related
pire. The yeshivot they founded were a great influence on the
to the Talmud in very much the same way as the tannaim
lives of students who studied there during their formative ad-
(the rabbis whose teachings are collected in the Mishnah) re-
olescent years and were a major factor in the stability and co-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YESHIVAH
9885
hesiveness of Hungarian Orthodoxy. In Germany, however,
in the number of American yeshivot and in the size of their
no major yeshivot developed. The rapid pace of acculturation,
student populations, as well as an improvement in the quali-
the need for a general education for economic advancement,
ty of instruction. These changes were due in part to the arriv-
and the lack of prestige for Talmudic knowledge among wide
al of refugees from eastern Europe, who brought with them
sectors of the Jewish community were largely responsible for
a strong commitment to tradition and expertise in Talumdic
this.
learning, and in part to the emergence of a native-born and
self-confident American Jewish Orthodox community.
The revival of yeshivot of eastern Europe began in the
early nineteenth century with the foundation in 1803 of a
A similar pattern is found in the Land of Israel. In the
yeshivah in Volozhin, White Russia, by H:ayyim ben Yitsh:aq
early modern period, Sefardic Jews and Jewish communities
(1749–1821). It differed from earlier Ashkenazic yeshivot in
in North Africa and Asia continued their traditional practice
that it was neither a private institution nor a communal one,
of financially supporting yeshivot, many of which were in the
but rather a regional institution supported by donations col-
Land of Israel. They tended to be academies of established
lected by fundraisers from Jews throughout Lithuania and
scholars rather than educational institutions in the Ashkenaz-
later even farther afield. As such, the yeshivah of Volozhin
ic mold. These yeshivot, with their mature student bodies,
was free from local pressures. This organizational model was
often emphasized the study of Qabbalah or of Jewish law,
not immediately imitated, and most Talmud students con-
not Talmudic study exclusively. The scholars who constitut-
tinued to study in batei midrash (local study halls). In the lat-
ed the membership of the yeshivot were given stipends. When
ter part of the nineteenth century there was a sharp rise in
the Ashkenazic immigration to the Land of Israel began in
the number of yeshivot that were founded to counteract the
the late eighteenth century, Ashkenazic yeshivot began to ap-
appeal of secular education and Haskalah. Important yeshivot
pear. They were intended for younger students, and the pro-
were founded in Telz, Slobodka, Ponevezh, Slutsk, Novoro-
gram of study was devoted almost completely to Talmud.
dok, and elsewhere. Many were founded to advance the aims
As the Jewish community in Palestine grew, there was
of the Musar movement, founded by YisraDel Salanter
a corresponding growth in the number of yeshivot. In the in-
(1810–1883), which called for the study and practice of ethi-
terwar period there was even a case of a yeshivah that was
cal behavior. These yeshivot appointed special preceptors
transferred in toto—student body and staff—from Slobodka
(mashgih:im) to teach and supervise ethical behavior; they
in Lithuania to Hebron in Palestine. After the establishment
functioned alongside the standard Talmud teachers, not al-
of the State of Israel in 1948 this growth continued, now
ways without friction. Other yeshivot emphasized new meth-
with the financial support of the Israeli government. As in
ods of study that stressed analysis of texts rather than legal
America, the yeshivah high schools drew many of the sons
casuistry. At the same time, and because of the same stimulus
of observant families. The special security problems of Israel
of competition from secular education and nontraditional
led to the establishment of yeshivot for soldiers, who were
influences, the Hasidic communities also began to establish
permitted to interrupt their military service for periods of
yeshivot.
Talmud study.
In the period between the world wars, all yeshivot in
Today almost all yeshivah students are unmarried. An-
areas controlled by the Soviet Union were closed. However,
other institution, the kolel (pl., kolelim), provides married
in Poland, Lithuania, Hungary, and Czechoslovakia, yeshivot
students with stipends to enable them to study full-time. Un-
continued to flourish. These yeshivot were funded largely by
like yeshivah students, they usually study independently,
subventions from Jews in the United States. The Holocaust
without formal guidance or supervision. The yeshivot, with
led to the destruction of all of these institutions.
the kolelim, are now among the most important institutions
of contemporary Orthodoxy. They play a major role in se-
Today the two main centers of yeshivot are Israel and the
curing the loyalty of the younger generation to traditional
United States. Until after World War II, yeshivot in the Unit-
patterns and values. It has become standard practice for
ed States were relatively unsuccessful in attracting students
groups within the Orthodox community to establish separate
and had little influence on Jewish life. Most of the Jews who
yeshivot for their youth. Now, for example, every Hasidic sect
came to America from eastern Europe in the late nineteenth
has its own yeshivah. Ro Dshei yeshivah are among the most im-
and early twentieth century were not well educated, and the
portant leaders of Orthodox Jewry, and they often supplant
conditions of immigrant life in America were not conducive
the authority of communal rabbis.
to the perpetuation of traditional customs. Those yeshivot
that did exist followed the established patterns of the Old
There are probably more young men studying Torah
World. One important exception was the Rabbi Isaac Elha-
(and especially the Talmud) full-time today than ever before.
nan Theological Seminary, which grew into Yeshiva Univer-
Only a small minority go on to serve as rabbis. While in tra-
sity. This institution, founded in the late nineteenth century
ditional yeshivot the student body continues to be all male,
in New York City, successfully introduced a new curriculum
similar institutions of study for women have been developed.
that included traditional Talmudic studies in the morning
Recently, the term yeshivah has often been applied to Jewish
and secular studies, leading to the bachelor of arts degree, in
day schools, on both the elementary and high school level,
the afternoon. After World War II there was a major increase
that have a program that includes general studies as well as
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9886
YETSIRAH, SEFER
Jewish studies. But the Orthodox yeshivot have managed to
Schiffer, Varda. The Haredi Educational [system] in Israel: Alloca-
adapt to new conditions without compromising their basic
tion, Regulation and Control. Translated by David Hornick.
commitment to the perpetuation of tradition.
Jerusalem, 1999.
SHAUL STAMPFER (1987)
SEE ALSO Amoraim; Hasidism, overview article; Holocaust,
Revised Bibliography
The, article on History; Judaism, overview article, articles
on Judaism in the Middle East and North Africa to 1492,
Judaism in Northern and Eastern Europe to 1500; Musar
Movement; Rabbinate; Rabbinic Judaism in Late Antiquity;
YETSIRAH, SEFER SEE SEFER YETSIRAH
Schenirer, Sarah; ShemuDel the Amora; Tosafot.
BIBLIOGRAPHY
YHVH SEE ATTRIBUTES OF GOD, ARTICLE ON
Relatively few works have been written that deal specifically with
JEWISH CONCEPTS; GOD, ARTICLE ON GOD IN
yeshivot. However, almost anything written on the history of
POSTBIBLICAL JUDAISM; GOD, ARTICLE ON GOD
Jewish education touches on yeshivot, and so do many studies
IN THE HEBREW SCRIPTURES
of Jewish history or religion. The best starting point for bibli-
ographies on particular yeshivot or on higher education in a
given community or area is Shlomo Shunami’s Bibliography
of Jewish Bibliographies, 2d ed. (Jerusalem, 1965; suppl., Je-
YI SEE REN AND YI
rusalem, 1976), which directs the reader to bibliographies on
almost any topic of Judaica. The most useful guides to cur-
rent literature are Kiryat Sefer, a quarterly listing of recent
books of Judaica and Hebraica, and the annual Index of Arti-
YIJING (635–713), Chinese Buddhist translator and trav-
cles on Jewish Studies. Both are arranged topically and are
eler to India. Born Zhang Wenming, a native of Qizhou
published by the Jewish National and University Library in
(modern Shandong province), Yijing left his family at the age
Jerusalem.
of seven and lived in a Buddhist monastery, where he studied
There are a number of valuable monographs on yeshivot. The most
under the guidance of two monks, Shanyu (d. 646) and
recent book on the Babylonian yeshivot is David M. Good-
Huizhi. The former was a learned scholar with a broad range
blatt’s Rabbinic Instruction in Sasanian Babylonia (Leiden,
of religious and secular knowledge; the latter was an expert
1975). For the other end of the time spectrum, William B.
on monastic discipline (Vinaya). Yijing was ordained at the
Helmreich’s The World of the Yeshiva (New York, 1982) pro-
age of fourteen and was urged by Huizhi to follow the
vides a useful description of modern American yeshivot. A
Vinaya strictly. He studied the monastic rules for another
number of unpublished Ph.D. dissertations are relevant:
five years and became well versed in its regulations as well
Armin Harry Friedman’s “Major Aspects of Yeshiva Educa-
as in the interpretations given by Fali (d. 635) and Daoxuan
tion in Hungary, 1848–1948” (Yeshiva University, 1971),
(d. 667), the two leading and influential masters of monastic
M. Breuer’s “The Ashkenazi Yeshiva toward the Close of the
Middle Ages” (Hebrew University, 1967), I. Gafni’s “The
discipline. He was then allowed to lecture on the subject at
Babylonian Yeshiva” (Hebrew University, 1978), and my
the monastery. With the encouragement of his teacher, Yij-
own “Three Lithuanian Yeshivot” (Hebrew University,
ing left the monastery for Chang’an, the capital of Tang-
1982); the latter three are in Hebrew with detailed English
dynasty China. It was a time when Xuanzang’s (d. 664)
summaries. The most valuable collection of primary sources
famed journey to India and his translation of Buddhist texts
on the history of Jewish education, which includes a great
into Chinese were still held in highest esteem, especially in
deal of material on yeshivot, is Simha Assaf’s Megorot le-
the capital. Xuanzang’s legacy inspired Yijing to make his
toledot ha-h:inukh be-Yisra Del, 4 vols. in 2 (Tel Aviv, 1936–
own mission to India. He first returned to his monastery at
1954).
Qizhou, then proceeded to Guangfu (Canton) with the
New Sources
blessings of his teacher. Although other monks had planned
Avital, Moshe. Yeshiva and Traditional Education in the Literature
to join Yijing, all but one dropped out at the last moment.
of the Hebrew Enlightenment Period (in Hebrew). Tel-Aviv,
In 671 the two monks boarded a Persian merchant ship
1996.
and arrived at the kingdom of S´r¯ıvijaya (South Sumatra),
Gil, Moshe. “The Babylonian Yeshivot and the Maghrib in the
where Yijing’s companion died. Yijing stayed on for six
Early Middle Ages.” PAAJR 57 (1991): 69–120.
months and then embarked alone for Ta¯mralipt¯ı in eastern
Kanarfogel, Ephraim. Jewish Education and Society in the High
India via the kingdoms of Malayu, Kacha, and one of the
Middle Ages. Detroit, 1992.
Nicobar islands. At Ta¯mralipt¯ı he studied Sanskrit for a year.
He then traveled to Na¯landa¯ with another Chinese monk,
Paretzky, Zev T. Reservoirs of Faith: The Yeshiva through the Ages.
Dachengdeng (d. 675). They went on pilgrimages to
Jerusalem and New York, 1996.
Gr:dhraku¯t:a at Ra¯jagr:ha and to Maha¯bodhi at Bodh Gaya¯.
Rodik, Yohai. Hayim shel yetsirah: Yeshivat “Merkaz ha-Rav” le-
Thereafter, they traveled to Vai´sa¯l¯ı, Amaraba, and Ka¯´s¯ı (Ba-
doroteha: hagut, hinukh u-ma Das. Jerusalem, 1998.
naras), visited Jetavana Monastery at S´ra¯vast¯ı and the “heav-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YINYANG WUXING
9887
enly stairs” (said to have been built by the god S´akra for the
traditions in India. His translations of the Yoga¯ca¯ra texts and
Buddha to use in descending from Heaven) at Sa¯mka¯´sya,
of Buddhist logic are quite significant. Yijing’s own writings
and journeyed to Sa¯rna¯th and Kukkut:apa¯da.
are also valuable. His two records, of Buddhist practices in
South Asia and of Chinese monks who traveled to India in
At the end of his journey, Yijing settled at Na¯landa¯,
the seventh century, are extremely important sources for his-
where for a period of nine years he studied the five prevailing
torians of religion. His glossary, the Fanyu qianziwen (A
Buddhist curricula. These were Buddhist logic, the
thousand Sanskrit words), is the earliest extant Sanskrit-
Abhidharmako´sa, monastic discipline (Vinaya), and the
Chinese dictionary. Although Yijing’s translations have been
Ma¯dhyamika and Yoga¯ca¯ra philosophies. Yijing pointed out
overshadowed by those of his predecessor, Xuanzang, a sam-
that each of these disciplines is for a specific purpose, but that
ple examination of both renderings of the Vim:´satika¯ (Lie-
none is absolute by itself.
benthal, 1934) concluded that Yijing was a better translator
With the manuscripts he had collected at Na¯landa¯, Yij-
than Xuanzang.
ing left central India for Ta¯mralipt¯ı in 685. He embarked
Yijing died on February 16, 713. He was buried with
on a ship from the same port in 686, and after short stops
grand honors, and was posthumously honored with the title
at Kacha and Malayu, arrived at S´r¯ıvijaya in 687. When he
Director of Foreign Office (honglu qing). A memorial in-
had been there a little over two years, however, Yijing found
scription was composed by Lu Can at imperial request. A
himself short of supplies for copying Sanskrit manuscripts.
temple called Jin’guangming (“gold light”) was raised at his
He went to the port to send word to China for supplies, but
burial site in 758.
the ship that was to carry his message unexpectedly set sail
while he was still on board. This accident brought Yijing
SEE ALSO Pilgrimage, article on Buddhist Pilgrimage in
back to Guangfu on August 10, 689, leaving behind his col-
South and Southeast Asia.
lection of Sanskrit manuscripts, amounting to half a million
words. He recruited four assistants and returned to S´r¯ıvijaya
BIBLIOGRAPHY
on December 18, 689. Yijing remained in the country, cop-
The best account of the life of Yijing in a European language and
ied scripture, and studied under the distinguished teacher
a translation of his record of his journey is Junjiro¯ Takaku-
S´a¯kyak¯ırti. He also wrote an account of Buddhist practices
su’s A Record of the Buddhist Religion as Practised in India and
and a report regarding a group of Chinese monks who had
Malay Archipelago, A.D. 671–695 (1896; reprint, Delhi,
traveled to India in search of Buddhism. Yijing sent these re-
1966). Other studies and translations are Mémoire composé
ports, together with his translations of Buddhist texts, to
à l’époque de la grande dynastie T’ang, sur les Religieux émi-
nents qui allèrent chercher la loi dans les pays d’occident par I-
China through one of his assistants in 692.
Tsing, translated by Édouard Chavannes (Paris, 1894), and
Accompanied by two assistants, Yijing himself returned
Suvarn:aprabha¯sottamasu¯tra: Das Goldglanz-Su¯tra, ein San-
to Guangfu in 694. Five months later he traveled to Luoy-
skrittext des I-tsing’s Chinesische version, 2 vols., translated by
ang, the eastern capital, where in 695 he was personally re-
Johannes Nobel (Leiden, 1958). For discussion of the merit
ceived with great honor by the empress Wu Zetian (r. 684–
of Yijing’s translated works, see Johannes Nobel and Walter
Liebenthal’s “The Versions of the Vim:´satika¯ by I-ching and
704). He was accommodated at Foshouji Monastery and
Its Relation to That of Hsüan-tsang,” Yenching Journal of
worked as an assistant translator in the bureau of translations
Chinese Studies 17 (1934): 188ff. For a list of the works trans-
headed by Siksananda. From 700 until his death, Yijing
lated by Yijing, see Prabodh Chandra Bagchi’s Le canon
headed his own bureau of translation of Buddhist canons at
bouddhique en Chine, vol. 2 (Paris, 1938), pp. 525–540. Ad-
Luoyang and Chang’an. Altogether he translated fifty-six
ditional Chinese materials related to the monk are contained
works in 230 fascicles, among them scriptures, commen-
in the Zhenyuan catalog of Buddhist canons by Yuanzhao
taries, and Vinaya texts. The empress and her successors pa-
(T. D. 55.867b–872a); no translation yet exists.
tronized his work and even provided forewords to Yijing’s
JAN YÜN-HA (1987)
translations. Various honors and rewards were bestowed
upon the monk, and he was awarded the title “Master of the
Tripit:aka.”
YIN-YANG WU-HSING SEE YINYANG
The works translated by Yijing include a broad range of
WUXING
Buddhist texts, including the A¯gamas, the Avada¯nas, and
Maha¯ya¯na su¯tras and sastras. Also translated were eleven
Buddhist tantras and eighteen works on monastic discipline,
YINYANG WUXING. Yinyang (umbral and bright)
as well as exegetic works that are important not only for Chi-
and wuxing (Five Phases: water, fire, wood, metal, and earth)
nese Buddhism but also for the religion as a whole. His ver-
are the core concepts of traditional Chinese cosmology. This
sion of the Suvarnapra-bhasa-uttamaraja Su¯tra (Golden light
cosmology perceives the universe as an organic whole, in
su¯tra) is widely acknowledged by scholars as the best Chinese
which the spiritual, natural, and human worlds are ordered
translation of that scripture and one that has influenced all
into a single, infinitely interconnected system. Modern
East Asia. His translation of the Sarva¯stiva¯da Vinaya texts has
scholars retrospectively call it correlative cosmology, since it is
systematically preserved one of the most influential monastic
based on “correlative thinking.”
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9888
YINYANG WUXING
Correlative thinking is by no means uniquely Chinese;
Wuxing, the categories of five, also appeared during the
it has appeared in all civilizations and still underlies the oper-
Warring States period. Like yingyang, these categories had
ations of language and serves as one of the building blocks
ancient roots. They may derive from astronomical consider-
of thought. Chinese cosmology is a distinctive and extraordi-
ations of the five visible planets, or from the numerology of
nary elaboration of such a mode of thinking. It groups phe-
the magic squares (a 3 x 3 grid arrangement of the integers
nomena into heuristic or analogistic categories, within and
1 through 9, with 5 at the center; each row, column, and di-
among which relationships are held to be relatively regular
agonal yields a sum of 15), or more likely, from the ancient
and predictable. Eventually, all things in the universe are cat-
spatial concepts of the four quarters of the world and four
egorized and correlated, and everything affects everything
cardinal directions, with a fifth, the center, added to the four.
else. Entities, processes, and classes of phenomena found in
Towards the end of the Warring States period and dur-
the human world (the human body, behavior, morality, the
ing the first empires immediately following (221 BCE–220
sociopolitical order, and historical change) are set in corre-
CE), yinyang and wuxing were integrated and elevated to be-
spondence to various entities, processes, and classes of phe-
come the core system for synthesizing the divergent classifi-
nomena in nature (time, space, the movements of heavenly
cation systems. From their initial appearance as loosely de-
bodies, seasonal change, plants and animals, etc.).
fined and unsystematically used terms, and through the long
This elaborate classification and correlation structure is
process of synthesis and standardization, these concepts went
based on various numerical systems, such as interlaced pairs
through many changes. Their meanings varied in different
(correlated to yinyang), sets of fours (correlated to the four
historical periods, as well as in different applications during
directions and four seasons, and further divided into twelve
the same period. For example, the Chinese term wuxing liter-
months, twelve Earthly Branches, and jieqi seasonal nodes),
arily means five “goings,” “doings,” or “conducts.” The Con-
sets of fives (correlated to wuxing or Five Phases), and sets
fucians used the term to refer to the Five Virtues (benevo-
of eights (correlated to the Eight Trigrams). While these nu-
lence, righteousness, propriety, wisdom, and sagehood),
meral systems had different origins and represented diver-
rather than water, fire, wood, metal, and earth. At the same
gent ways of classification and correlation building, the sys-
time, the set of water, fire, wood, metal, and earth were called
tems of yinyang and wuxing were combined and used to
by different terms, including wuxing, wucai (Five Materials),
synthesize all other systems into an elaborate and coherent
wude (Five Powers), and wuwei (Five Positions).
cosmology. Therefore the Chinese have used yinyang and
This is why the translation of these concepts is extreme-
wuxing as a general term to refer to this cosmology as a whole
ly controversial. While yin and yang are left untranslated,
and the correlative thinking beneath it.
wuxing has many translations: formerly as Five Elements,
ORIGIN AND DEVELOPMENT. The words yin and yang first
and then as Five Materials, Five Forces, Five Agents, Five En-
appeared in texts of the Warring States period (403–221
tities, Five Powers, Five Processes, or Five Phases (“Five
Phases” has gained increasing acceptance). But the term is
BCE), with their root meanings of “a hillside in shade” and
“a hillside in sunlight,” or, by extension, “cool” and “warm.”
only appropriate from the Han (206 BCE–220 CE) onward,
A reference to a physician named Ho, in his speech dated
referring to cosmic cycles; using “Five Phases” to translate
541
wuxing in pre-Han sources poses the danger of anachronism.
BCE, shows the first link of yin and yang to the six qi,
the energetic fluids in the atmosphere and inside of the body.
Scholars more often prefer to leave wuxing untranslated, so
With this linkage to the qi, yin and yang acquired cosmologi-
that its exact meaning can be determined by the specific his-
cal meaning. By the third century
torical period and context.
BCE, a wide variety of dual-
istic phenomena were being characterized in terms of yin and
Like yinyang, the term wuxing was used to classify phe-
yang, as demonstrated in a comprehensive list (see Table 1)
nomena that shared a common attribute (see Table 2). Al-
from an excavated text from Mawangdui.
though lacking the apparent inevitability found in the binary
oppositions of yinyang, the classification of phenomena into
The chain shown in Table 1 could go on infinitely, until
categories of five spread widely throughout Chinese civiliza-
everything is paired and divided accordingly. More often the
tion. Medical practitioners described Five Viscera, musical
yang chain is superior to the yin chain, but the two are mutu-
experts worked with a scale of Five Tones, political theorists
ally dependent. The use of the terms yin and yang, with their
spoke of Five Powers of dynastic transmission, religious spe-
connotations of the changing ratio of shadow and sunshine
cialists named Five Gods.
on a hillside during the course of a day, aptly suited the Chi-
nese concept of dualism, which was never absolute or antago-
More than just categories for classification, yinyang and
nistic. Chinese culture tends to treat opposites as relativistic
wuxing explain the changes in all the phenomena and inter-
and complementary, while the West treats them as conflict-
actions among them. Things within the same category affect
ing. Coolness exists only relatively to its complement,
one another through resonance, because they share the same
warmth—a minister is yin in relation to his ruler, but yang
kind of qi. For example, if a ruler acts benevolently during
in relation to his wife. The yin of winter moves inevitably
the months of spring, the qi of the wood phase that is thus
to the yang of summer, and back again: each contains the
engendered will encourage the growth of plans. If, on the
germ of the other.
contrary, during the spring months he inappropriately en-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YINYANG WUXING
9889
gages in war and punishment, thus generating the metallic
qi of autumn, then the springtime growth of plants will be
Attributes of Yin and Yang
hindered.
A Yang
B Yin
Yinyang and wuxing are seen as existing in interactive
Heaven
Earth
cycles of succession, through which things in different cate-
Spring
Autumn
gories interact and transform one another. These cycles are
Summer
Winter
Day
Night
regular and predictable, various permutations of the pair and
Big states
Small states
the set of five formed cyclical orders to be applied in specific
Action
Inaction
circumstances. Yin and yang were used to describe cyclical
Ruler
Minister
dualistic phenomena, such as the shifting proportions of sun-
Above
Below
light and darkness throughout the solar year and the waxing
Man
Woman
and waning of the seasons. The Five Phases exist in various
Father
Child
kinds of cycles, and the two most common and widely used
Older
Younger
Noble
Base
were the mutual conquest and mutual generation cycles. In
Controlling others
Being controlled
the former, water conquers fire (extinguishing), fire conquers
metal (melting), metal conquers wood (chopping), wood
conquers earth (plowing), and earth conquers water (dam-
ming). In the latter, wood generates fire (burning), fire gen-
T ABLE 1 . Derived from Graham, 1989, p. 331. Table provided
erates earth (ash), earth generates metal (ore), metal generates
courtesy of the author.
water (melting), and water generates wood (irrigation). The
conquest cycle was applied to, for example, the sequential
planting and harvesting of crops throughout the growing
dynasty that was ruled by the power of the wood phase
year, and the generation cycle was applied to the succession
would be conquered by a new ruling house associated with
of the seasons.
metal, which in turn would be conquered by a dynasty of
fire. For the rise of each new dynasty, heaven would show
The inventor of the yinyang and wuxing system remains
favorable signs to verify its legitimacy. The sign would be yel-
unknown. Traditionally, the invention was attributed to Zou
low for a dynasty ruled by the power of earth, and green for
Yan (fourth century BCE), the believed founder of a school
a dynasty of wood. Accordingly, Zou Yan arranged ancient
of “naturalist” philosophy called yinyang and wuxing jia, a
history in such a cycle of conquest and predicted that a new
philosophical system that combines science and magic. But
dynasty of water, in black color, was due to rise. The first
archaeological discoveries in the last decades of the twentieth
empire of Qin (221–206 BCE) adopted this theory and
century provided a body of new sources challenging this at-
claimed the phase water and the ritual color black.
tribution. Some scholars identified affiliations of yinyang and
This imperial ideology was by no means a homogenous
wuxing with other philosophical schools, such as Confucian-
one. Yinyang and wuxing provided the shared discourse for
ism. But many others found ample evidence in the new
political debates and struggles throughout the Han dynasty.
sources that the cosmology originated from the world out-
The dispute over the two cycles of the Five Phases, conquest
side of philosophical schools, the world of technical tradition
and generation, articulated the competition between two
occupied by court historians, astronomers, diviners, physi-
concepts of sovereignty and two ways of government. The
cians, and music masters. Scholars have been debating
conquest cycle represented a sovereignty based on force and
whether the cosmology originated from technical professions
punishment, and the generation cycle represented one based
and later was adopted and synthesized by philosophers, or
on ethical principles, rituals, and hierarchies. Confucian phi-
whether it entered the technical world from philosophy. But
losopher Dong Zhongshu (179–104 BCE) rejected the impli-
whether the technical tradition and philosophy had such a
cation of Zou Yan’s theory that there are different ways of
clear distinction in the Warring States period is itself a debat-
government, each legitimate. He stated that a change of gov-
able question. Even if they were differentiated, they both
ernment would serve only to illuminate the Dao of heaven,
were overwhelmingly concerned with politics, history, and
rectifying the deviations from it by the preceding dynasty.
morality, rather than pure technical or philosophical specula-
Dong’s followers further used the generation cycle of Five
tions.
Phases to explain dynastic transmission, thus shifting the
SIGNIFICANCE IN CHINESE CIVILIZATION. Yinyang and wux-
ground for imperial sovereignty from conquering force to
ing have played a significant role in Chinese civilization; as
nurturing morality. This system of dynastic transmission and
a twentieth-century Chinese scholar put it, they are “the law
imperial symbolism was adopted by Wang Mang in estab-
of Chinese thinking.” During the formation of the first em-
lishing the New Dynasty (Xin, 9–23 CE), and was continued
pires, yinyang and wuxing formed the cosmological founda-
by the later Han (25–220 CE) and all dynasties of the remain-
tion for the imperial ideology. Zou Yan and his followers
ing imperial history.
used the conquest cycle of Five Phases to articulate their the-
Outside of political ideology, yinyang and wuxing were
ory of dynastic transmission. According to this theory, a
fully integrated into every domain of Chinese culture and the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9890
YISHMAEEDL BEN ELISHAE
Attributes of Wuxing
Phase
Planet
Color
Season
Direction
Taste
Wood
Jupiter
Green
Spring
East
Sour
Fire
Mars
Red
Summer
South
Bitter
Earth
Saturn
Yellow
Midsummer
Center
Sweet
Metal
Venus
White
Autumn
West
Acrid
Water
Mercury
Black
Winter
North
Salty
T ABLE 2 . Table provided courtesy of the author.
everyday practice of the people, becoming a common prop-
Kalinowski, Marc, trans. and ed. Cosmologie et divination dans la
erty of Chinese philosophy, religion, medicine, and science
Chine ancienne: Le compendium des cinq agents. Paris, 1991.
as a whole. Yinyang and wuxing were used by court histori-
Major, John S. “Myth, Cosmology, and the Origins of Chinese
ans, astronomers, diviners, ritual experts, physicians, and
Science.” Journal of Chinese Philosophy 5 (1978): 1–20.
music masters in predicting, planning, and checking govern-
Major, John S. Heaven and Earth in Early Han Thought: Chapters
ment functions. By ordering time, space, body, and all phe-
Three, Four, and Five of the Huainanzi. Albany, N.Y., 1993.
nomena into a single predictable order, the state used this
Needham, Joseph. Science and Civilisation in China, vol. 2, History
cosmology as the means of creating a tightly integrated order
of Scientific Thought. Cambridge, U.K., 1956.
and of controlling the actual daily practice of administration.
Yinyang and wuxing also penetrated a wide terrain of techni-
Puett, Michael. The Ambivalence of Creation: Debates Concerning
cal, mantic, and religious practice; they were integrated into
Innovation and Artifice in Early China. Stanford, Calif.,
the calendar, medicine, and divination, and were used to
2001.
order the daily affairs of the populace in marriage, funerals,
Schwartz, Benjamin I. The World of Thought in Ancient China.
rituals, travel, diet, healing, trade, house building, farming,
Cambridge, Mass., 1985.
hunting, and the making of food, wine, and clothing. Even
Sivin, Nathan. “State, Cosmos, and Body in the Last Three Cen-
after the introduction of modern science and the decline of
turies B.C.” Harvard Journal of Asiatic Studies 55, no. 1
yinyang and wuxing as a political ideology towards the end
(1995): 5–37.
of the imperial era, yinyang and wuxing remained the concep-
Sivin, Nathan. “The Myth of the Naturalists.” In Medicine, Philos-
tual foundation of popular religion, martial arts, geomancy,
ophy, and Religion in Ancient China: Researches and Reflec-
and traditional Chinese medicine, all of which are still oper-
tions, pp. 2–7. Aldershot, U.K., 1995.
ating today.
Reconsidering the Correlative Cosmology of Early China. Special
S
issue of Bulletin of the Museum of Far Eastern Antiquity 72
EE ALSO Daoism, overview article; Dong Zhongshu;
(Stockholm, 2000).
Onmyo¯do¯.
Wang, Aihe. Cosmology and Political Culture in Early China. Cam-
BIBLIOGRAPHY
bridge, U.K., 2000.
Bodde, Derk. “Types Chinese Categorical Thinking.” In Essays on
Yates, Robin D. S. “Body, Space, Time and Bureaucracy: Bounda-
Chinese Civilisation, edited by Charles Le Blanc and Dorothy
ry Creation and Control Mechanisms in Early China.” In
Borei, pp. 141–160. Princeton, 1981.
Boundaries in China, edited by John Hay, pp. 56–80. Lon-
Bodde, Derk. Chinese Thought, Society, and Science: The Intellectu-
don, 1994.
al and Social Background of Science and Technology in Pre-
modern China. Honolulu, 1991.
AIHE WANG (2005)
Fung Yu-lan. A History of Chinese Philosophy, 2d ed., 2 vols. Trans-
lated by Derk Bodde. Princeton, 1952–1953.
Graham, A. C. Yin-Yang and the Nature of Correlative Thinking.
YISHMAEEDL BEN ELISHAE (c. 50–c. 135 CE), Pal-
Singapore, 1986.
estinian tanna. YishmaEeDl was EAqivaD ben Yosef’s most fa-
Graham, A. C. Disputers of Tao: Philosophical Argument in Ancient
mous contemporary; rabbinic tradition has constantly placed
China. La Salle, Ill., 1989.
the sayings of these masters in opposition to each other.
Harper, Donald. “Warring States, Natural Philosophy, and Oc-
cult Thought.” In The Cambridge History of Ancient China:
Although some have argued that YishmaEeDl was a mem-
From the Origins of Civilization to the 221 B.C., edited by
ber of the priestly class, nothing in the traditions attributed
Michael Loewe and Edward Shaughnessy, pp. 813–883.
to him supports this claim except for a number of dubious
Cambridge, U.K., 1999.
passages (B.T., Ber. 7a, H:ul. 49a–b; Tosefta H:al. 1.10; Avot
Henderson. John B. The Development and Decline of Chinese Cos-
de-Rabbi Natan 38 [cf. Mekhilta D de-Rabbi Yishma EeDl, Nez.
mology. New York, 1984.
18]). One story recalls that as a child he was captured by the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YI T’OEGYE
9891
Romans and placed in prison, where he was discovered by
BIBLIOGRAPHY
YehoshuEa, who predicted great things for the child (B.T.,
For traditional views of YishmaEeDl, see the Encyclopedia of Tal-
Git:. 58a); however, not all manuscripts containing this story
mudic and Geonic Literature, edited by Mordechai Margali-
mention YishmaEeDl, and his appearance here is suspect. He
oth (Tel Aviv, 1945), vol. 2, pp. 599–605; Aaron Hyman’s
is said to have studied with YehoshuEa, EliEezer, and, especial-
Toledot tanna Eim ve-amoraDim (1910; reprint, Jerusalem,
ly, Nah:unyaD ben ha-Qanah, who is said to have taught him
1964), vol. 2, pp. 817–824; and Samuel Safrai’s “Ishmael
ben Elisha,” in Encyclopaedia Judaica (Jerusalem, 1971), vol.
the importance of exegesis of the Torah by means of logical
9, cols. 83–86. Marcus Petuchowski began the serious study
arguments (B.T., Shav. 26a). The Talmud states that he re-
of YishmaEeDl with Der Tanna Rabbi Ismael (Frankfurt,
jected the study of Greek wisdom; he argued that one should
1894). For a critical modern approach to the corpus of his
study Torah day and night (B.T., Men. 99b), and his sayings
work, see my four-volume study The Traditions of Rabbi Ish-
demonstrate a tendency to reject Gentiles and their wisdom
mael (Leiden, 1976–1982) and the bibliography given there-
( EA.Z. 1.2, 2.3, 4.1).
in. On the problem of rabbinic biography, see William S.
Green’s “What’s in a Name? The Problematic of Rabbinic
YishmaEeDl’s importance has been based on his role as a
‘Biography,’” in his Approaches to Ancient Judaism (Missoula,
biblical exegete. The opening of Sifra D, a collection of exeget-
Mont., 1978), vol. 1, pp. 77–96.
ical comments on Leviticus, states that YishmaEeDl’s exegesis
New Sources
of the Bible relied on thirteen principles. Based on this pas-
Abusch, RaEanan. “Rabbi Ishmael’s Miraculous Conception: Jew-
sage, most scholars of rabbinic Judaism have contrasted Yish-
ish Redemption History in Anti-Christian Polemic.” In The
maEeDl’s “logical” method of interpreting scripture with the
Ways That Never Parted; Jews and Christians in Late Antiquity
more “imaginative” techniques employed by EAqiva.D Yish-
and the Early Middle Ages, edited by Adam H. Becker and
maEeDl is said to have ignored such things as the repetition
Annette Yoshiko Reed, pp. 307–343. Tübingen, 2003.
of words or phrases in biblical verses and the appearance of
Finkelstein, Louis. “Rabbi Akiba, Rabbi Ishmael, and the Bar
certain adjectives, adverbs, and conjunctions, while these
Kochba Rebellion.” In Approaches to Ancient Judaism, New
supposedly were crucial to the exegetical enterprises of
Series, vol. 1, edited by Jacob Neusner, pp. 3–10. Atlanta,
EAqiva.D YishmaEeDl’s statement that such features of biblical
1990.
Hebrew should be ignored because “Scripture speaks in the
Ilan, Tal. “‘Daughters of Israel, Weep for Rabbi Ishmael:’ The
language of common men” (Sifrei Nm. 112) is taken as the
Schools of Rabbi Akiva and Rabbi Ishmael on Women.”
underlying assumption of his exegetical techniques. Howev-
Nashim 4 (2001): 15–34.
er, recent scholarship has challenged this traditional picture.
GARY G. PORTON (1987)
It has been demonstrated that YishmaEeDl and EAqivaD
Revised Bibliography
often used the same “logical” exegetical techniques normally
attributed to YishmaEeDl and that they both employed the
more “imaginative” exegetical methods usually assigned to
E
YISRADEL BEN ELIEEZER SEE BAEAL SHEM
Aqiva.D In addition, it has been shown that we have no evi-
TOV
dence that YishmaEeDl employed the majority of the thirteen
exegetical techniques attributed to him in the opening of
Sifra D. In fact, he most often employed methods not found
in that list, such as the analogy, but that were commonplace
YI T’OEGYE, pen name of Yi Hwang (1501–1570),
among the Hellenistic rhetoricians of his age.
founder of the Yo˘ngnam school of Korean Neo-
Confucianism. T’oegye is credited with having established
Given the fact that the traditions attributed to Yish-
in Korea the orthodox Neo-Confucian tradition as pro-
maEeDl and EAqivaD do not support the common scholarly pic-
pounded by the Cheng-Zhu school, so-called after its puta-
ture, we must consider what has happened. It is likely that
tive founders Cheng I (1033–1107) and Zhu Xi (1130–
toward the end of the rabbinic period, two major schools of
1200), and is widely regarded as the greatest of all Korean
biblical exegesis had developed, one “logical” and one “imag-
Neo-Confucian thinkers.
inative.” In an attempt to claim that these opposing views
were very old, the later sages attributed their creation to Yish-
Yi T’oegye was born in Yean in Kyongsang Province,
maEeDl and EAqiva,D for the importance of EAqivaD in all areas
in the southeastern part of Korea. He began his studies with
of rabbinic thought, including biblical exegesis, had by then
his uncle, Yi U, and continued them at the Royal College
been well established. Thus YishmaEeDl’s importance proba-
in Seoul, which he entered in 1523. He passed the prelimi-
bly stems from the frequent juxtaposition of his sayings with
nary civil service examination in 1528 and the final examina-
those of EAqiva,D one of the most important sages of Jewish
tion in 1534, after which he joined the small governing elite
history, and not from anything he actually said or did, or at
by embarking upon a long official career. His career, which
least not from anything attributed to him in the sources we
followed the pattern typical of the elite of the period, includ-
have at hand.
ed posts in such metropolitan bureaus as the Office of Diplo-
matic Correspondence, the Censorate, the Office of the
SEE ALSO Tannaim.
Crown Prince Tutorial, and the Royal College. He also
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9892
YI YULGOK
served as a magistrate in local government. Despite the rather
ming’s (1472–1529) theory of the unity of knowledge and
volatile political atmosphere of the time, his career was a
action as irresponsible in its disregard for the rationality of
smooth one. The highest positions he held included appoint-
man, T’oegye was firmly committed to the need for a daily
ments as Minister of Rites, Fifth State Councillor, Director
regimen of moral cultivation, a slow and painstaking process.
of the Office of Royal Decrees, and Director of Special
He regarded sincerity and reverence as fundamental necessi-
Councillors. In 1569 he retired from public life and returned
ties in the acquisition of knowledge, which could be sought
to his place of origin. The kings he served, Chungjong
only through laborious step-by-step inquiry and meditation.
(r. 1506–1544), Myo˘ngjong (r. 1545–1567), and So˘njo
The rather quiescent and meditative quality of his scholar-
(r. 1567–1608), all treated him with great respect. Legend
ship was inherited by his followers and remained a distinctive
has it that King Myo˘ngjong, to whom T’oegye submitted his
feature of the Yo˘ngnam School.
celebrated Ten Diagrams of Sage Learning (So˘nghak sipto),
was supposed to have been a devotee.
SEE ALSO Confucianism in Korea.
Despite his long and illustrious public career, T’oegye
B
is remembered as having maintained, or perhaps even initiat-
IBLIOGRAPHY
Works by Yi T’oegye are collected in T’oegye chonso, 2 vols. (re-
ed, the tradition of scholarly independence from the state.
print, Seoul, 1958). An authoritative study on him is Yi
While he did not shy away from public life, T’oegye seems
Sang-un’s T’oegye ui saengae wa hangmun (Seoul, 1973). Ar-
to have been constantly attracted to independent scholarship
ticles discussing his philosophy in English are Tomoeda Ryu-
and educational activity. He frequently professed his desire
taro’s “Yi T’oegye and Zhu Xi: Differences in Their Theories
for the life of a private scholar devoted to learning and teach-
of Principle and Material Force,” Tu Wei-ming’s “Yi
ing. Whenever possible, either between official posts or dur-
T’oegye’s Perception of Human Nature: A Preliminary In-
ing his service, he attempted to pursue this ideal. During his
quiry into the Four-Seven Debate in Korean Neo-
tenure as the magistrate of P’unggi County, T’oegye success-
Confucianism,” and Sa-Soon Youn’s “T’oegye’s Identifica-
fully campaigned for government support of a private acade-
tion of ‘To Be’ and ‘Ought’: T’oegye’s Theory of Values,”
my in the area, setting a frequently observed precedent.
all in The Rise of Neo-Confucianism in Korea, edited by Wm.
Theodore de Bary and me (New York, 1985), pp. 243–260,
Eventually, he founded the Tosan Academy in his place of
261–282, and 223–242, respectively.
birth, which attracted numerous students through the gener-
ations. It was to this academy that he retired periodically in
New Sources
pursuit of scholarship. His alleged preference for the scholar-
Chung, Edward Y. J. The Korean Neo-Confucianism of Yi T’oegye
ly life influenced the attitudes of later scholars; indeed, the
and Yi Yulgok: A Reappraisal of the “Four-Seven Thesis” and
Its Practical Implications for Self-Cultivation. Albany, 1995.
majority of the scholars of the Yo˘ngnam school (School of
Principle) remained private scholars. This of course reflected
Kalton, Michael C., trans. The Ten Diagrams on Sage Learning by
political realities such as violent factionalism and fierce com-
Yi T’oegye. New York, 1988.
petition for office. But these scholars also preserved a certain
Lee, Kwang-Sae. “Yi T’oegye [1501–1570].” In Great Thinkers of
pride in their independence from the state and in their exclu-
the Eastern World: The Major Thinkers and the Philosophical
sive devotion to scholarship. They believed they were true
and Religious Classics of China, India, Japan, Korea, and the
heirs of T’oegye not only in their scholarship but also in their
World of Islam, edited by Ian P. McGreal, pp. 413–417.
New York.
mode of life.
T’oegye based his philosophy largely on that of Zhu Xi.
JAHYUN KIM HABOUSH (1987)
Revised Bibliography
He endorsed Zhu Xi’s dual theory of li (Kor., i; “principle”)
and qi (Kor., ki; “material force”), but labored over the ques-
tion of whether Zhu Xi’s priority of principle over material
force referred to a valuative or existential priority. He con-
YI YULGOK pen name of Yi I (1536–1584), Korean
cluded that the priority of principle obtained in the realm
Neo-Confucian thinker whose stature in the tradition is
of values. His belief in the superiority of principle, which he
equalled only by that of Yi T’oegye. Yulgok is credited with
identified with original nature and the moral mind, defined
having established the Kiho (“material force”) school in
his position on the sadan (Chin., ssu-tuan; “four beginnings”)
Korea. Born in Kangnu˘ng in Kangwon Province in western
and the ch’ilchong (Chin., qi-qing; “seven emotions”) in the
central Korea, not far from the capital, Yulgok began his
famous debate with Ki Taesung (1527–1572). Here,
studies with his mother, Sin Saimdang, a well-known poet
T’oegye argued for their separate origins, proposing that the
and painter. Her death when he was sixteen seems to have
Four Beginnings were initiated by principle and the Seven
brought about a profound personal crisis. After three years
Emotions by material force. In order to maintain this posi-
of mourning, Yulgok retreated into a Buddhist mountain
tion, however, T’oegye saw principle as having a generative
temple intending to become a monk. Although he changed
power of its own. This position became a focus of the schol-
his mind after a year of studying the Buddhist scriptures, his
arship of the Yo˘ngnam school.
resulting familiarity with Buddhism supposedly influenced
A perhaps more meaningful aspect of his scholarship is
his scholarship. In 1564 he placed first in both the prelimi-
his position on moral cultivation. Dismissing Wang Yang-
nary and final civil service examinations and thus acquired
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YOGA
9893
the nickname Lord First Candidate of the Nine Examina-
the Four Beginnings are the Seven Emotions themselves
tions. His ensuing reputation as a brilliant scholar and a
manifested as good. This was a clear departure from the idea
quick study led to his meteoric rise in the bureaucracy. He
that principle and material force were the sources, respective-
served in numerous offices in both metropolitan and provin-
ly, of good and evil. The scholars of the Kiho school contin-
cial government. In 1568 Yulgok traveled to China on an
ued to develop the primacy of material force, posing a schol-
ambassadorial mission. His official posts included appoint-
arly as well as political alternative to the Yongnam school of
ments as minister of military affairs, minister of public
Yi T’oegye.
works, and minister of personnel, in which post he died at
the age of forty-nine. He enjoyed a close relationship with
SEE ALSO Confucianism in Korea; Yi T’oegye.
King So˘njo (r. 1567–1608), whom he served as a royal tutor.
BIBLIOGRAPHY
As was typical of Yi dynasty officials, Yulgok’s illustrious
Works by Yi Yulgok are collected in Yulgok chonso, 2 vols. (Seoul,
public career was interrupted by short periods of retirement
1961). A comprehensive study is Kim Kyongt’ak’s Yulgok ui
either for personal reasons or because of an unfavorable polit-
yon’gu (Seoul, 1960). Articles discussing his philosophy and
ical climate at court. Nevertheless, he is regarded as repre-
activities are Julia Ching’s “Yi Yulgok on the ‘Four Begin-
senting the activist tradition of Confucian scholar-
nings and Seven Emotions’ ” and Sakai Tadao’s “Yi Yulgok
statesmanship. In this respect, Yulgok is viewed as the oppo-
and the Community Compact,” both in The Rise of Neo-
site of T’oegye, his scholarly rival, who is known for his
Confucianism in Korea, edited by Wm. Theodore de Bary
and me (New York, 1985), pp. 303–322 and 323–348, re-
preference for private life. This reputation seems to be based
spectively.
on Yulgok’s wide range of interests and concerns. Unlike
T’oegye, whose scholarship was confined mainly to philo-
New Sources
sophical issues, Yulgok was keenly interested in the practical
Chung, Edward Y. J. The Korean Neo-Confucianism of Yi T’oegye
and Yi Yulgok: A Reappraisal of the “Four-Seven Thesis” and
aspect of government. He wrote copiously on such matters
Its Practical Implications for Self-Cultivation. Albany, 1995.
as fiscal reform, the problems of resettlement of landless
peasants, military organization and finance, questions of dis-
JAHYUN KIM HABOUSH (1987)
seminating Confucian mores to the populace, the relation-
Revised Bibliography
ship of the monarch and the bureaucracy and their respective
roles, potential frictions within the bureaucracy, and the reg-
ulation and curricula of private academies. His proposal for
YOGA. Etymologically, the Sanskrit word yoga derives
a strong army of one hundred thousand, although unheeded,
from the root yuj, meaning “to bind together,” “hold fast,”
is often cited as prophetic in view of the disastrous Japanese
or “yoke,” which also governs the Latin iungere and iugum,
invasions of the 1590s. He is said even to have written a me-
the French joug, and so on. In Indian religion the term yoga
morial on his deathbed emphasizing the need for more effec-
serves, in general, to designate any ascetic technique and any
tive government policies. His successors, the scholars of the
method of meditation. The “classical” form of yoga is a
Kiho school, inherited this activist tradition, and perhaps it
dar´sana (“view, doctrine”; usually, although improperly,
is not purely coincidental that they maintained power
translated as “system of philosophy”) expounded by Patañjali
throughout the Yi dynasty.
in his Yoga Su¯tra, and it is from this “system” that this article
While Yulgok remained within Cheng-Zhu orthodoxy
must set out if the reader is to understand the position of
(named for the Chinese thinkers Cheng I and Zhu Xi) he
yoga in the history of Indian thought. But side by side with
rejected the dual theory of i (Chin., li; “principle”) and ki
classical Yoga there are countless forms of sectarian, popular
(Chin., qi; “material force”) held by Zhu Xi and T’oegye.
(magical), and non-Brahmanic yogas such as Buddhist and
While he accepted a conceptual distinction between the two,
Jain forms.
he maintained that they were inseparable in both function
Patañjali is not the creator of the Yoga dar´sana. As he
and manifestation. Rather than seeing principle as one, un-
himself admits, he has merely edited and integrated the doc-
changing and immanent in all things, he saw the principle
trinal and technical traditions of yoga (Yoga Su¯tra 1.1). In-
in each thing as distinct, conditioned by its material force
deed, yogic practices were known in the esoteric circles of In-
and thus always changing. His belief in the primacy of mate-
dian ascetics and mystics long before Patañjali. Among these
rial force as the determinant of an entity led to a correspond-
practices Patañjali retained those that the experiences of cen-
ing theory of the sadan (Chin., situan; “four beginnings”)
turies had sufficiently tested. As to the theoretical framework
and the ch’ilcho˘ng (Chin., qi-qing; “seven emotions”). Taking
and the metaphysical foundation that Patañjali provides for
issue with T’oegye’s position that the Four Beginnings and
such techniques, his personal contribution is of the smallest.
the Seven Emotions had separate origins, Yulgok insisted
He merely rehandles the Sa¯m:khya philosophy in its broad
that they are both manifestations of material force that con-
outlines, adapting it to a rather superficial theism and exalt-
tain principle. Moreover, he held that the Four are “good”
ing the practical value of meditation. The Yoga and Sa¯m:khya
manifestations of material force. The difference between the
dar´sanas are so much alike that most of the assertions made
Four and the Seven lies in how they are manifested, that is,
by the one are valid for the other. The essential differences
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9894
YOGA
between them are two: (1) Whereas Sa¯m:khya is atheistic,
and become insensible to any other sensory or mnemonic
Yoga is theistic, since it postulates the existence of a “Lord”
stimulus. It goes without saying that eka¯grata¯ can be ob-
(¯I´svara); (2) Whereas according to Sa¯m:khya the only path
tained only through the practice of numerous exercises and
to final deliverance is that of metaphysical knowledge, Yoga
techniques. One cannot obtain eka¯grata¯ if, for example, the
accords marked importance to techniques of purification and
body is in a tiring or even uncomfortable posture, or if the
meditation.
respiration is disorganized, unrhythmical. This is why yogic
technique implies several categories of physiological practices
Thanks to Patañjali, Yoga, which had been an archaic
and spiritual exercises, called an˙gas, “members,” or elements.
ascetic and mystical tradition, became an organized “system
The eight “members” of classical Yoga can be regarded both
of philosophy.” Nothing is known of the author of the Yoga
as forming a group of techniques and as being stages of the
Su¯tra, not even whether he lived in the second or third centu-
ascetic and spiritual itinerary whose end is final liberation.
ry BCE or in the fifth century CE, although claims to both dat-
They are (1) restraints (yama), (2) disciplines (niyama), (3)
ings have been vigorously defended. The earliest commen-
bodily attitudes and postures (a¯sana), (4) rhythm of respira-
tary known is the Yogabha¯s:ya of Vya¯sa (seventh to eighth
tion (pra¯n:a¯ya¯ma), (5) emancipation of sensory activity from
century CE), annotated by Va¯caspatimi´sra (ninth century) in
the domination of exterior objects (pratya¯ha¯ra), (6) concen-
his Tattvavai´sa¯rad¯ı. These two works, indispensable for un-
tration (dha¯ran:a¯), (7) yogic meditation (dhya¯na), and (8) en-
derstanding the Yoga Su¯tra, are complemented by two works
stasis (sama¯dhi;Yoga Su¯tra 2.29).
of later centuries. At the beginning of the eleventh century
King Bhoja wrote the commentary Ra¯jama¯rtan:d:a, which is
In addition to this classical Yoga comprising eight an˙gas,
very useful for its insights into certain yogic practices, and
there exist a number of s:ad:an˙gayogas, that is, yogic regimens
in the sixteenth century Vijña¯nabhiks:u annotated Vya¯sa’s
having only six members. Their main characteristic is the ab-
text in his remarkable treatise the Yogava¯rttika.
sence of the three first an˙gas (yama, niyama, a¯sana) and the
introduction of a new “member,” tarka (“reason, logic”). At-
IGNORANCE AND SUFFERING. “All is suffering for the sage,”
tested already in the Maitra¯yani Upanis:ad (second century
writes Patañjali (Yoga Su¯tra 2.15), repeating a leitmotif of all
BCE-second century CE), the s:ad:an˙gayoga appears especially
post-Upans:adic Indian speculation. The discovery of pain as
in certain sects of Hinduism and in the Buddhist Tantras
the law of existence has a positive, stimulating value. It per-
(Grönbold, 1969, 1983).
petually reminds the sage and the ascetic that the only way
to attain freedom and bliss is withdrawal from the world,
RESTRAINTS AND DISCIPLINES. The first two groups of prac-
radical isolation. To liberate the self from suffering is the goal
tices, yama and niyama, constitute the inevitable prelimina-
of all Indian philosophies and magico-mystical techniques.
ries for any asceticism. There are five “restraints,” namely,
In India, metaphysical knowledge always has a soteriological
ahim:sa¯ (restraint from violence), satya (restraint from false-
purpose, for it is by knowledge of ultimate reality that hu-
hood), asteya (restraint from stealing), brahmacarya (restraint
manity, casting off the illusions of the world of phenomena,
from sexual activity), and aparigraha (restraint from avarice).
awakens and discovers the true nature of spirit (a¯tman,
These restraints do not bring about a specifically yogic state
purus:a). For Sa¯m:khya and Yoga, suffering has its origin in
but induce in the adept a purified state superior to that of
ignorance of spirit, that is, in confusing spirit with psycho-
the uninitiated. In conjunction with the yamas, the yogin
mental states, which are the most refined products of nature
must practice the niyama, that is, a series of bodily and psy-
(prakr:ti). Consequently, liberation, absolute freedom, can be
chic disciplines. “Cleanliness, serenity, asceticism [tapas],
obtained only if this confusion is abolished. As the structure
study of Yoga metaphysics, and an effort to make ¯I´svara
and unfolding of nature and the paradoxical mode of being
[God] the motive of all his actions constitute the disciplines,”
of the self (purus:a) are discussed elsewhere, here only the
writes Patañjali (Yoga Su¯tra 2.32). Obviously, difficulties and
yogic practices themselves will be examined.
obstacles arise during these exercises, most of them produced
by the subconscious. The perplexity arising from doubt is the
The point of departure of yogic meditation is concen-
most dangerous. To overcome it, Patañjali recommends im-
tration on a single object: a physical object (the space be-
planting the contrary thought (Yoga Su¯tra 2.33). To van-
tween the eyebrows, the tip of the nose, something lumi-
quish a temptation is to realize a genuine, positive gain. Not
nous, etc.), a thought (a metaphysical truth), or God
only does the yogin succeed in dominating the objects that
(¯I´svara). This determined and continuous concentration,
he or she had renounced, but also obtains a magic force infi-
called eka¯grata¯ (“on a single point”), is obtained by integrat-
nitely more precious than all these objects. For example, he
ing the psychomental flux, sarva¯rthata¯ (“variously directed,
who successfully practices asteya “sees all jewels coming near
discontinued, diffused attention”; Yoga Su¯tra 3.11). This is
to him” (Yoga Su¯tra 2.37).
the precise definition of yogic technique, and is called
cittavr:tti-nirodha, “the suppression of psychomental states”
A¯SANA AND PRA¯N:A¯YA¯MA. The specifically yogic techniques
(Yoga Su¯tra 1.2). The practice of eka¯grata¯ tends to control
begin with a¯sana, the well-known bodily posture of the Indi-
the two generators of psychomental life: sense activity (indri-
an ascetics. A¯sana gives a rigid stability to the body while at
ya) and the activity of the unconscious (sam:ska¯ra). A yogin
the same time reducing physical effort to a minimum and
is able to concentrate his or her attention on a single point
finally eliminating it altogether. A¯sana is the first concrete
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YOGA
9895
step taken with a view to abolishing the modalities peculiar
begins by holding his or her breath for sixteen and a half sec-
to the human condition. On the bodily plane, a¯sana is an
onds, then for thirty-three seconds, then for fifty seconds,
eka¯grata¯; the body is “concentrated” in a single position.
three minutes, five minutes, and so on. (Similar respiratory
Thus, one arrives at a certain neutralization of the senses;
technique were familiar to the Daoists, to Christian hesy-
consciousness is no longer troubled by the presence of the
chasts, and to the Muslim contemplatives; see Eliade, 1969,
body. Furthermore, a tendency toward “unification” and
pp. 59–65).
“totalization” is typical of all yogic practices. Their goal is the
Y
transcendence (or the abolition) of the human condition, re-
OGIC CONCENTRATION AND MEDITATION. Making respi-
ration rhythmical and, as far as possible, suspending it greatly
sulting from the refusal to obey one’s natural inclinations.
promotes concentration (dha¯ran:a¯; Yoga Su¯tra 2.52–53). The
The most important—and certainly the most specifical-
yogin can test the quality of his concentration by pratya¯ha¯ra,
ly yogic—of these various “refusals” is the disciplining of res-
a term usually translated as “withdrawal of the senses” or “ab-
piration (pra¯n:a¯ya¯ma), the refusal to breathe like the majority
straction” but more acurately rendered as the “ability to free
of humankind, that is, unrhythmically. Patañjali defines this
sense activity from the domination of external objects.” Ac-
refusal as follows: “Pra¯n:a¯ya¯ma is the arrest [viccheda] of the
cording to the Yoga Su¯tra (2.54) and its commentators, the
movements of inhalation and exhalation and it is obtained
senses, instead of directing themselves toward an object,
after a¯sana has been realized” (Yoga Su¯tra 2.49). He speaks
“abide within themselves” (Bhoja, on Yoga Su¯tra 2.54).
of the “arrest,” the suspension, of respiration; however,
When the intellect (citta) wishes to know an exterior object,
pra¯n:a¯ya¯ma begins with making the respiratory rhythm as
it does not make use of sensory activity; it is able to know
slow as possible; and this is its first objective.
the object by its own powers. Being obtained directly, by
A remark in Bhoja’s commentary (on Yoga Su¯tra 1.34)
contemplation, this knowledge is, from the yogic point of
reveals the deeper meaning of pra¯n:a¯ya¯ma: “All the functions
view, more effective than normal knowledge. “Then the wis-
of the organs being preceded by that of respiration—there
dom [prajña¯] of the yogin knows all things as they are”
being always a connection between respiration and concious-
(Vya¯sa, on Yoga Su¯tra 2.45). Thenceforth, the yogin will no
ness in their respective functions—respiration, when all the
longer be distracted or troubled by the activity of the senses,
functions of the organs are suspended, realizes concentration
by the subconscious, and by the “thirst of life”; all activity
of consciousness on a single object.” The special relation of
is suspended. But this autonomy of the intellect does not re-
the rhythm of respiration to particular states of conscious-
sult in the suppression of phenomena. Instead of knowing
ness, which has undoubtedly been observed and experienced
through forms (ru¯pa) and mental states (cittavr:tti) as former-
by yogins from the earliest times, has served them as an in-
ly, the yogin now contemplates the essence (tattva) of all ob-
strument for “unifying” consciousness. By making respira-
jects directly.
tion rhythmical and progressively slower the yogin can pene-
Such autonomy allows the yogin to practice a threefold
trate—that is experience in perfect lucidity—certain states of
technique that the texts call sam:yama. The term designates
consciousness that are inaccessible in a waking condition,
the last three “members” of yoga (yoga¯n˙ga), namely concen-
particularly the states of consciousness that are peculiar to
tration (dha¯ran:a¯), yogic meditation (dhyana), and stasis
sleep.
(sama¯dhi). They do not imply new physiological practices.
Indian psychology recognizes four modalities of con-
Dha¯ran:a¯, from the root dhr:, meaning “to hold fast,” is in fact
sciousness (besides enstasis): diurnal consciousness, con-
an eka¯grata¯, undertaken for the purpose of comprehension.
sciousness in sleep with dreams, consciousness in sleep with-
Patañjali’s definition of dha¯ran:a¯ is “fixation of the thought
out dreams, and “cataleptic consciousness.” Through
on a single point” (Yoga Su¯tra 3.1). According to some au-
pra¯n:a¯ya¯ma, that is, by increasingly prolonging inhalation
thors (cf. Eliade, 1969, pp. 66–68), a dha¯ran:a¯ takes the time
and exhalation (since the purpose of this practice is to allow
of twelve pra¯n:a¯ya¯mas (i. e., twelve controlled, equal, and de-
as long an interval as possible to elapse between the two
layed respirations). By prolonging this concentration on an
phases of respiration) the yogin can experience all the modal-
object twelve times, one obtains yogic meditation, dhyana.
ities of consciousness. For the uninitiated, there is a disconti-
Patañjali defines dhyana as “a current of unified thought”
nuity between these several modalities; one passes from the
(Yoga Su¯tra 3.2) and Vya¯sa adds the following gloss to the
state of waking to the state of sleeping unconsciously. The
definition: “continuum of mental effort to assimilate the ob-
yogin must preserve continuity of consciousness; that is, he
ject of meditation, free from any other effort to assimilate
must penetrate each of these states with determination and
other objects.” It is unnecessary to add that this yogic medi-
awareness.
tation is absolutely different from any secular meditation.
But the immediate goal of pra¯n:a¯ya¯ma is more modest;
SAMA¯DHI AND THE LORD OF THE YOGINS. Yogic enstasis,
it induces the respiratory rhythm by harmonizing the three
sama¯dhi, is the final result and crown of all the ascetic’s spiri-
“moments” of breathing: inhalation (pu¯raka), retention
tual efforts and exercises. The term is first employed in a
(kumbhaka), and exhalation (recaka) of the inhaled air. These
gnoseological sense: Sama¯dhi is the state in which thought
three moments must each fill an equal space of time. Practice
grasps the object directly. Thus, there is a real coincidence
enables the yogin to prolong them considerably. The yogin
between knowledge of the object and the object of knowl-
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9896
YOGA
edge. This kind of knowledge constitutes an enstatic modali-
(na¯bhicakra) produces knowledge of the system of the body
ty of being that is peculiar to yoga. Patañjali and his com-
(3.28), on the heart, knowledge of the mind (3.33), and so
mentators distinguish several sorts, or stages, of sama¯dhi.
forth. “Whatever the yogin desires to know, he should per-
When it is obtained with the help of an object or idea (that
form sam:yama in respect to that object,” writes
is, by fixing one’s thought on a point in space or on an idea),
Va¯caspatimi´sra (on Yoga Su¯tra 3.30). According to Patañjali
it is called samprajña¯ta sama¯dhi, “enstasis with support.”
and the whole tradition of classical Yoga, the yogin uses the
When, on the other hand, sama¯dhi is obtained apart from
innumerable siddhis in order to attain the supreme freedom,
any relation to externals, when it is simply a full comprehen-
asamprajña¯ta sama¯dhi, not in order to obtain a mastery over
sion of being, it is asamprajña¯ta sama¯dhi, “undifferentiated
the elements (Yoga Su¯tra 3.37). A similar doctrine is found
stasis.”
in Buddhism (Eliade, 1969, pp. 177–180; Pensa, 1969,
pp. 23–24).
Because it is perfectible and does not realize an absolute
and irreducible state, the “differentiated enstasis”
Through the illumination (prajña¯) spontaneously ob-
(samprajña¯ta sama¯dhi) comprises four stages, called b¯ıja
tained when reaching the last stage of his or her itinerary, the
sama¯dhi (“sama¯dhi with seed”) or sa¯lambana sama¯dhi
yogin realizes “absolute isolation” (kaivalya), that is, libera-
(“sama¯dhi with support”). By accomplishing these four
tion of the self (purus:a) from the dominance of nature
stages, one after the other, one obtains the “faculty of abso-
(prakr:ti). But this mode of being of the spirit is not an “abso-
lute knowledge” (r:tambhara¯prajña¯). This is in itself an open-
lute emptiness”; it constitutes a paradoxical, because uncon-
ing toward sama¯dhi “without seed,” pure sama¯dhi, for abso-
ditioned, state. Indeed, the intellect (buddhi), having accom-
lute knowledge discovers the state of ontological plenitude
plished its mission, withdraws, detaching itself from the
in which being and knowing are no longer separated. Ac-
purus:a and returning into prakr:ti. The self remains free, au-
cording to Vijña¯nabhiks:u, asamprajña¯ta sama¯dhi destroys
tonomous; that is, the yogin attains deliverance. Like a dead
the “impressions [sam:ska¯ra] of all antecedent mental func-
person, the yogin has no more real relation with life, but is
tions” and even succeeds in arresting the karmic forces al-
a j¯ıvanmukta, one “liberated in life.” The yogin no longer
ready set in motion by the yogin’s past activities (Eliade,
lives in time and under the domination of time, but in an
1969, p. 84).
eternal present.
Fixed in sama¯dhi, consciousness (citta) can now have di-
To recapitulate, the method recommended by the clas-
rect revelation of the self (purus:a). For the devotional yogins,
sical form of Yoga comprises a number of different tech-
it is at this stage that the revelation of the Supreme Self,
niques (physiological, mental, mystical) that gradually de-
¯
I´svara, the Lord, takes place. Unlike Sa¯m:khya, Yoga affirms
tach the yogin from the processes of life and the rules of
the existence of a God, ¯I´svara. He is not a creator god, for
social behavior. The worldly person lives in society, marries,
the cosmos, life, and humanity proceed from the primordial
establishes a family; Yoga prescribes solitude and chastity. In
substance, prakr:ti. But in the case of certain persons (i. e.,
opposition to continual movement, the yogin practiced
the yogins), ¯I´svara can hasten the process of deliverance.
a¯sana; in opposition to agitated, unrhythmical, uncontrolled
¯
I´svara is a self (purus:a) that has been eternally free. Patañjali
respiration, the yogin practices pra¯n:a¯ya¯ma; to the chaotic
says that the ¯I´svara has been the guru of the sages of imme-
flux of psychomental life, the yogin replies by “fixing
morial times (Yoga Su¯tra 1.26) and that he can bring about
thought on a single point”; and so on. The goal of all these
sama¯dhi on condition that the yogin practice
practices always remains the same—to react against normal,
¯ı´svarapran:idha¯na, that is, devotion to ¯I´svara (Yoga Su¯tra
secular, and even human inclinations. The final result is a
2.45). But it has been seen that sama¯dhi can be obtained
grandiose, although paradoxical, mode of being.
without such mystical exercises. In the classical Yoga of Pa-
Asamprajña¯ta sama¯dhi realizes the “knowledge-possession” of
tañjali, ¯I´svara plays a rather minor role. It is only with the
the autonomous Self (purus:a); that is, it offers deliverance,
later commentators, such as Vijña¯nabhiks:u and Nilakan:t:ha,
freedom, and, more specifically, the consciousness of abso-
that ¯I´svara gains the importance of a true God.
lute freedom.
THE YOGIC POWERS; DELIVERANCE. By practicing
SEE ALSO Cakras; ¯I´svara; J¯ıvanmukti; Patañjali the Gram-
sam:yama—that is, by means of concentration, meditation,
marian; Purus:a; Sa¯m:khya.
and the realization of sama¯dhi—the yogin acquires the “mi-
raculous powers” (siddhis) to which book 3 of the Yoga Su¯tra,
B
beginning with su¯tra 16, is devoted. The majority of these
IBLIOGRAPHY
powers are related to different kinds of supranormal or mys-
Patañjali’s Yoga Su¯tra, with the commentary (Yogabha¯s:ya or
Yogasu¯tra-bhas:ya) of Vya¯sa and the gloss (Tattvavai´sa¯rad¯ı) of
tical knowledge. Thus, by practicing sam:yama in regard to
Va¯caspatimi´sra have been translated into English by James
his or her own subconscious residues (sam:ska¯ra), the yogins
H. Woods as The Yoga System of Patañjali, 3d ed. (Dehli,
come to know their previous existences (Yoga Su¯tra 3.105).
1966), and by Ra¯ma Prasa¯da as Patanjali’s Yoga Sutras (Al-
Through sam:yama exercised in respect to “notions” (pra-
lahabad, 1910). A listing of editions and translations of
tyaya), the yogin knows the mental states of other people
other, later commentaries can be found on page 372 of my
(3.19). Sam:yama practiced on the umbilical plexus
Yoga: Immortality and Freedom, 2d aug. ed. (Princeton,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YOGA¯CA¯RA
9897
N. J., 1969), which also includes bibliographies on pages
Yoga: Discipline of Freedom: The Yoga Sutra attributed to Patanjali.
372, 437–480, and 533–555.
Translated by Barbara Stoler Miller. Berkeley, 1996.
On the Yoga Upanis:ads, see Yoga Upanis:ads with the Commentary
Yoga: The Indian Tradition. Edited by Ian Whicher and David
of Sr¯ı Upanis:ad-Brahma-Yogin, translated and edited by
Carpenter. London; New York, 2003.
Alla¯di Maha¯deva Sa¯str¯ı (Madras, 1920). Among the differ-
The Yogasastra of Hemacandra: A Twelfth Century Handbook of
ent works on Yoga, written from different perspectives, one
Svetambara Jainism. Translated by Olle Quarnström. Cam-
may cite Richard Garbe’s Sa¯m:khya und Yoga (Strasbourg,
bridge, Mass., 2002.
1896); Surendranath Dasgupta’s Yoga as Philosophy and Reli-
gion (1924; reprint, Calcutta, 1973) and Yoga Philosophy in
MIRCEA ELIADE (1987)
Relation to Other Systems of Thought (1930; reprint, Delhi,
Revised Bibliography
1974); Hermann Jacobi’s “Über das ursprüngliche Yo-
gasystem,” Sitzungsberichte der preussischen Akademie der
Wissenschaften 26 (1929): 581–627; Sigurd Lindquist’s Die
YOGA¯CA¯RA.
Methoden des Yoga (Lund, 1932) and Siddhi und Abhiñña¯:
The Yoga¯ca¯ra school is, with the
Eine Studie über die klassischen Wunder des Yoga (Uppsala,
Ma¯dhyamika, one of the two main traditions of Indian Bud-
1935); Heinrich Zimmer’s Kunstform und Yoga im indischen
dhism. As the name indicates (yoga¯ca¯ra means “one whose
Kultbild (Berlin, 1926); J. W. Hauer’s Der Yoga, als Heilweg:
practice is yoga”), this school attaches importance to the reli-
Nach den indischen Quellen dargestellt, 2d. ed. (Stuttgart,
gious practice of yoga as a means for attaining final emanci-
1958); Jean Varenne’s Yoga and the Hindu Tradition, trans-
pation from the bondage of the phenomenal world. The
lated by Derek Coltman (Chicago 1976); and Georg Feuer-
stages of yoga are systematically set forth in the treatises asso-
stein’s The Philosophy of Classical Yoga (Manchester, 1980).
ciated with this tradition. The particular doctrinal stance of
On ¯I´svara, see my Yoga, 2d aug. ed. (Princeton, N. J., 1969),
the school is suggested by its alternate name, Vijña¯nava¯da,
pp. 68ff., and especially Jan Gonda’s “The ¯I´svara Idea,” in
or the “doctrine” (va¯da) that all phenomenal existence is fab-
Change and Continuity in Indian Religion (The Hague,
ricated by “consciousness” (vijña¯na).
1965), pp. 131–163.
On different types of yogic meditation, the best work is Strukturen
In concert with those who uphold the doctrine of “void-
yogische Meditation by Gerhard Oberhammer (Vienna,
ness” (´su¯nyata¯), the Vijña¯nava¯dins maintain that phenome-
1977). See also A. Janácek’s “The ‘Voluntaristic’ Type of
nal existences are devoid of intrinsic nature, but unlike the
Yoga in Patañjali’s Yoga-Su¯tras,” Archiv Orientálni 22
Ma¯dhyamika, they admit the reality of the consciousness by
(1954): 69–87, and Corrado Pensa’s “On the Purification
which phenomenal existences, subjective as well as objective,
Concept in Indian Tradition, with Special Regard to Yoga,”
are fabricated. This consciousness, however, is not deemed
East and West, n. s. 19 (1969): 1–35. On the recent scientific
to exist in the ultimate sense. It subsists for but a moment
observations in regard to the physiological and psychological
and is replaced by the consciousness in the next moment. It
aspects of yogic technique, see Thérèse Brosse’s Études instru-
has no substantiality and its origination is dependent on the
mentales des techniques du Yoga: Expérimentation psychosoma-
consciousness of the preceding instant. To use the Yoga¯ca¯ra
tique (Paris, 1963).
terminology, consciousness is of dependent nature
On
s:ad:an˙gayoga, see Anton Zigmund-Cerbu’s “The
(paratantra-svabha¯va) and, as such, is not ultimately real.
S:ad:an˙gayoga,” History of Religions 3 (Summer 1963):
The Prajña¯pa¯ramita¯ Su¯tras teach the voidness, or the nonex-
128–134; S:adan:ga-yoga, edited by Günter Grönbold (Mu-
nich, 1969), an edition and German translation of
istence, of all entities. However, it is a fact of experience that
Gun:abharan:i-na¯ma-S:ad:an:gayogatippan¯ı of Ravi´sr¯ıjña¯na and
phenomenal existences appear as if they were real. By admit-
Grönbold’s “Materialen zur Geschichte des S:ad:an:ga-yoga,
ting the reality of the consciousness, the Yoga¯ca¯ra clarified
I–III,” Indo-Iranian Journal 25 (April 1983): 181–190
the foundation of our daily experience.
(also published in Zentralasiatische Studien 16, 1982,
According to the Sam:dhinirmocana Su¯tra, a Yoga¯ca¯ra
pp. 337–347), and “Der sechsgliedrige Yoga des
text, the Buddha set the “wheel of the doctrine” (dharma-
Ka¯lacakra-Tantra,” Asiatische Studien / Études asiatiques 37
(1938): 25–45.
cakra) in motion three times. On the first turning, the Bud-
dha taught the doctrine of the four noble truths (catva¯ry
My Yoga, cited above, includes discussion of the different forms
a¯ryasatya¯ni), the H¯ınaya¯na path culminating in arhatship; on
of yogic practices in Brahmanism, Hinduism, Buddhism,
and Tantrism (pp. 101–274, 384–414) and of the yoga of
the second, he taught the doctrine of universal voidness de-
the Jains (pp. 209–210, 404–405). On the yoga of the Jains,
signed to advance practitioners along the path to Buddha-
see also Robert H. B. William’s Jaina Yoga: A Survey of the
hood. But because the complete meaning of the Buddha’s
Medieval S´ra¯va¯ka¯caras (London, 1963).
teaching was not fully elucidated during these “turnings,” the
New Sources
Buddha set the wheel in motion a third time, with the inten-
Bajpai, R. S. The Splendours and Dimensions of Yoga. New Delhi,
tion of making explicit (n¯ıta¯rtha) what was only implicit
2002.
(neya¯rtha) in the su¯tras composed in earlier times.
Burley, Mikel. Hatha-Yoga: Its Context, Theory, and Practice.
FORMATIVE PERIOD. The Yoga¯ca¯ra philosophy was system-
Delhi, 2000.
atized by Asan˙ga and Vasubandhu, thinkers who lived in the
Coward, Harold G. Yoga and Psychology: Language, Memory, and
fourth or fifth century. However, some important Yoga¯ca¯ra
Mysticism. Albany, 2002.
works, namely, the Sam:dhinirmocana Su¯tra, the Yoga¯-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9898
YOGA¯CA¯RA
ca¯rabhu¯mi, and the treatises ascribed to Maitreya(na¯tha),
parts. The main part, which is called “Basic Text of the
predate them.
Stages,” treats the seventeen stages (bhu¯mi) to be successively
passed through by a follower of yoga practice. It begins with
The Sam:dhinirmocana Su¯tra’s major contribution to the
the stage of sense perceptions, proceeds through many stages
Yoga¯ca¯ra school is its formulation of the doctrine of the three
of meditation and other practices, reaches the stage of “disci-
“characteristics” (laks:an:a) of entities: the imaginary character
ples” (´sra¯vaka), then of “isolated Buddhas” (pratyekabudd-
(parikalpita-laks:an:a), the dependent character (paratantra-
ha), then of bodhisattvas, and ends with the stage of complete
laks:an:a), and the perfected character (parinis:panna-laks:an:a).
nirva¯n:a (nirupadhi´ses:a-nirva¯n:a, or “nirva¯n:a with no resi-
(All are explained in chapter 6.) The imaginary character is
due”), the ultimate goal.
the assignation of conventional names to things with respect
to their intrinsic nature (svabha¯va) and specific qualities
The Buddhist tradition in China attributes this work to
(vi´ses:a). The dependent character is the conditioned origina-
Maitreya, but in Tibet it is known as a work of Asan˙ga. Re-
tion (Prat¯ıtya-samutpa¯da) of things. The perfected character
garding the composition of a treatise dealing with seventeen
is the “thusness” (tathata¯) of things or the emptiness of in-
stages, Parama¯rtha’s Life of Vasubandhu (T.D. no. 2049) and
trinsic nature in things. These three characteristics are closely
Xuanzang’s Da Tang xiyu ji (T.D. no. 2087) provide the fol-
related to the “triple unreality” discussed in chapter 7. Since
lowing account. Asan˙ga often went up to the Tus:ita Heaven,
the characteristic features of things are established merely by
where he was taught the Maha¯ya¯na doctrines by the bodhi-
the act of assigning them conventional names, these features
sattva Maitreya. Complying with the request of Asan˙ga, who
are ultimately unreal. Thus, the imaginary character of things
wanted Maha¯ya¯na Buddhism to spread among the people,
is related to the unreality of their characteristic features
Maitreya came down to the continent of Jambudv¯ıpa and
(laks:an:a-nih:svabha¯vata¯). Since the origination of things is
gave a series of lectures on the seventeen stages. He lectured
dependent on causes and conditions, it is also not real. Thus
every night for four months; the next day Asan˙ga, for the
the dependent character is related to the unreality of origina-
sake of the other attendants, gave a full explanation of what
tion (utpatti-nih:svabha¯vata¯). The ultimate reality is mani-
the bodhisattva had taught. (Asan˙ga was the only attendant
fested through the thusness of things or the emptiness of in-
who had access to the bodhisattva; the others could merely
trinsic nature in things. Thus, the perfected character is
hear him from afar.) This account may explain why the Chi-
related to the unreality of intrinsic nature, which is the ulti-
nese and the Tibetan traditions differ on the authorship of
mate reality (parama¯rtha-nih:svabha¯vata¯).
the Yoga¯ca¯rabhu¯mi. Some scholars assume that Maitreya,
from whom Asan˙ga is said to have received instruction on
The doctrine of three characteristics and triple unreality
the Yoga¯ca¯ra doctrine, was a historical person; others, how-
expresses what the Buddha had in mind when, in the
ever, debate Maitreya’s historicity. Recent studies of the
Prajña¯pa¯ramita¯ Su¯tras, he taught that all entities are devoid
Yoga¯ca¯rabhu¯mi have proved that it was not the work of a sin-
of intrinsic nature. It is understood that the Prajña¯pa¯ramita¯
gle person; it is now supposed that the text was gradually en-
Su¯tras put forth a teaching, the meaning of which is inexplic-
larged by successive generations of Yoga¯ca¯ra scholars.
it and must be drawn out (neya¯rtha). The Sam:dhinirmocana
Su¯tra unfolds (nirmocana) the “intention” (sam:dhi) of the
The Yoga¯ca¯rabhu¯mi enumerates, classifies, and explains
Buddha that was hidden in the doctrine of voidness. This
all elements that relate to the practice of each of the seven-
purpose is brought to full expression through the doctrine
teen stages in the same manner as that of Abhidharma trea-
of triple unreality. Thus, this su¯tra is of explicit meaning
tises. The doctrine of a¯laya-vijña¯na is found in the first two
(n¯ıta¯rtha).
chapters of the “Basic Text” and in some sections of the
“Compendium of Ascertainment” (an auxiliary division),
Chapter 5 of the Sam:dhinirmocana Su¯tra presents the
while the doctrine of the three characteristics of entities is
concept of a¯laya-vijña¯na (“storehouse consciousness”),
mentioned only in the latter division. The chapter dealing
which is characteristic of the Yoga¯ca¯ra teachings. It describes
with the “stage of bodhisattvas” (bodhisattvabhu¯mi) is devot-
this consciousness as possessing “all the seeds” (sarvab¯ıjaka)
ed to the detailed analysis of the religious practices of bodhi-
from which future phenomenal existences will grow. The
sattvas, systematically explaining the matters with which
storehouse consciousness is attached to the sense faculties
their practices are concerned, the ways that their practices are
and to the impressions of “differentiations” (prapañca) left
to be conducted, and the results to be attained by the prac-
by the conventional usages regarding phenomenal existences
tices. It is known that this chapter once existed as an inde-
and is called “attachment consciousness” (a¯da¯na-vijña¯na).
pendent text.
Chapter 9 gives a detailed explanation of the practices of
tranquilization (´samatha) and contemplation (vipa´syana¯)
In the Tibetan Buddhist tradition the following five
through which a practitioner acquires the ability to concen-
works are ascribed to Maitreya(na¯tha): Maha¯ya¯nasu¯-
trate his mind on certain ideas and to visualize and efface
tra¯lam:ka¯ra, Madhya¯ntavibha¯ga, Dharmadharmata¯vibhan˙ga,
them at will. This practice forms the basis of the Yoga¯ca¯ra
Ratnagotravibha¯ga, and Abhisamaya¯lam:ka¯ra. The last two are
view that there is no external object.
not considered Yoga¯ca¯ra works.
The Yoga¯ca¯rabhu¯mi (Stages of the follower of yoga prac-
The Maha¯ya¯nasu¯tra¯lam:ka¯ra (Ornament of Maha¯ya¯na
tice) is a voluminous, comprehensive work comprising five
Su¯tras), which presents a systematic exposition of the prac-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YOGA¯CA¯RA
9899
tices of bodhisattvas, consists of about 800 verses and is divid-
truths (ultimate and conventional), and so on, are elucidated
ed into 21 chapters. According to the Tibetan tradition, the
in terms of the three natures. The stages of yogic practice
verse text was written by Maitreyana¯tha and the prose com-
(yogabhu¯mi) through which a practitioner is led to the “trans-
mentary by Vasubandhu; the Chinese tradition assigns both
formation of the basis of his existence” (a¯´sraya-para¯vr:tti) and
to Asan˙ga. This treatise has the same structure as the chapter
attains the ultimate reality, are explained systematically in
in the Yoga¯ca¯rabhu¯mi dealing with the stage of bodhisattvas
chapter 11 of the Maha¯ya¯nasu¯tra¯lam:ka¯ra.
(bodhisattvabhu¯mi). The subject matter of chief concern to
PERIOD OF SYSTEMATIZATION. Asan˙ga and Vasubandhu are
bodhisattvas—ultimate reality—is expounded in chapter 6,
the most prominent figures in the history of the Yoga¯ca¯ra
and the state of having attained the ultimate reality—
school. Asan˙ga first belonged to the Mah¯ı´sa¯saka school of
enlightenment (bodhi)—is elucidated in chapter 9. The the-
H¯ınaya¯na Buddhism, but later, under the influence of the
oretical basis of the practices of bodhisattvas is given in chap-
bodhisattva Maitreya, he became an advocate of the
ter 11. The Madhya¯ntavibha¯ga (Discrimination of the mid-
Maha¯ya¯na. His treatises combine Abhidharmic analysis of
dle and the extremes), which gives the Yoga¯ca¯ra
the elements constituting phenomenal existences with
interpretation of the doctrine of voidness (´su¯nyata¯), consists
Maha¯ya¯na ideas. He composed, among others, the
of about 110 verses and is divided into 5 chapters. Both the
Maha¯ya¯nasam:graha (Compendium of the Maha¯ya¯na), a
Chinese and the Tibetan traditions ascribe the verse text to
comprehensive work on Yoga¯ca¯ra doctrines and practices. In
Maitreya and the prose commentary to Vasubandhu. This
the first two chapters of this work he gives a full treatment
treatise places voidness in the middle (madhya) of the two
of the doctrines of a¯laya-vijña¯na and of the three natures
extremes (anta), that is, existence and nonexistence. The
(trisvabha¯va) of entities, thus laying the firm foundation of
Dharmadharmata¯vibhan˙ga (Discrimination of phenomenal
the philosophical system of the Yoga¯ca¯ra school.
existence and ultimate reality), a short treatise written in con-
cise su¯tra style, is commented upon by Vasubandhu. It was
According to Parama¯rtha’s Life of Vasubandhu, Vasu-
not transmitted to China. It shows that phenomenal exis-
bandhu was a younger brother of Asan˙ga. He wrote two
tences, which are characterized by the duality of subject and
Yoga¯ca¯ra treatises: the Vim:´satika¯ (Treatise of twenty verses)
object or of denoter and denoted, are in reality modifications
and the Trim:´sika¯ (Treatise of thirty verses). The Vim:´satika¯
of a conscious principle called “unreal imagination”
repudiates the realist view that the image of an object in the
(abhu¯ta-parikalpa). Through the cognition of the true nature
consciousness has a corresponding reality in the external
of phenomenal existences, the ultimate reality—the “thus-
world and demonstrates that the image of an object appears
ness” (tathata¯) that is free from the duality—is realized.
in the consciousness as the result of a particular change
(parin:a¯ma-vi´ses:a) that occurs in the stream of the successive
These works, attributed to Maitreya, describe the ulti-
moments (sam:tati) of consciousness. The Trim:´sika¯ presents
mate reality with such positive terms as “sphere of religion”
a lucid, concise exposition of Yoga¯ca¯ra dogmatics. The first
(dharmadha¯tu), instead of characterizing it merely as “void”
half of this treatise analyzes the structure and the function
or “empty” (´su¯nya). Like space, ultimate reality is all-
of consciousness; the second elucidates the three-nature doc-
pervasive, and there is no phenomenal existence independent
trine and the stages of practice. Regarded as the standard
of it. It is also called the “essence of phenomenal existences”
textbook of the Yoga¯ca¯ra school, the Trim:´sika¯ has been the
(dharmata¯). The idea that the mind (citta) is essentially pure
subject of many commentaries by post-Vasubandhu scholars.
(prakr:ti-vi´suddha) and brilliant (prabha¯svara), a stance ne-
Vasubandhu also composed a short treatise in verse dealing
glected in the dogmatics of the Abhidharma treatises, is fully
with the three-nature doctrine, the Trisvabha¯vanirde´sa.
supported, and the ultimate reality is identified with this
pure and brilliant mind.
A number of other Yoga¯ca¯ra works have been handed
down under the name of Vasubandhu, such as commentaries
Whereas the concept of a¯laya-vijña¯na is not found in
on the treatises attributed to Maitreya, on the
these works, the concept of “unreal imagination”
Maha¯ya¯nasam:graha of Asan˙ga, and on some Maha¯ya¯na
(abhu¯ta-parikalpa) plays an important role. The opening
su¯tras. The philosophical ideas expressed in these commen-
verse of the Madhya¯ntavibha¯ga clearly states that in empti-
taries are not identical with those presented in the Vim:´satika¯
ness (´su¯nyata¯) there exists the unreal imagination. However,
and the Trim:´sika¯. In the last two works, the influence of the
the unreal imagination is not admitted to exist in the ulti-
Sautra¯ntika school of H¯ınaya¯na Buddhism is noticeable, but
mate sense. It is essentially “unreal,” but it is supposed to
this is not the case with the commentaries. Accordingly,
exist as the basis of the wrong assumption of the reality of
some modern scholars believe that there were two Vasuband-
phenomenal existences, which are characterized by the duali-
hus: one, Asan˙ga’s brother, composed the commentaries on
ty of subject and object, denoter and denoted, and so on.
su¯tras and treatises; the other, the author of the Vim:´satika¯
Much importance is attached to the doctrine of the three
and the Trim:´sika¯, also wrote the Abhidharmako´sa, a summa-
characteristics (laks:an:a) or natures (svabha¯va) of entities. In
ry of Sarva¯stiva¯da dogmatics, and an autocommentary writ-
chapter 3 of the Madhya¯ntavibha¯ga this doctrine is consid-
ten from the Sautra¯ntika viewpoint. However, further inves-
ered the fundamental truth (mu¯latattva), and some impor-
tigations must be made before a more definite conclusion can
tant doctrines, such as that of the four noble truths, the two
be drawn. The fundamental doctrines of the Yoga¯ca¯ra school
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9900
YOGA¯CA¯RA
as formulated by Asan˙ga and Vasubandhu are surveyed
thus called the “consciousness-in-activity” (pravr:tti-vijña¯na).
below.
The a¯laya-vijña¯na and the consciousness-in-activity are de-
pendent on each other: the latter is produced from the seed
Representation only (vijñaptima¯tra). The Yoga¯ca¯ras
preserved in the former and leaves, in turn, its impression on
maintain that phenomenal existences, which are generally
the former. Thus the modification (parin:a¯ma), or “change,”
supposed to have objective reality in the external world, are
of consciousness takes place in two ways: (1) a seed planted
no other than the “representations” (vijñapti), or images, of
by the consciousness-in-activity becomes ripe in the
objects appearing in our consciousness (vijña¯na). According
a¯laya-vijña¯na; and (2) the consciousness-in-activity arises
to the Yoga¯ca¯ras, the image of an object is produced by the
from the seed. The term “modification” was first used by Va-
consciousness itself; there is no external object independent
subandhu, but the idea of the mutual dependence of the
of the consciousness.
a¯laya-vijña¯na and the consciousness-in-activity was formu-
The Maha¯ya¯nasam:graha indicates that the image of an
lated by Asan˙ga in the Maha¯ya¯nasam:graha.
object in the consciousness does not presuppose the existence
of the object in the external world. Some of the reasons men-
The a¯laya-vijña¯na subsists only for a moment, then is
tioned are as follows;
replaced by another consciousness in the next moment. The
successive moments of the a¯laya-vijña¯na form a stream that
1. The one and the same thing is represented differently
continues to flow until the seeds planted in it are completely
by beings in different states of existence; for instance, that
destroyed. In each moment there arises the consciousness-in-
which is perceived by a man as a stream of clean water is rep-
activity, and thus a consciousness complex is formed. A
resented as a flaming river by an inhabitant of hell and as a
human being is a stream of the consciousness complex, and
stream of pus and filth by a preta. This shows that an object
the things that are thought to exist in the external world are
represented in the consciousness is a product of mental con-
but the images that appear in this stream of consciousness.
struction.
Three natures (trisvabha¯va). The three natures of en-
2. It is a fact of experience that a cognition arises even
tities, that is, the imagined nature (parikalpita-svabha¯va), the
when there is no object, as in the case of a recollection or
dependent nature (paratantra-svabha¯va), and the perfected
dream. It is also known that a person who has advanced in
nature (parinis:panna-svabha¯va), were expounded in the
yoga practice perceives a future object.
Sam:dhinirmocana Su¯tra, but this text does not discuss the in-
3. Through the practice of meditation (dhya¯na) or tran-
terrelation of the three natures and consequently the doc-
quilization of the mind (´samatha), man comes to acquire the
trine’s religious significance is not quite clear. In the
ability to visualize an object at will.
Maha¯ya¯nasam:graha, in which the three-nature doctrine is a
major topic, Asan˙ga sets forth the view that the imagined and
4. A practitioner who has stepped into the “path of in-
the perfected natures are two aspects of the dependent na-
sight” (dar´sana-ma¯rga) attains “supermundane cognition”
ture; the dependent nature, he explains, appears as the imag-
(lokottara-jña¯na), in which there is no image of an object.
ined nature by dint of a false imagination and as the perfect-
This cognition, which has no corresponding reality in the ex-
ed nature when the false imagination is removed. It is thus
ternal world, is thus experienced in daily life as well as in the
shown that the three-nature doctrine is closely related to
process of religious practice.
Yoga¯ca¯ra soteriology. The doctrine, as formulated by Asan˙ga
Consequently, it is known that the form of an object
and Vasubandhu, may be briefly summarized as follows. The
that appears in the consciousness does not belong to a thing
consciousness that arises in each moment with the image of
in the external world but is attributed to the consciousness
an object is of dependent nature because its origination is de-
itself.
pendent on the impressions of past experiences preserved in
the a¯laya-vijña¯na. Because of his false imagination, man or-
Modification of consciousness (vijña¯na-parin:a¯ma).
dinarily takes this image for a real object and applies a name
The Yoga¯ca¯ra maintains that human beings and objective
to it. The object thus superimposed upon the image in the
things, to which various terms—such as “self” (a¯tman), “liv-
consciousness is of imagined nature. When the false imagina-
ing being” (j¯ıva), “pot,” and “cloth”—are applied, are in re-
tion is completely removed through the practice of yoga,
ality the “modifications of consciousness.” The conscious-
man realizes the absence of the superimposed object, that is,
ness that undergoes modification consists of three strata: (1)
the perfected nature.
the six kinds of consciousness produced through the visual,
auditory, olfactory, gustatory, and tactile senses and the
TRANSFORMATION OF THE BASIS (A¯S´RAYA-PARA¯VR:TTI). The
mind; (2) the “I-consciousness,” called manas, which accom-
stages of yogic practice leading to the “transformation of the
panies the six kinds of consciousness; and (3) the subliminal
basis of existence” are systematized in some early Yoga¯ca¯ra
consciousness, called a¯laya-vijña¯na (“store consciousness”),
works, and no substantial changes were made by Asan˙ga and
in which the “impressions” (vasana) of past experiences are
Vasubandhu. After passing the stage of accumulating merits
accumulated as the “seeds” (bija) of future experiences.
and learning the Buddha’s teaching, a yoga¯ca¯ra proceeds to
While the a¯laya-vijña¯na is latent, the six kinds of conscious-
the stage of “preparatory exercise” (prayoga). Through this
ness and the I-consciousness are in manifest activity and are
stage he comes to understand clearly that a name or a concept
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YOGA¯CA¯RA
9901
has no corresponding reality in the external world and that
circles. He attached importance to the Maha¯ya¯nasam:graha,
the intrinsic nature and specific qualities of things are prod-
and his translation of this treatise, namely, the She dasheng
ucts of subjective construction. Thus, he realizes that there
lun (T.D. no. 1593), was treated as the basic text of the
is no real object to be “seized” (gra¯hya) and, consequently,
Shelun sect. In the seventh century, Xuanzang (602–664)
that the consciousness as the “seizer” (gra¯haka) is also devoid
traveled to India and studied Yoga¯ca¯ra doctrines at Na¯landa¯
of reality. At this moment he steps forward into the “path
under S´¯ılabhadra, a disciple of Dharmapa¯la. After returning
of insight” (dar´sana-ma¯rga) and attains the immediate
to China in 645, Xuanzang translated a number of important
awareness of the ultimate reality. There arises in him the
Yoga¯ca¯ra works. In his translation of Dharmapa¯la’s com-
force to destroy the seeds of defilement that have accumulat-
mentary on the Trim:´sika¯ Vijñaptima¯trata¯siddhih: of Vasu-
ed from beginningless time in the a¯laya-vijña¯na. This force
bandhu, he incorporated the views of ten other commenta-
gradually becomes more powerful as he proceeds to the “path
tors and composed the Cheng weishi lun. This work was
of intensive practice” (bha¯vana¯-ma¯rga). Finally, the seeds are
recognized as authoritative for Yoga¯ca¯ra dogmatics by the
completely destroyed and the stream of the a¯laya-vijña¯na no
Faxiang sect, which was founded by Kuiji (632–682), a disci-
longer constitutes the basis (a¯´sraya) of his existence. In its
ple of Xuanzang. Both the Dilun sect and the Shelun sect
place the ultimate reality reveals itself as the real, undifferen-
were absorbed into and replaced by the Faxiang sect, which
tiated basis of all living beings. Through this transformation
itself soon declined under the new trend of Buddhism repre-
of the basis (a¯´sraya-para¯vr:tti) the yoga¯ca¯ra reaches the final
sented by the Huayan and Chan sects.
stage of his yogic practice and attains Buddhahood.
The dogmatics of the Faxiang (Jpn., Hosso¯) sect were
LATER PERIOD: TRANSMISSION INTO CHINA AND JAPAN.
introduced into Japan during the Nara period (710–784) by
After Vasubandhu, scholars in the Yoga¯ca¯ra school formed
some monks who had studied in China. The Cheng weishi
two subschools. One maintained that the consciousness
lun was earnestly studied there by Buddhist scholars of differ-
(vijña¯na) is necessarily endowed with the “form” (a¯ka¯ra) of
ent sects until recent years.
an object and that of a subject; the other held that the forms
of object and subject are of imagined nature and false and
SEE ALSO A¯laya-vijña¯na; Asan˙ga; Buddhism, article on Bud-
that the consciousness itself, which is a pure luminosity, is
dhism in India; Buddhism, Schools of, article on Chinese
real. Proponents of the former were called, from the eighth
Buddhism; Buddhist Philosophy; Dharmak¯ırti; Dharmapa¯la;
Digna¯ga; Indian Philosophies; Kamala´s¯ıla; Kuiji;
century onward, the Sa¯ka¯ra-vijña¯nava¯dins (that is, the up-
Ma¯dhyamika; Maitreya; Parama¯rtha; Prat¯ıtya-samutpa¯da;
holders of the doctrine that the consciousness is endowed
S´a¯ntiraks:ita; Sautra¯ntika; S´¯ılabhadra; Sthiramati; S´u¯nyam
with forms) and proponents of the latter were termed the
and S´u¯nyata¯; Tathata¯; Vasubandhu; Xuanzang.
Nira¯ka¯ra-vijña¯nava¯dins (that is, the upholders of the doc-
trine that the consciousness possesses no form). Digna¯ga (c.
BIBLIOGRAPHY
480–540) and Dharmapa¯la (c. 530–561), prominent schol-
Frauwallner, Erich. Die Philosophie des Buddhismus. 3d rev. ed.
ars in Na¯landa¯, are recognized as the early representatives of
Berlin, 1969. The philosophical ideas presented in the
the former and Sthiramati (c. 510–570) in Valabh¯ı as an ad-
Yoga¯ca¯ra works of the early period and maintained by the
vocate of the latter. The Sa¯ka¯ra-vijña¯nava¯da is doctrinally re-
principal figures of the Yoga¯ca¯ra school are clearly explained.
lated to the Sautra¯ntika school, and a branch of the
Some passages extracted from important treatises are trans-
Nira¯ka¯ra-vijña¯nava¯da, represented by S´a¯ntiraks:ita (c. 725–
lated into German on pages 264–407.
788) and Kamala´s¯ıla (c. 740–795), is united with the
Fukaura Seibun. Yuishikigaku kenkyu¯. Kyoto, 1976. The dogmat-
Ma¯dhyamika. Scholarly activities continued in both sub-
ics of the Faxiang sect are explained in detail.
schools until the twelfth century, when Buddhism declined
Hamamya Noriaki. Yuishiki-shiso¯ Ronko¯ (Studies in philospohical
in India. In the last period, Ratnak¯ırti and Jña¯na´sr¯ımitra
ideas of the Vijña¯nava¯). Tokyo, 2001. Collection of articles
(eleventh century) maintained the former, and
discussing some textual problems and philosphical ideas
Ratna¯ka¯rasanti (c. eleventh century) was a powerful advocate
found in the Vijña¯nava¯ treatises.
of the latter. Dharmak¯ırti (c. 600–660) and Prajña¯ka¯ragupta
Hirakawa Akira. Indo bukkyo¯shi, vol. 2. Tokyo, 1979. A brief de-
(c. eighth century) are recognized by both subschools as ex-
scription of the Yoga¯ca¯ra teachers and their works and an ex-
position of the fundamental doctrines are given on pages 92–
ponents of their respective doctrines.
169, 228–250.
As early as the fifth century some Yoga¯ca¯ra works were
Jacobi, Hermann, trans. Trim:´sika¯vijñapti des Vasubandhu, mit
translated into Chinese, but a real interest in Yoga¯ca¯ra was
bha¯s:ya des acarya Sthiramati. Stuttgart, 1932.
not aroused until Bodhiruci (?–527) arrived in China in 508
Lamotte, Étienne. Sam:dhinirmocana Su¯tra: L’explication des
and translated Vasubandhu’s commentary on the
mystères. Louvain, 1935.
Da´sabhu¯mika Su¯tra, the Shi di jing lun (T.D. no. 1522), in
Lamotte, Étienne. La somme du Grand Véhicule d’Asan˙ga
which the doctrine of the a¯laya-vijña¯na is presented. This
(Maha¯ya¯nasam:graha). 2 vols. Louvain, 1938–1939.
work was accepted as an authority among Buddhist circles
La Vallée Poussin, Louis de. Vijñaptima¯trata¯siddhi, la siddhi de
in North China, and gave rise to the Dilun sect. In the mean-
Hiuan-tsang. 2 vols. Paris, 1928–1929.
time, Parama¯rtha (c. 499–569), who came to South China
Lévi, Sylvain. Un système de philosophie bouddhique: Materiaux
in 546, introduced several Yoga¯ca¯ra treatises to the Buddhist
pour l’étude du système Vijñaptima¯tra. Paris, 1932.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9902
YOGANANDA
Lévi, Sylvain, ed. and trans. Asan˙ga: Maha¯ya¯na-su¯tralam:ka¯ra, vol.
Growing up in Calcutta in Bengal, India, he was a product
2, Exposé de la doctrine du Grand Véhicule selon le système
of the Bengali Neo-Veda¯ntic Renaissance and was influenced
Yoga¯ca¯ra. Paris, 1911.
by the saint Sri Ramakrishna (1836–1886).
May, Jacques. “La philosophie bouddhique idéaliste.” Asiatische
The Neo-Veda¯ntic Renaissance originated in Bengal,
Studien 25 (1971): 265–323. A sketch of the historical devel-
one of the areas of India with the most exposure to Western
opment of the Yoga¯ca¯ra school in India; elucidates the fun-
damental doctrines.
culture as a result of British colonialism. The movement
sought to reassert the vigor and worth of Hindu spirituality
Nagao Gadjin. Chu¯kan to yuishiki. Tokyo, 1978. Contains articles
and philosophy while being open to influences from other
discussing some philosophical ideas of the Vijña¯nava¯da.
religions and Western science and values. Yogananda was af-
Nagao Gadjin. Ma¯dhyamika and Yoga¯ca¯ra: A Study of Maha¯yana
filiated with a lineage of gurus that sought to integrate
Philosophies. Edited, collated, and translated by L. S. Kawa-
Hindu spirituality with a modern, Western-influenced life-
mura in collaboration with G. M. Nagao. Albany, 1991. En-
style. Yogananda felt that he had a special destiny: to intro-
glish versions of some articles published in Chu¯kan to yuishiki
are included.
duce Hindu concepts and spiritual techniques to westerners.
He did this by disseminating a practice called kriya¯ yoga
Nagao Gadjin. Sho¯dai jo¯ron. Wayaku to chu¯kai.
through his organization, the Self-Realization Fellowship,
(Maha¯ya¯nasam:graha. A Japanese translation with annota-
tions.) 2 vols. Tokyo, 1982–87. A translation based on the
and by the publication of his books. His most famous pub-
comparison of all available texts in Chinese and Tibetan—
lished work is his Autobiography of a Yogi, first published in
Tibetan text and reconstructed Sanskrit text (Introd., chaps.
1946, which has been translated into eighteen languages.
I. II) are added as an appendix.
YOUTH IN INDIA. Yogananda was born Mukunda Lal
Nagao Gadjin, Kajiyama Yu¯ichi, and Aramaki Noritoshi. Seshin
Ghosh, the son of a railway executive in Bengal. His parents
ronshu¯. Tokyo, 1976. Vasubandhu’s Vim:´satika¯, Trim:´sika¯
were disciples of Lahiri Mahasaya (1828–1895), a house-
(with Sthiramati’s commentary), and Trisvabha¯vanirde´sa,
holder guru (he continued his married family life while being
and Maitreya’s Madhya¯ntavibha¯ga (with Vasubandhu’s com-
a guru) who taught a spiritual technique called kriya¯ yoga.
mentary) are translated into lucid modern Japanese.
As a boy, Mukunda’s first mentor in spirituality was
Powers, John, trans. Two Commentaries on the Sam:dhinir-
“M.” or Mahendra Nath Gupta, a disciple of Sri Ramakrish-
mocana-su¯tra by Asan˙ga and Jña¯nagarbha. Lewiston, 1992.
na and author of S´r¯ı´sr¯ıra¯ma¯kr:s:n:akathamr:ta, which was
Sakuma Hidenori. Die A¯´srayaparivr:tti-Theorie in der
shaped by Swami Nikhilananda into The Gospel of Sri Rama-
Yoga¯ca¯rabhu¯mi. 2 Stuttgart, 1990.
krishna. M. took Mukunda to worship at the Ka¯l¯ı temple at
Schmithausen, Lambert. Der Nirva¯n:a-Abschnitt in der
Dakshineswar, which had been Ramakrishna’s residence,
Vini´scayasam:grahani der Yoga¯ca¯rabhu¯mih. Vienna, 1969.
and stimulated Mukunda’s first mystical experience. One
Schmithausen, Lambert. “Zur Literaturgeschichte der álteren
day after M. and his young protégé were exiting a bioscope
Yoga¯ca¯ra-Schule.” Zeitschrift der Deutschen Morgenländischen
(an early motion picture), M. tapped Mukunda on his chest.
Gesellschaft; Supplement 1 (1969): 811–823. A careful exami-
Suddenly all noise on the busy street stopped for Mukunda.
nation of the composition of the Yoga¯ca¯rabhu¯mi.
He saw the pedestrians and vehicles, but all was silent, and
Schmithausen, Lambert. A¯layavijña¯na. On the Origin and Early
he observed a luminous glow emanating from all phenome-
Development of a Central Concept of Yoga¯ca¯ra Philosophy. 2
na. This experience was the basis of Yogananda’s later teach-
Pts. Tokyo, 1987.
ing that the physical world has the reality of a motion picture
Stcherbatsky, Theodore, trans. Madhyanta-vibhan˙ga: Discourse on
or a dream.
Discrimination between Middle and Extremes, Ascribed to
Maitreyana¯tha and Commented by Vasubandhu and Sthira-
In 1910 Mukunda became the disciple of Swami Sri
mati. Moscow, 1936.
Yukteswar (1955–1936), who was a direct disciple of Lahiri
Mahasaya. Mukunda completed his A.B. degree at Seram-
Suguro Shinjo¯. Shoki Yuishiki-shiso¯ no kenkyu¯. Tokyo, 1989.
pore College. He then took vows of sannyasa (renunciation)
Yamaguchi Susumu. Bukkyo¯ ni okeru mu to u to no tairon. Kyoto,
and became Swami Yogananda. In 1917 Yogananda demon-
1941. A detailed study of a chapter of Bha¯vaviveka’s
strated his considerable administrative ability by founding a
Madhyamakahr:daya, intended for the refutation of the
boys’ school, which he ran under the auspices of an organiza-
Yoga¯ca¯ra doctrine.
tion he named the Yogoda Satsanga Society.
Yamaguchi Susumu, and Nozawa Jo¯sho¯. Seshin yuishiki no genten
kaimei. Kyoto, 1953. Contains a Japanese translation of the
MISSION IN THE UNITED STATES. After Swami Yogananda
Vim:´satika¯ with Vin¯ıtadeva’s t:¯ıka¯ and the Trim:´sika¯ with
came to the United States from India in 1920, he attracted
Sthiramati’s bha¯s:ya and Vinitadeva’s t:¯ıka¯.
numerous disciples by means of his public lectures and writ-
ings. Yogananda built up an organization called the Self-
HATTORI MASAAKI (1987 AND 2005)
Realization Fellowship (SRF) to disseminate his presentation
of the wisdom and spiritual techniques of Hinduism. Yoga-
nanda first came to the United States to deliver an invited
YOGANANDA (1893–1952) was one of the earliest and
lecture to the International Congress of Religious Liberals,
most influential of the Hindu gurus to come to the West.
sponsored by the American Unitarian Association. He subse-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YOH:ANAN BAR NAPPAH:AD
9903
quently spoke to large audiences across the United States
America’s Alternative Religions, edited by Timothy Miller. Al-
from 1924 to 1927. In 1925 an estate was acquired at Mount
bany, N.Y., 1995, pp. 173–190. Essay on Yogananda and
Washington in Los Angeles, California, to be the headquar-
Swami Vivekananda and the other swamis who first brought
ters of his organization, which was incorporated in 1935 as
Hinduism to the United States.
the Self-Realization Fellowship. In that same year his guru
Yogananda, Paramahansa. The Divine Romance. Los Angeles,
gave him the title Paramahansa (“supreme swan”) indicating
1986. Describes Yogananda’s basic approach to loving God.
that he had achieved the highest enlightenment and, while
Yogananda, Paramahansa. Autobiography of a Yogi, 12th ed. Los
in India on a visit, he initiated Mohandas Gandhi into kriya¯
Angeles, 1990. Yogananda’s most famous and widely influ-
yoga. In 1946 Yogananda published his most famous book,
ential book.
Autobiography of a Yogi, in which he describes his meetings
Yogananda, Paramahansa. The Science of Religion. Los Angeles,
with Eastern and Western saints and discusses visions and
1990. Text of Yogananda’s first lecture in America.
miracles that demonstrate the availability of supernormal
powers and enlightenment to adepts of all religious tradi-
CATHERINE WESSINGER (2005)
tions. In the ensuing years the SRF established a hermitage
at Encinitas, California, a temple in San Diego, the Church
of All Religions in Hollywood, and the Lake Shrine at Pacific
YOH:ANAN BAR NAPPAH:AD (d. 279?), leading
Palisades, California, where a portion of Gandhi’s ashes are
Palestinian amora. Yoh:anan’s father and mother had both
kept. By 2004 the SRF additionally had forty-four centers
died by the time he was born (B.T., Qid. 31b), and his appar-
and meditation groups in the United States as well as centers
ent patronymic refers either to his trade as a smith (nappah:a’)
and groups in seventeen other countries.
or to his legendary, “inflaming” good looks. Yoh:anan is al-
Yogananda is regarded by his disciples as a premavata¯r,
ways referred to either by his given name or by the epithet
an incarnation of divine love. Yogananda stressed the deep
bar Nappah:aD, never both.
emotional love for God that is associated with Hindu bhakti
Yoh:anan’s studies began during the lifetime of Yehuda
yoga. Members of the SRF rever Krishna and Christ as the
ha-NasiD, known as “Rabbi,” the redactor of the Mishnah.
two great gurus from whose works the teachings of Yoganan-
Later, Yoh:anan remembered having attended Rabbi’s lec-
da’s lineage of gurus are derived. The SRF offers instruction
tures and not understanding them (B.T., H:ul. 137b). A na-
in kriya¯ yoga and related philosophy and practices conveyed
tive of Sepphoris, Yoh:anan began his studies there, but ulti-
in a correspondence course called the SRF Lessons. Students
mately he became head of a prestigious rabbinic academy in
pledge to keep the kriya¯ yoga technique secret from non-
Tiberias, where he spent the major part of his career. The
initiates. The SRF also has a monastic order for women and
only Babylonian for whom he spontaneously expressed re-
men headquartered at Mount Washington.
spect was Rav, with whom he had studied under Yehuda ha-
Yogananda passed away on March 7, 1952, after speak-
NasiD; he later came to acknowledge the mastery of Shemu’el
ing at a banquet of the India Association of America at the
(B.T., H:ul. 95b), but the two never met. In general,
Biltmore Hotel in Los Angeles. His devotees believe that the
Yoh:anan’s career was limited to the rabbinate of the Land
lack of corruption displayed by his body for twenty days after
of Israel, though his reputation traveled far beyond that
his death was the physical manifestation of his yogic mastery.
country and even in Babylonia equaled that of the great Bab-
Rajarsi Janakananda (formerly James J. Lynn) took over the
ylonian masters (B.T., EA.Z. 40a).
leadership of the SRF until his death in 1955. An American
Yoh:anan inherited a considerable amount of wealth but
woman, Sri Daya Mata, has served as SRF president since
was said to have allowed it to dissipate in his pursuit of ad-
1955. The Self-Realization Fellowship continues to dissemi-
vanced learning. He became the teacher, senior colleague,
nate Yogananda’s books and to offer instruction in kriya¯ yoga
and brother-in-law of ShimEon ben Laqish. The latter, ac-
and other spiritual techniques. Although Yogananda has
cording to Talmudic tradition, was originally attracted to
passed from the material world, he is regarded as a still-living
Yoh:anan because he was so handsome. ShimEon became
master who continues to guide his disciples.
Yoh:anan’s colleague and eventually the two were insepara-
S
ble. It is recorded that ShimEon died because of a slight from
EE ALSO Gandhi, Mohandas.
his companion. Later legend explained Yoh:anan’s own death
as the result of his grief over this incident. Yoh:anan was also
BIBLIOGRAPHY
embittered by the death within his lifetime of ten of his chil-
Self-Realization Fellowship. Pictorial History of Self-Realization
dren (B.T., B.M. 84a, Ber. 5b).
Fellowship (Yogoda Satsanga Society of America). Los Angeles,
1975. Helpful history of Yogananda and the SRF.
In his halakhic teaching, Yoh:anan devised a number of
Wendell, Thomas. Hinduism Invades America. New York, 1930.
rules for determining which of several conflicting opinions
Yogananda approved the chapter appearing on pages 177 to
in the Mishnah was to be followed—for example, when
245, which discusses his work.
MeDir and Yehuda disagree, the halakhah (“law”) follows Ye-
Wessinger, Catherine. “Hinduism Arrives in America: The Ve-
huda; when Yehuda and Yose disagree, the halakhah follows
danta Movement and the Self-Realization Fellowship.” In
Yose (B.T., EEruv. 46b); whenever ShimEon ben GamliDel
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9904
YOH:ANAN BEN ZAKKDAI
gives a ruling in the Mishnah, the halakhah follows him ex-
YOH:ANAN BEN ZAKKDAI (c. 1–80 CE), sage and
cept in three cases (B.T., Git:. 75a); when Yehuda ha-NasiD
leader of Judaism in the Land of Israel after the destruction
disagrees with his colleagues, the halakhah follows him (J.T.,
of the Jerusalem Temple in 70 CE. Known to us only from
Ter. 3.1, 42a). He also formulated the much-quoted norm
sources brought to closure two and more centuries after his
that the law always follows anonymous Mishnaic rulings
death, beginning with the Mishnah (c. 200), two facts about
(see, for instance, B.T., Shabbat 46a, and J.T., Shabbat 3.7,
his life are certain: he lived before the destruction, and sur-
6c). Yoh:anan’s influence on the development of rabbinic
vived it.
scholarship in the Land of Israel was so great that Moses Mai-
monides considered him the redactor of the Jerusalem Tal-
Yoh:anan was the principal figure in the formation, in
mud, although this is surely an exaggerated report.
the aftermath of the calamity, of a circle of disciples with
whom he laid the foundations of the Judaism presented by
According to one tradition, the custom of placing deco-
the Mishnah. This work of legal-theological formation de-
rative art on walls (probably the walls of synagogues) arose
fined Judaism as it would be known from the second century
in Yoh:anan’s time “and he did not object” (J.T., EA.Z. 3.3,
onward. Yoh:anan himself is represented in the Mishnah
42d). Yoh:anan also became an authority on calendrical as-
principally through attributions to him of certain temporary
tronomy (J.T., R. ha-Sh. 2.6, 58a-b; B.T., Hul. 95b). With
ordinances, meant mostly to take account of the destruction
respect to nonlegal lore, Yoh:anan was known as a student
of the Temple as an event in the sacred calendar of Judaism.
of merkavah mysticism, which he unsuccessfully offered to
These reforms, involving very trivial matters, signified a poli-
teach to his own student El!azar ben Pedat. The long aggadah
cy of surviving and carrying on. They meant that even with-
(nonlegal rabbinic thought) on the destruction of Jerusalem
out the Temple it would be possible to worship God and ob-
that starts in the Babylonian Talmud tractate Git:t:in 55b is
serve the festivals formerly focused upon the Temple. To
attributed to him, as are other narratives that purport to re-
Yoh:anan are attributed, also, certain interpretations of bibli-
count important events in the history of the rabbinate
cal stories, one of which stressed that Job had served God out
(B.T., Hor. 13b) or the circumstances that gave rise to partic-
of awe and reverence, not (merely) love. Finally, he is repre-
ular rabbinical enactments (B.T., B.Q. 94b, Bekh. 30b).
sented as having attempted to exercise authority even over
Yoh:anan also gave considerable attention to the etiquette of
the priesthood, which had formerly run the country. His rul-
prayer and to methods for increasing its effectiveness. Ac-
ings in matters of genealogy, on which priestly authority rest-
cording to legend, his final instructions were that he was to
ed, indicate that he held that sages’ mastery of Torah was
be buried in neither a black nor a white shroud so that he
paramount, priests’ genealogical standing derivative. In these
would not be ashamed to find himself in the company of ei-
aspects Yoh:anan carried forward the position of the Pharisees
ther the righteous or the wicked.
of the period before the destruction. They had maintained
that lay people might observe at home certain rules that were
SEE ALSO Amoraim.
kept by the priests in the Temple, so indicating that the
priests enjoyed no monopoly over access to the sacred.
BIBLIOGRAPHY
In compilations of stories produced much later than the
Aaron Hyman’s Toledot tanna Dim ve-amoraDim (1910; reprint, Je-
Mishnah, Yoh:anan’s career is fleshed out. His surviving the
rusalem, 1964) is an altogether uncritical compendium of
destruction is represented as an encounter between Israel, the
traditional lore concerning Yoh:anan. It is almost useless as
Jewish nation, and Rome, with a sage, Yoh:anan himself, ne-
a tool for modern, critical biography, but it remains valuable
gotiating on behalf of the Jews with a Roman general. In the
as an encyclopedic gathering of information. The “Johanan
principal version Yoh:anan is portrayed as having escaped
ben Nappah:a” articles in the Jewish Encyclopedia (New York,
1906) and in Encyclopaedia Judaica (Jerusalem, 1971) are
from Jerusalem before it was fully invested and as having
also useful.
come before the Roman general Vespasian. He asked for the
right to go to Yavneh, a coastal town where loyalists were
New Sources
held. There he would teach his disciples, establish a house
Baumgarten, Albert I. “Yohanan and Resh Lakish on Anonymous
of prayer, and carry out the commandments, the religious
‘mishnayot.’” Jewish Law Association Studies 2 (1986):
deeds of Judaism. He further informed Vespasian that the
75–88.
general would become emperor. (In other versions Yoh:anan
Friedman, Shamma. “The Further Adventures of Rav Kahana: Be-
is supposed to have asked for “the chain of Rabban Gamli’el
tween Babylonia and Palestine.” In The Talmud Yerushalmi
and physicians to heal Rabbi Tsadoq.”)
and Graeco-Roman Culture, vol. 3, edited by Peter Schäfer,
pp. 247–271. Tübingen, 2002.
Yoh:anan’s message to Israel, portrayed in other late
sources, involved three elements. First, not to take too seri-
Kimelman, Reuven R. “Problems in Late Rabbinic ‘Biography’:
ously the claims of messiahs: “If you have a sapling in your
The Case of the Amora Rabbi Yohanan.” SBLSP 2 (1979):
hand and people say to you, ‘Behold, there is the Messiah,’
35–42.
go on with your planting, and afterward go out and receive
ROBERT GOLDENBERG (1987)
him.” Second, to obey God’s will as the response to defeat:
Revised Bibliography
“Happy are you, O Israel! When you obey the will of God,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YONI
9905
then no nation or race can rule over you! But when you do
yoke; ni is added to the root to form a noun with active mean-
not obey the will of God, you are handed over into the hands
ing. Thus yoni is “what joins or unites.” The word yoga, de-
of every low-born people.” Third, what God wants is acts of
rived from the same root, means “union, connection.” The
loving kindness. Yoh:anan held that even though sin could
two words yoni and yoga are thus similar to the word religion,
no longer be atoned through sacrifice in the Temple, “We
from the Latin religio (“binding, fastening, reuniting, or re-
have another atonement as effective as this. And what is it?
linking”).
It is acts of loving-kindness, as it is said, ‘For I desire mercy,
not sacrifice’” (Hos. 6:6).
Icons representing the yoni alone or in conjunction with
the male generative organ, the lin˙ga, are widespread in both
Whether or not these tales go back to the person, or
popular Hinduism and in the Tantric traditions of India;
even the time, of Yoh:anan ben ZakkDai, we do not know. But
such images, known in English as yonis and lingams, stand
they are the foundation legends of the kind of Judaism that
for the generic goddess, Dev¯ı, in her many aspects, and the
has been paramount from the second century to the present,
god S´iva. These traditions are the heirs of a female-
and Yoh:anan, above all, is credited with the definition of that
dominated symbol system characteristic of the pre-Vedic
Judaism.
worldview. Before the Indus and Ganges valleys were popu-
lated from the north by Aryan pastoral nomads, bearers of
BIBLIOGRAPHY
a more androcentric religion, there flourished an agricultural
The most original and important scholarship on Yoh:anan ben
civilization known as the Indus Valley civilization (c. 4000–
ZakkDai is in Gedalyahu Alon, Jews, Judaism and the Classical
World, translated from the Hebrew by Israel Abrahams (Jeru-
1000 BCE). Archaeological remains from the sites at Harappa
salem, 1977), pp. 252–343. The principal tales appear in The
and Mohenjo Daro abound in mother-goddess figurines,
Fathers according to Rabbi Nathan, translated from the He-
large stone yonis (and lingams), and a variety of seals. One
brew by Judah Goldin (New Haven, 1955). This work is a
of the most intriguing of these seals bears the figure of a man
compilation of rabbinical fables, loosely organized around
in a cross-legged posture typical of yogic discipline. The reli-
the Mishnah tractate Avot. Two works of my own concern
gious complex of ideas and practices called yoga has been
Yoh:anan: all of the sources on the man are collected and ana-
identified as being pre-Vedic in origin; the yogic posture of
lyzed, in the rough sequence of their formation, in Develop-
the figure on this Indus Valley seal is one of the strongest
ment of a Legend: Studies on the Traditions concerning
pieces of evidence for the pre-Vedic origins of yoga. Scholars
Yoh:anan ben Zakkai (Leiden, 1970) and are collected into a
have until recently identified this horned yogic person as a
biography in A Life of Yoh:anan ben Zakkai, ca. 1–80 C.E.
(Leiden, 1970).
proto-image of S´iva. More recent research has identified the
scene depicted on the seal as being linked with an archaic
New Sources
form of the still-practiced buffalo sacrifice to the Goddess.
Cervelli, Innocenzo. “Dalla storiografia alla memoria: a proposito
On the seal the Goddess is represented next to her mount,
di Flavio Giuseppe e Yohanan ben Zakkai.” Studi Storici 31
(1990): 919–982.
the lion, which is shown in a dynamic posture facing the
seated figure on its right, corresponding to the northern di-
Finkel, Asher. “The Departures of the Essenes, Christians and R.
rection with the Goddess. The yogic posture of the buffalo-
Yohanan ben Zakkai from Jerusalem.” In “Wie gut sind
deine Zelte, Jaakow. . .” Festschrift zum 60 Geburtstag von
horned god has been interpreted as expressive of the destruc-
Reinhold Mayer, edited by Ernst Ludwig Ehrlich [et al.],
tive and creative power entailed by the sacrifice. The sacrifice
pp. 29–40. Gerlingen, 1986.
itself aims at a symbolic unification with the Goddess. In
many popular South Indian myths concerning this sacrifice,
Herscher, Uri D. “Yohanan ben Zakkai at Yavneh: Merkavah and
Messiah.” In Bits of Honey: Essays for Samson H. Levey, edited
the buffalo is depicted as desiring or actually uniting with the
by Stanley F. Chyet and David H. Ellenson, pp. 25–42. At-
Goddess in the guise of a lower-caste husband or suitor. As
lanta, 1993.
David Shulman has shown in his discussion of South Indian
mythology (1980), S´iva becomes the buffalo. Through sacri-
JACOB NEUSNER (1987)
Revised Bibliography
ficial death, S´iva as the buffalo consort of the goddess is re-
born from her. In these myths and representations one seems
to be able to apprehend the common etymology of the terms
yoni and yoga. Union with the Goddess is the ultimate aim
YOM KIPPUR SEE RODSH HA-SHANAH AND
of the sacrifice; it is at one and the same time an abstract con-
YOM KIPPUR
cept and a concrete act of union with the Goddess’s icon,
namely her yoni.
The symbolism on this famous Harappan seal, thus in-
YONI is a Sanskrit word with various meanings such as
terpreted in the light of contemporary ritual practices and
“womb, vulva, vagina; place of birth, source, origin, spring;
myths, brings up the extremely widespread symbolic themes
abode, home, lair, nest; family, race, stock, caste,” and so on.
of the mysterious and potent link between the yoni and
It is etymologically derived from the verbal root yu (“join,
death, and sacrificial death in particular. Perhaps the earliest
unite, fasten, or harness”), from which is derived the English
evidence of the theme is to be found in the European Paleo-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9906
YONI
In India in the early twenty-first century there are sever-
al popular pilgrimage sites where the icon of the Goddess is
situated deep in a cave whose access is through an extremely
narrow, dark, and winding passageway. The most famous
such natural icon of the Goddess’s yoni is found in Assam
1
2
3
in eastern India, at the shrine of Ka¯makhya Dev¯ı. It is a natu-
ral cleft in the rock that is said to menstruate once per year,
the period coinciding with the main festival of the Goddess
F IGURE 1 . Yoni symbols.
in June at the time of the arival of the monsoon. The shrine
of Ka¯makhya Dev¯ı is linked with the myth of Sat¯ı, the con-
lithic caves dating from about 20,000 to 11,000 BCE. Yoni
sort of S´iva, who immolated herself after her father scorned
symbols have been found in profusion in these caves, many
her husband by not inviting him to a great sacrifice. The dis-
of them identical to some of the Indian representations of
consolate S´iva carried Sat¯ı’s corpse with him in his wander-
the yoni. The most often found Paleolithic yoni symbol is the
ings, and parts of her body fell to earth. Her yoni fell where
same as the Tantric symbol, namely a downward-pointing
the shrine of Ka¯makhya Dev¯ı is located. At the shrine of Va-
triangle (see figure 1.1), with variations (figure 1.2, 1.3).
ishno Dev¯ı in Jammu, pilgrims crawl on their bellies along
What is even more remarkable is the association between the
a dark and wet narrow corridor to reach the cave of the God-
yonic triangle and representations of the bison found at sev-
dess. A spring originates there, completing the birth-rebirth
eral Paleolithic caves, since the bison is the Western cousin
imagery. Clearly the yonic symbolism of caves is extraordi-
of the Eastern buffalo.
narily ancient.
The most striking such representation is the one found
The cave at Lascaux is immense, with several corridors
at the Abri du Roc aux Sorciers at Angles-sur-Anglin, France,
and large chambers covered with spectacular rock paintings
dating from about 13,000 to 11,000
of animals. These caves were not habitats but ritual centers
BEC. A colossal group
of three female torsos with exaggerated yonis, all represented
for the Paleolithic hunters and gatherers. The painted herds
as cleft downward-pointing triangles (figure 1.2), are etched
found in their depths, visible only by the flickering light of
in the living rock wall. The three female figures are standing
torches, may represent the animals in the earth’s womb out
on a bison. The relief of two recumbent female figures dates
of which animals come in the daylight and into which they
from the same period; they flank both sides of the entrance
return at night, only to reemerge in the morning. A painted
to a shallow cave at La Madeleine in France. The figure to
scene in the innermost recess of this complex of caves, called
the right has at its center the same downward-pointing cleft
“the Crypt” because it is sixteen feet below the general level
triangle to represent the yoni (the left image is too damaged
of the cavern floor, has been interpreted by Joseph Campbell
to discern the sexual parts); below the figure on the left is
as representing a similar theme, that of the regenerative
a bison.
power of death. The scene shows a bison with a spear enter-
ing through its anus and emerging from its genitals, where
The famous “Woman with the Horn,” dating some five
its entrails hang out in the form of four concentric ovals.
to seven thousand years earlier, depicts a nude female hold-
Next to the bison lies a bird-headed or bird-masked ithyphal-
ing a bison horn in her right uplifted hand; it is incised on
lic man and next to him a spear-thrower and a bird-topped
the rock wall of a shelter at Laussel in France. The bison horn
staff. The figure in all likelihood represents a shaman, since
is marked with thirteen lines, most likely representing the
birds are in contemporary shamanistic contexts the typical
thirteen lunar months in the year. The crescent shape of the
vehicles for the shaman’s trance flight to the underworld or
horn bears an unmistakable likeness to the lunar crescent.
the heavens.
The analogy between the cycles of the moon and the men-
strual cycle of women is found in most cultures of the world.
The symbolic equivalence between spear and phallus is
The parallelism is most directly stated by the !Kung hunters
ethnographically widespread, as is the analogy between con-
and gatherers of the Kalahari Desert of southern Africa,
centric ovals or other labyrinthine or spiral patterns and the
among whom the menses are simply called “the moon.”
female generative organs. The association between the yoni
and a wound is widespread as well. It is an analogy still ex-
Only a few miles from the Laussel rock shelter is situat-
pressed today in South India and Sri Lanka. An ancient
ed the most grandiose of all Paleolithic painted caves, that
Tamil poem brings together the phallus-spear and yoni-
of Lascaux. That caves were symbolic of the earth’s womb
wound analogies by depicting a man who views his newborn
is strongly suggested by the cave at La Madeleine, with its
son for the first time wearing full warrior attire, a bloody
entrance flanked by two nude women. On the rim of the en-
spear in his hand and a freshly self-inflicted wound on his
trance to the Lascaux cave is incised a cluster of what André
neck. Leroi-Gourhan, who has made an intensive study of
Leroi-Gourhan has termed “female vulvas in the shape of
the Paleolithic cave paintings, identifies the bison’s hanging
claviforms.” Thus to enter a cave was to enter the deep, laby-
entrails as a yoni symbol. The speared bison, most probably
rinthine, dark womb of Mother Earth.
a sacrificial victim, represents in death a sexual union. The
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YONI
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scene is hauntingly reminiscent of the sacrifice of the buffalo-
Cave mouths and clefts in rock walls are not the only
man to the Indian Goddess, also equivalent to sexual union.
yonic associations one encounters cross-culturally. Moun-
The womb-cave of the earth is a generative power, which
tains themselves have been associated with the yoni, as the
brings forth life through death.
Latin term mons veneris, meaning the yonic triangle, attests,
since it literally means “mountain of Venus.” Springs, rivers,
The view of the womb as the originator of both life and
ponds, lakes, and seas have female meanings in many cul-
death is succinctly captured in the following Hindu saying:
tures of all levels of complexity. From the yoni gush forth the
“Again birth, again death, again sleep in the mother’s
maternal waters at the time of birth. The earth’s stones and
womb.” In many so-called primitive cultures, the departed
metals have been analogized to the Goddess’s bones. In the
ancestors live in a place from which they come back to enter
realm of vegetation some of the best-known yonic icons are
the yonis of women to be reborn. In the Trobriand Islands
fruits whose shape are in some ways analogous to that of the
of Melanesia unborn and the dead are the very same beings.
yoni. Some of the best-known are the pomegranate (Europe
After death and the observation of the proper funerary ritu-
and West Asia), the mango (South Asia), the kidney bean
als, the departed ancestor or ancestress goes to the island of
(Rome), the fig and the almond (the Mediterranean world),
Tuma. It is from that island that the departed return in the
and the peach and the apricot (Europe).
form of the soul of unborn children to enter the yonis of Tro-
briand women. In aboriginal Australia, the sacred engraved
The active character of the etymology of the word yoni
ancestral stones called tjurungas are hidden in hollows and
reveals itself in the mythological realm as the ´sakti, or power
caves; by visiting these sites the women become impregnated.
of the Goddess. These are contemporary Hindu concepts
It is in the light of such cyclical views of generation and re-
that seem to be the heirs of one of the oldest religious tradi-
generation that one can understand rituals in which death
tions of humankind. In the Tantric tradition—and much
and the act of generation are made to coincide as they appar-
popular Hinduism as well—the Goddess is the active princi-
ently do in the Lascaux crypt; the end is also the beginning.
ple in the cosmos without whom her male consort S´iva
would be just a corpse. The life-giving, animating power of
Entering the womb/caves of the Paleolithic hunters and
the cosmos is S´akti, a personification that in its most con-
gatherers must have been a numinous experience for the par-
crete manifestation resides in the yoni. In the esoteric Tantric
ticipants, who had to creep through dangerously narrow,
traditions in both Hinduism and Buddhism, the yoni is wor-
dark passageways to a world beyond night and day, beyond
shiped in an elaborate secret ritual in the form of several sym-
time itself. It is indubitable that the nearly universal analogy
bolic representations. It is worshiped literally as well: a
between the earth and woman implicit in the womb/cave
woman sits nude and cross-legged, exposing her yoni, to
identification is at least as old as those remotest of cultures.
which the worshipper makes a series of offerings. For Tan-
The theme of the earth as a womb into which the dead
trics, all women are living incarnations of the Goddess. In
are placed is found throughout the Neolithic period. In her
popular Hinduism, the yonis of sculpted female figures on
work summarizing the archaeological finds in southeastern
entrance gates are ritually fingered by worshipers as they
Europe and the eastern Mediterranean areas (6500 to 3500
enter a place of worship.
BCE), Marija Gimbutas (1982) gives ample evidence of the
Popular belief in Hindu India holds that vaginal fluids
prominence of triangular yoni designs as well as of goddess
enter the man’s penis during intercourse. This belief corre-
images in the act of giving birth, legs wide apart. The dual
sponds to the standard Indian poetic image for sexual union,
nature of the goddess as both giver and taker of life is most
that of the male bumblebee gathering honey in female flower
vividly represented in the many shrines found at the site of
buds. In intercourse, through the woman’s vaginal fluids a
Çatal Hüyük in Anatolia. Breasts rising out of the shrine wall
man receives the ´sakti that is his wife’s. Such ideas underlie
have open nipples out of which vultures’ beaks protrude; the
the custom of the establishment of concubines for kings,
skull of the vulture is inside the breast. The wall paintings
chiefs, and other important males, a practice found not only
in these shrines show vultures pecking at the flesh of headless
in India but in certain West African and Pacific cultures as
corpses. The evidence from burial sites in the shrines led the
well. These ideas are by no means encountered solely among
excavator of Çatal Hüyük, James Mellaart, to the conclusion
complex cultures based on agriculture, such as traditional
that before burial in the earth, the corpses were exposed on
Hindu India, but are also found among hunters and gather-
elevated platforms for the purpose of excarnation. This is a
ers. A !Kung woman from the Kalahari Desert, named Nisa
practice still followed by Zoroastrians. In some of the
by her anthropologist biographer (Marjorie Shostak), says
shrines, images of the naked goddess are represented giving
the following about women’s genitals: “Women possess
birth to a bison or a ram’s head. In other sites of this area,
something very important, something that enables men to
designated by Gimbutas as Old Europe, the dead are placed
live: their genitals. A woman can bring a man life, even if he
in egg-shaped pithoi in a fetal position. Like the grave pit,
is almost dead. She can give him sex and make him live again.
the pithos was considered to be a womb from which the child
If she were to refuse, he would die!”
or adult could be born again. Often the body was sprinkled
with red ocher, a symbol of blood, to assure the restoration
The life-giving power of vaginal fluids is most concrete-
of life.
ly exemplified among the Kiwai people of New Guinea. Vag-
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YONI
inal secretions are used extensively in garden rituals. For ex-
promoting powers of the vulva and its secretions have given
ample, when the first shoots of yams, the culture’s staple diet,
rise to a widespread use of representations of the female geni-
have sprouted above ground, the mother of the owner of the
talia as apotropaic devices. The custom of plowing a furrow
garden smears her hands with her vaginal fluids and tugs at
for magical protection around a town was practiced all over
one of the shoots. At the time of planting taro, the mother
Europe by peasants. It was still observed in the twentieth
lies down nude in the garden; and her husband inserts the
century in Russia, where villages were thus annually “puri-
digging stick in her vulva and then digs the hole in the
fied.” The practice was exclusively carried out by women,
ground between her legs. The fertile powers of the vulva and
who, while plowing, called on the moon goddess. A similar
its secretions could not possibly be more concretely stated.
apotropaic function seems to have prompted the placing of
squatting female figures prominently exposing their open
In most agricultural societies the furrow or the seed hole
vulvas on the key of arches at church entrances in Ireland,
stand for the vulva. The seed stands for semen, and the
Great Britain, and German Switzerland. In Ireland these fig-
plough or digging stick for the phallus. S¯ıta¯, the heroine of
ures are called Sheelagh-na-gigs. Some of these figures repre-
the Indian epic the Ra¯ma¯yan:a, was born in a furrow; indeed,
sent emaciated old women. These images are illustrations of
her name means “furrow.” When she was abducted by the
myths concerning the territorial Celtic goddess who was the
demon king Ra¯van:a, the vegetation wilted and the animals
granter of royalty. When the goddess wished to test the king-
ceased to reproduce. Ra¯ma, her royal husband, unable to
elect, she came to him in the form of an old hag, soliciting
unite with her, had to endure a barren realm until he was
sexual intercourse. If the king-elect accepted, she trans-
able to bring her back.
formed herself into a radiantly beautiful young woman and
Underlying the symbolic associations between the earth,
conferred on him royalty and blessed his reign. Most such
its caves, furrows, and waters and the vulva is the notion of
figures were removed from churches in the nineteenth
the transformative powers of female sexuality. In the furrow
century.
the seed transforms itself into fruit or grain; in the cave/
This Celtic tradition bears a remarkable resemblance to
womb of the earth death transforms itself into life; in the
certain Hindu myths and rites. The goddess Laks:m¯ı is also
womb of woman, male and female sexual fluids transform
a granter of sovereignty. In union with her, a man becomes
themselves into a human being. The transformative powers
a king. If she leaves such a man, he loses his sovereignty and/
of the vulva account for much of the symbolism of initiation
or the power to ensure the fertility and well-being of his
rites cross-culturally. The transformation of a child into a
realm. Laks:m¯ı’s iconography is intimately associated with
sexually potent adult or of an uninitiated person into an ini-
the lotus, one of the most ubiquitous South Asian yoni sym-
tiated one is very often effected by a symbolic return into the
bols. The lotus itself can stand for Laks:m¯ı. Her consort,
womb, the original transformative matrix. It is interesting to
Vis:n:u, who is an embodiment of sovereignty, has as one of
note that in Hindu India both the Vedic initiation for a brah-
his four attributes the lotus, which he holds in one of his
man male and the Tantric initiation rite use basically the
hands. This denotes his union with the Goddess, the source
same womb symbolism. The following passage from the Ai-
of his sovereignty. Such beliefs underlie the apotropaic char-
tareya Bra¯hman:a (1.3), most graphically describes this
acter of the couples engaged in sexual intercourse often
process:
found sculpted on the outer walls and entrances of Hindu
Him whom they consecrate the priests make into an
temples. The magical protective function of the female geni-
embryo again. He should be bathed in water. . . ,
talia is dimly preserved in the European folk custom of hang-
anointed with navanita or clarified butter [a symbol of
ing a horseshoe over the threshold. The horseshoe, made
embryo, according to the text] and purified with darbha
from a substance from deep inside the womb of the earth—
or kusa grass. Then collyrium is to be put in his eyes,
iron—is shaped like the loop in the yonic triangles.
just as it is in the eyes of the new born. After this, the
candidate will have to enter and stay in a hut shaped
A remarkable parallel to the Celtic Sheelagh-na-gig is
like a female organ.
found in the Palauan archipelago. The wooden figure of a
nude woman, prominently exposing her vulva by sitting with
The absence of any other openings except for the eastern en-
legs wide apart and extended to either side of the body, is
trance can only be explained in terms of a womb symbolism.
placed on the eastern gable of each village’s chiefly meeting
The native North American Navajo myth of Changing
house. Such figures are called dilugai. Interestingly, the yoni
Woman makes it clear that impregnation by the Sun took
is in the shape of a cleft downward-pointing triangle. These
place through the hogan’s eastern entrance. Thus the init-
female figures protect the villagers’ health and ward off all
iand is transformed into a bringer of fertility to herself, the
evil spirits as well. They are constructed by ritual specialists
people, and the earth in a fashion identical to that of Chang-
according to strict rules, which if broken would result in the
ing Woman. The transformation was accomplished through
specialist’s as well as the chief’s death. It is not coincidental
a stay in a symbolic vulva that, through song, became the pri-
that each example of signs representing the female genitalia
mordial hogan at the womb-gate of the earth.
used as apotropaic devices are found on gates. The vulva is
Aside from the transformative religious mysteries of sac-
the primordial gate, the mysterious divide between nonlife
rifice and initiation, the obvious life-giving and growth-
and life.
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YORUBA RELIGION
9909
A final major cluster of meanings associated with the
search to date. Marija Gimbutas’s book The Goddesses and
vulva relates to its association with wealth. Such an associa-
Gods of Old Europe, 7000–3500 B.C.: Myths, Legends, Images
tion expresses itself in a broad variety of cultures and in dif-
(Berkeley, Calif., 1982) is a must for a richly illustrated and
ferent ways. Shells in general have been and still are symbols
clearly presented treatment of goddess imagery during the
of the vulva; the earliest known example is a Magdalenian
Neolithic period in Europe. Primitive Erotic Art, edited by
(Upper Paleolithic) fragment of bone from Arudy in south-
Philip S. Rawson (New York, 1973), has seven essays cover-
ing prehistory, Celtic and northern regions, North America,
western France depicting a horse’s head in the act of licking
Mesoamerica, the Central Andean region, Africa south of the
a yonic shell. However, the link between the vulva and
Sahara, and the equatorial islands of the Pacific. Rawson’s
wealth has been represented perhaps most prevalently by the
own essay on Paleolithic and primitive symbolism is an excel-
cowrie shell, which has served as a medium of economic ex-
lent introduction and can be used for further research. For
change in several cultures, particularly in West Africa and
a convenient compendium of information on female-
India. This smooth univalve bears in its shape and coloring
centered religious myths and rituals, Barbara G. Walker’s
an unmistakable resemblance to the vulva, which undoubt-
The Woman’s Encyclopedia of Myths and Secrets (San Francis-
edly accounts for the association in as widely separated re-
co, 1983) is quite useful; each entry is footnoted, and the
gions as West and North Africa, South Asia, Japan, and the
bibliography is extensive. Elinor Gadon’s The Once and Fu-
Pacific Islands.
ture Goddess (San Francisco, 1989) has an excellent survey of
Goddess’ icons, including the yoni throughout prehistory
The complex of ideas relating wealth and fertility to the
and history. An important article on a reevaluation of the so-
vulva is further illustrated by an example from the West Afri-
called proto-S´iva Harappan seal is Alf Hiltebeitel’s “The
can Tiv culture. One of their most sacred objects, symboliz-
Indus Valley ‘Proto-S´iva,’ Reexamined through Reflections
ing the fertility of their tribal land and the well-being of its
on the Goddess, the Buffalo, and the Symbolism of Va-
hanas,” Anthropos 73 (1978): 767–797. For a comprehensive
inhabitants, is a human tibia, decorated and ornamented in
treatment of the links between the West Asian, the Harappan
the shape of a woman, with cowrie shells for the eyes and
and the Hindu Goddess see the following three articles by
sometimes on the front of the body as well. It has a hole at
the vedic scholar Asko Parpola: “The Metamorphoses of
the place of the navel; the decorations around it are the same
Mahisa Asura and Prajapati” in Hoek, A. W. van den,
as the scarifications produced on women’s bodies at puberty.
D. H. A. Kolff and M. S. Oort (1992): 275–308; “Vac as a
When disaster threatens or has taken place, and also in annu-
Goddess of Victory in the Veda and Her Relation to Durga”
al renewal ceremonies, this object, called the imborivungu
Annals of the Institute for Research in Humanities, Kyoto Uni-
(“owl pipe”) is used ritually. In a secret ritual the elders pour
versity 1999: 34(2): 101–143; “Pre-Proto Iranians of Afghan-
blood from a miscarried fetus into its navel hole. The im-
istan as initiators of Sakta Tantrism: On the Scythian/Saka
borivungu is then shaken over fields and in wells to ensure
affiliation of the Dasas, Nuristanis and Magadhans” Iranica
Antiqua 37 (2002): 233–324. On the royal symbolism of
the fertility of the land and of the women. In this example,
goddess Laks:m¯ı, see Frédérique Apffel, Marglin Wives of the
the yonic cowries, along with the abdominal designs, identify
God-King: The Rituals of the Devadasis of Puri (Oxford,
the sacred object as a fertile woman. The ritual is intended
1985). For an in-depth treatment of yonic rituals in Tantric
to bring about both material abundance—since good crops
Buddhism, see Miranda Shaw, Passionate Enlightenment
are the primary source of wealth in agricultural societies—
(Princeton, N.J.,1995). For an exhaustive treatment of the
and the fertility of women. Here again one finds the nearly
theme of sacrificial death, sexual union, and rebirth, David
universal equation between the fertility of the earth, the
Dean Shulman’s Tamil Temple Myths: Sacrifice and Divine
source of wealth, and the fertility of women.
Marriage in the South Indian Saiva Tradition (Princeton,
N.J., 1980) is indispensable.
SEE ALSO Caves; Feminine Sacrality; Paleolithic Religion;
FRÉDÉRIQUE APFFEL-MARGLIN (1987 AND 2005)
Prehistoric Religions, article on Old Europe.
BIBLIOGRAPHY
There is no single work available that deals primarily with this
YORUBA RELIGION. The twelve to fifteen million
topic. Information is widely scattered in many different
Yoruba people of southwestern Nigeria, the Republic of
works of ethnography, history of religion, and art history, to
Benin (formerly Dahomey), and Togo (topographically the
mention the most relevant disciplines. On the Tantric reli-
area is defined as that between 6°0–9°5’ 2°41’–6° east longi-
gion of India a thorough and reliable work is N. N. Bhatta-
tude) are the heirs of one of the oldest cultural traditions in
charyya’s History of the Tantric Religion (New Delhi, 1982).
West Africa. Archaeological and linguistic evidence indicate
A useful study of female initiation rites in five cultures—
that the Yoruba have lived in their present habitat since at
India, Navajo, Tiv, Amazon Basin, and ancient Greece—is
least the fifth century BCE. The development of the regional
Bruce Lincoln’s Emerging from the Chrysalis: Studies in Ritu-
als of Women’s Initiation (Cambridge, Mass., 1981). For an
dialects that distinguish the Yoruba subgroups and the pro-
inspiring and superbly illustrated treatment of the Paleolithic
cess of urbanization, which developed into a social system
cave paintings, Joseph Campbell’s The Way of the Animal
unique among sub-Saharan African peoples, took place dur-
Powers, vol. 1 of his Historical Atlas of World Mythology (New
ing the first millennium BCE. By the ninth century the an-
York, 1983), provides an excellent summary of scholarly re-
cient city of Ile-Ife: was thriving, and in the next five centuries
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9910
YORUBA RELIGION
Ife: artists would create terracotta and bronze sculptures that
in the central and northwest, the Ife: and the Ije:s:a in the cen-
are now among Africa’s artistic treasures.
tral, the Owo in the eastern, and the Igbomina and Ekiti in
the northeast regions. Throughout Yorubaland, the social
Both Yoruba myth and oral history refer to Oduduwa
(also known as Odua) as the first king and founder of the
system is patrilineal and patrilocal, although among the E:gba
Yoruba people. Some myths portray him as the creator god
and E:gbado there are elements of a dual descent system. The
and assert that the place of creation was Ile-Ife:, which subse-
extended family (idile), which dwells in the father’s com-
quently became the site of Oduduwa’s throne. Oral history,
pound so long as space and circumstance permit, is the essen-
however, suggests that the story of Oduduwa’s assumption
tial social unit and the primary context in which self-
of the throne at Ife: refers to a conquest of the indigenes of
awareness and social awareness are forged. Thus, O:dun
the Ife: area prior to the ninth century by persons from “the
Egungun, the annual festival for the patrilineal ancestors, is
east.” While it is increasingly apparent that the sociopolitical
the most widespread and important festival in the Yoruba li-
model of a town presided over by a paramount chief or king
turgical calendar. Elaborate masquerades (egungun), are cre-
(o:ba), was well established in Ife: and present among other
ated of layers of cloths of dark colors with white serrated
Yoruba subgroups, the followers of Oduduwa developed the
edges. The costume covers the dancer, who moves about the
urban tradition and enhanced the role of the king. In later
compound or town with stately pace, occasionally perform-
years, groups of people who sought to establish their political
ing whirling movements, causing the cloths to splay out in
legitimacy (even if they were immigrants) were required to
constantly changing patterns. In movement and appearance
trace their descent from Oduduwa. Such people were known
the masquerade depicts the presence and power (as:e:) of the
as “the sons of Oduduwa,” and they wore beaded crowns
ancestors. The ancestors are those persons who established
(adenla) given to them by Oduduwa as the symbol of their
the “house” (ile) and the family and who continue to stand
sacred authority (as:e:).
surety for its integrity and survival against threats of witch-
craft and disease, so long as their heirs acknowledge the an-
Origin myths, festival rituals, and oral traditions asso-
cestral presence.
ciate the indigenous peoples with O:batala, the deity (oris:a)
who fashions the human body. And because he too was an
While masquerades for the patrilineal ancestors are
o:ba, his priests wear white, conical, beaded crowns similar
found among all the Yoruba, there are other masked festivals
to those reserved for “the sons of Oduduwa.” The myths and
that are distinctive to particular areas, reflecting the regional
rituals also refer to a great struggle between O:batala and
history that has shaped the Yoruba experience. The Yoruba
Oduduwa at the time of creation, following Oduduwa’s theft
peoples of the southwest (the Anago, Awori, E:gbado, Ke:tu,
of the privilege granted by O:lo:run (Olodumare), the high
and E:gba) celebrate the Ge:le:de: festival at the time of the
god, to O:batala to create the earth and its inhabitants. In the
spring rains. The festival honors awon iya wa (“the moth-
town of Itapa, the sequence of rituals that composes the an-
ers”), a collective term for the female power (as:e:) possessed
nual festival of O:batala reenacts a battle between Oduduwa
by all women but especially manifest in certain elderly
and O:batala, Oduduwa’s victory over and the banishment
women and in female ancestors and deities. It is the awesome
of O:batala, and the rejoicing that took place among the gods
power of woman in its procreative and destructive capacities
and humankind with the return of O:batala at the invitation
that is celebrated and acknowledged. Among the Ije:bu peo-
of Oduduwa. And there is the tradition among the O:yo: Yor-
ples of the south the annual festival for Age:mo:, an oris:a
uba of the unwarranted imprisonment of O:batala by S:ango
whose power is represented by the chameleon, brings sixteen
and the thunder god’s release of the wandering, ancient king
priest-chiefs famed for their magical or manipulative powers
after famine and barrenness threatened field and home.
from towns surrounding the capital city of Ije:bu-Ode into
ritual contests of curse and masked dance with one another
In these myths and rituals there is a historical remem-
and then into the city, where they petition and are received
brance of a usurpation of power and the acknowledgment
by the Awujale, the oba of Ije:bu-Ode. The secret power of
that a violent conflict and a tenuous reconciliation gave birth
the priest-chiefs meets the sacred power of the crown. Each
to modern Yoruba culture. The remembrance, however, has
is required to acknowledge the role of the other in the com-
not only to do with a past time, with historical and cultural
plex balance of power that constitutes Ije:bu political life. The
origins; it is also a statement about the nature and limits of
E:le:fon and E:pa festivals are masquerades performed in the
the authority of kings in defining the moral basis of Yoruba
towns of such Yoruba subgroups as the Igbomina and Ekiti
society. It is also about the importance of Ile-Ife: as the sym-
in honor of persons and families whose lives embodied the
bol of Yoruba cultural homogeneity, while acknowledging
social values by which Yoruba culture has been defined in
the distinctiveness and the independence of other Yoruba
the northeastern area. The helmet masks with their large
subgroups.
sculptures are balanced on the dancers’ heads and are the
There are approximately twenty subgroups, each identi-
focus of ritual sacrifice (e:bo:) and songs of praise (oriki)
fiable by its distinctive variation in linguistic, social, political,
throughout the festival. They are images of the sacred power
and religious patterns born of the history of the region.
of those who founded the town or contributed to its life in
Among the principal groups are the E:gba and E:gbado in the
important ways. Thus, while individual masks are associated
southwest, the Ije:bu in the southern and southeast, the O:yo:
with particular families, they also refer to the roles of hunter,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YORUBA RELIGION
9911
warrior, king, herbalist-priest, and leader of women, roles
coping with human suffering. Rarely does only one oris:a lay
that transcend lineage ties and express in their collectivity
claim to a person. Ogun or S:ango or O:s:un may dominate
cultural achievement. Their powers are akin to those of the
one’s life and shape one’s perception of self and world, but
oris:a, the gods of the Yoruba pantheon.
other oris:a will have their artifacts on the shrine, as well as
their claims and influence upon one’s life. Just as the Yoruba
According to the Yoruba, there are 401 oris:a who line
dancer must respond to the multiple rhythms of the drums,
the road to heaven. All of them are thought to have been hu-
so must the soul attentive to the powers of the oris:a respond
mans who, because they led notable lives, became oris:a at the
to their diverse claims. The complexity of the response may
time of their death. For example, S:ango, the god of thunder,
overwhelm one. But as in the ability of the dancer to be con-
was a legendary king of O:yo: before he became an oris:a. The
scious of and respond to every instrument of the orchestra,
extraordinary number of oris:a reflects the regional variation
in their worship. S:ango is the patron deity of the kings of
so in sacrificing to all the oris:a who call, the worshiper (olu-
O:yo:, and his shrines are important in those towns that were
sin, “he who serves”) can know the richness of life and its
once part of the old O:yo: empire (c. 1600–1790). But in
complexity and can achieve the superior poise, the equanimi-
Ile-Ife:, or in communities to the south and east, the role of
ty of one who possesses ase amid the contradictions of life.
S:ango and the degree to which he is worshiped diminishes
Thus, when one considers the configuration of oris:a symbols
markedly. As one moves from one part of Yorubaland to an-
on a devotee’s shrine or the cluster of shrines and festivals
other, it will be O:s:un, goddess of medicinal waters, or Oko,
for the oris:a in a particular town or the pantheon as a whole,
god of the farm, or Erinle, god of forest and stream, or
as a total system, one discerns that the total assemblage of
O:batala or Age:mo: whose shrines and festivals shape the reli-
oris:a expresses in it totality a worldview. And it is in the reali-
gious life of a people. Furthermore, the oris:a have multiple
ty of this worldview that Yoruba experience, at the personal
names. Some call S:ango O:ba Koso (“king of Koso”); others
and social levels, is given coherence and meaning.
greet him as Balogunnile Ado (“leader of warriors at Ado”).
In addition to the oris:a of the pantheon, there is one’s
S:ango is also addressed as Abinufarokotu (“one who violently
personal oris:a, known as ori inun (“inner head”), which refers
uproots an iroko tree”), O:ko: Iyemo:nja (“husband of Iyemon-
to the destiny that one’s ancestral guardian soul has chosen
ja”), or Lagigaoogun (“he who is mighty in the use of magical
while kneeling before O:lo:run prior to entering the world. It
powers”), names that reveal the varied and distinctive experi-
is a personal destiny that can never be altered. Birth results
ences of his devotees and their relationship to the oris:a. The
in the loss of the memory of one’s destiny. But one’s “ori-in-
multiplicity (or fragmentation) of the oris:a is also a conse-
heaven,” which is also referred to as ekejimi (“my spiritual
quence of the historical dislocation of peoples that occurred
other”), stands surety for the possibilities and the limits of
during the intertribal wars of the nineteenth century. When
the destiny that one has received. Hence, one must make
persons and groups were forced to move from one area to
one’s way in life, acknowledging one’s ori as an oris:a who can
another, their oris:a went with them, shaping and being
assist one in realizing the possibilities that are one’s destiny.
shaped by the new world of their devotees’ experience.
One can have an ori buruku (“a bad head”). In such a case
Of all the oris:a it is Ogun, god of iron and of war, whose
a person must patiently seek to make the best of a foolish
worship is most widespread. It is said that there are seven
choice and seek the help of the other oris:a.
Ogun, including Ogun of the blacksmiths, Ogun of the
In oris:a worship it is the wisdom of O:runmila, the oris:a
hunters, Ogun of the warriors, and Ogun Onire. Ire is a
of Ifa divination, and the work of Es:u, the bearer of sacrifices,
town in northeast Yorubaland where Ogun was once the
that stand for the meaningfulness of experience and the pos-
leader of warriors and where he “sank into the ground” after
sibility of effective action. The vast corpus of Ifa poetry, orga-
killing persons in a great rage, having misunderstood their
nized into 256 collections called odu (also known as oris:a)
vow of ritual silence as a personal affront. As with other oris:a,
is a repository of Yoruba cultural values. It is the priest of
Ogun expresses and shapes a people’s experience with respect
Ifa, the babalawo (“father of ancient wisdom”), who knows
to a particular aspect of their lives. In the case of Ogun, it
Ifa and performs the rites of divination. Using the sixteen sa-
is the experience of violence and culture: His myths and ritu-
cred palm nuts or the opele chain, the priest divines the odu
als articulate for the Yoruba the irony that cultural existence
whose verses he will chant in addressing the problem of the
entails destruction and death. One must kill in order to live.
suppliant and determining the sacrifices that must be made.
And such a situation carries with it the danger that the de-
For the Yoruba, every ritual entails a sacrifice, whether it is
struction will go beyond culturally legitimate need, destroy-
the gift of prayer, the offering of a kola nut, or the slaughter
ing that which it should serve. Thus, to employ Ogun’s
of an animal. In the Ifa literature, sacrifice (e:bo:) has to do
power, one must be aware of Ogun’s character (iwa) and be
with death and the avoidance of such related experiences as
cognizant that the beneficent god can become the outraged
loss, disease, famine, sterility, isolation, and poverty. It is an
oris:a who bites himself.
acknowledgment that human existence is ensnared in the in-
As with Ogun, each of the oris:a, in the diversity and in-
terrelated contradictions of life and death. But sacrifice is also
dividuality of their persons and attributes, may be under-
viewed as the reversal of the situation of death into life. Sacri-
stood as providing an explanatory system and a means of
fice is the food of the oris:a and other spirits, and one sacri-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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YOSE BEN H:ALAFTAD
fices that which appropriately expresses the character (iwa)
The most important specialized studies on Yoruba religious
of the particular oris:a or spirit of one’s concern. Hence,
thought and practice include those on Ifa poetry and divina-
Ogun receives a dog, the carnivorous animal that can be do-
tion rites by ’Wande Abimbo:la, Ifá: An Exposition of Ifá Lit-
mesticated to assist the hunter and warrior. Sacrifice is the
erary Corpus (Ibadan, 1976), and William R. Bascom, Ifa
acknowledgement of the presence of powerful agents in the
Divination: Communication between Gods and Men in West
Africa (Bloomington, Ind., 1969). Abimbola has edited an
world, and the sacrificial act brings the creative power of
extensive collection of essays, Yoruba Oral Tradition (Ife:,
the oris:a, the ancestors, or the mothers to the worshiper; sac-
1975), that provides an excellent introduction to Yoruba
rifice can also temporarily stay the hand of Death and ward
scholarship in the areas of archaeology, history, art, and reli-
off other malevolent spirits (ajogun). Such is the power of
gion. Of special note for their substantive and methodologi-
Es:u, the bearer of sacrifices, the mediator and guardian of
cal contribution are the essays by Babatundi Agiri on the
the ritual way, the “keeper of ase.”
early history of O:yo: and by Rowland Abiodun on Ifa art ob-
jects. Specialized studies of oris:a worship by John Pemberton
Those who have observed the ritual way and achieved
III and Karin Barber offer contrasting approaches and alter-
the status of elders in the community may also become mem-
native interpretations to that of Idowu; Pemberton’s “A
bers of the secret Os:ugbo (Ogboni) society. Although
Cluster of Sacred Symbols: Oris:a Worship among the Ig-
Os:ugbo is found throughout Yorubaland, its role and rituals
bomina Yoruba of Ila-O:rangun,” History of Religions 17 (Au-
vary from one region to another. Os:ugbo members, who
gust 1977): 1–26, pursues a structuralist analysis, and Bar-
come from various lineage groups, worship Onile (“the
ber’s “How Man Makes God in West Africa: Yoruba
owner of the house”). The “house” (ile) is the image of the
Attitudes towards the Oris:a,” Africa 51 (1981): 724–745,
universe in its totality, of which the Os:ugbo cult house is a
combines a sociological with an oral history approach. The
microcosm. The e:dan of the Os:ugbo society, which are
best study of masked festivals is Henry John Drewel and
small, brass, linked staffs that depict male and female figures,
Margaret T. Drewal’s Gèlèdé: A Study of Art and Feminine
Power among the Yoruba (Bloomington, Ind., 1983). See also
are the sign of membership and the symbol of the Os:ugbo
the special issue of African Arts 11, no. 3 (April 1983), edited
understanding of reality. The secret of the Os:ugbo appears
by Henry John Drewal, on the arts and festivals for
to be that its members know, and are in touch with, a pri-
Egungun.
mordial unity that transcends the oppositions characterizing
New Sources
human experience. Expressing the unity of male and female,
Adeoye, C. Laogun. Igbagbo and Esin Yoruba. Ibadan, Nigeria,
the e:dan and their owners possess the power of adjudicating
1985.
conflicts among persons or groups; when blood has been
Ajuwon, Bade. Funeral Dirges of Yoruba Hunters. New York,
shed illicitly (as in a murder) it is the Os:ugbo members who
1982.
must atone for this “violation of the house.”
Apter, Andrew. Black Critics and Kings: The Hermeneutics of Power
The worldview of the Yoruba is a monistic one. The
in Yoruba Society. Chicago, 1992.
universe of their experience is pervaded by as:e:, a divine ener-
Barnes, Sandra T., ed. Africa’s Ogun: Old World and New. 2d ed.
gy in the process of generation and regeneration. As:e: is with-
Bloomington, Ind., 1997.
out any particular signification and yet invests all things and
Gleason, Judith Illsley. OYA: In Praise of an African Goddess. San
all persons and, as the warrant for all creative activity, op-
Francisco, 1992.
poses chaos and the loss of meaning in human experience.
Komolafe, Kolawole. African Traditional Religion: Understanding
Thus, for the Yoruba the universe is one, and it is amenable
Ogboni Fraternity. Lagos, Nigeria, 1995.
to articulation in terms of an elaborate cosmology, to critical
Matory, James Lorand. Sex and the Empire That Is No More: Gen-
reflection, and to innovative speculation.
der and the Politics of Metaphor in Oyo Yoruba Religion. Min-
neapolis, 1994.
B
Murphy, Joseph M. Osun Across the Waters: A Yoruba Goddess in
IBLIOGRAPHY
Africa and the Americas. Bloomington, Ind., 2001.
The best general introductions to Yoruba religion are E. Bo:laji
Idowu’s Olódùmarè: God in Yoruba Belief (London, 1962)
Olupona, Jacob K. Kingship, Religion and Rituals in a Nigerian
and Robert Farris Thompson’s Black Gods and Kings: Yoruba
Community: A Phenomenological Study of Ondo Yoruba Festi-
Art at UCLA, 2d ed. (Bloomington, Ind., 1976). Idowu’s
vals. Stockholm, 1991.
study contains a wealth of primary data and is an important
Peel, J.D.Y. Religious Encounter and the Making of the Yoruba.
contribution by a Yoruba scholar, although the presentation
Bloomington, Ind., 2000.
is compromised by an uncritical use of Christian theological
Pemberton III, John, and Funso Afolayan. Yoruba Sacred King-
concepts and categories. Thompson’s highly readable, in-
ship: A Power Like That of the Gods. Washington, D.C.,
sightful, and brief essays analyze the Yoruba worldview in
1996.
terms of Yoruba art. This approach has been further devel-
JOHN PEMBERTON III (1987)
oped by William B. Fagg and John Pemberton III in Yoruba
Revised Bibliography
Sculpture of West Africa, edited by Bruce Holcombe (New
York, 1982). In addition to an anthology of Fagg’s essays on
Yoruba art, this volume includes texts by Pemberton, which
discuss seventy works of art in the context of Yoruba history,
YOSE BEN H:ALAFTAD (second century CE), Palestin-
rituals, and cosmology, and an extensive bibliography.
ian tanna. Born in Sepphoris, Yose was a student of Yoh:anan
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YOUNG, BRIGHAM
9913
ben Nuri, EAqivaD ben Yosef, and T:arfon. Like many of his
LDS); chief architect of the form of Mormonism that flour-
contemporaries, he worked at a humble occupation—he was
ished in the intermountain region of the western United
a tanner (B.T., Shab. 49a–b)—but he was also a leader of the
States in the nineteenth century and expanded throughout
rabbinic court at Sepphoris (B.T., San. 32b). He is associated
the United States and into many other countries.
with early mystical traditions, and it is said that he studied
with Elijah the prophet (B.T., Ber. 3a, Yev. 63a).
Although he insisted on baptism by immersion, which
he thought scripture required, Brigham Young joined the
Numerous traditions attributed to Yose are preserved in
Methodists several years before he heard about Joseph
rabbinic literature. He is one of the most frequently quoted
Smith’s “golden bible.” A skilled carpenter, painter, and cab-
authorities of his generation, along with MeDir, ShimEon, and
inetmaker, Young came from a family of devout Methodists
Yehudah. Jacob Epstein believes that the corpus of his tradi-
whose extreme poverty impelled them to leave New England
tions was one of the primary documents used in the redac-
for western New York, a family history that paralleled that
tion of the Mishnah.
of the Smith family. While Mormonism attracted many of
Yose was a product of rabbinic learning and culture in
his family members, Young held back. He read the Book of
a time of adjustment after two devastating wars with Rome.
Mormon soon after its publication in 1830 but waited two
His rulings and teachings, like those of other rabbis of the
full years before becoming a Latter-day Saint. Thus he was
time, reflect the struggle to overcome the uncertainty of Jew-
not converted in the very beginning when Mormonism’s pri-
ish life in the Land of Israel and the attempt to establish a
mary appeal was its claim that it had restored the priesthood
sense of order in religious and social life. Yose’s legal, exegeti-
of ancient Israel and that it was the only true church of Jesus
cal, and theological sayings contributed greatly toward this
Christ. He became a follower of the Mormon prophet, Jo-
goal.
seph Smith, in 1832, when the character of the new move-
ment was becoming as Hebraic as it was Christian, given the
Yose’s traditions evince a special interest in the events
emphasis being placed on its “gathering” doctrine, its tem-
of biblical history, as well as in the entire range of theological
ple-building plans, its patriarchal office, and its assertion that
topics, including the nature of God, the centrality of the
Mormons are God’s only chosen people. Convinced that
Torah, and the special nature of Israel. His legal rulings re-
these elements separating Mormonism from traditional
flect the concerns and activities of the rabbis of his genera-
Christianity were scripturally correct, Young accepted them
tion, from agricultural taboos, table manners, and rules for
wholeheartedly. Moreover, when temple ordinances were in-
holidays and family life to regulations for the rabbinic system
troduced that added plural marriage and baptism for the
of purities. Yose is associated, for example, with legislation
dead to Mormonism, and when the movement organized it-
concerning the recitation of blessings over foods in which he
self into a political kingdom, he accepted these innovations
rules that one who alters the formula for blessings established
as well, albeit somewhat less enthusiastically.
by the sages does not fulfill his obligation (Tosefta, Ber. 4.4).
To date, no systematic analysis has been made of Yose’s
After his rebaptism, Young devoted his entire energies
traditions, probably because of the sheer size of the corpus
to Mormonism. Following a preaching mission in the eastern
of sayings attributed to him.
United States, he moved to Ohio, assisting with the con-
struction of the Kirtland temple and much else. He went
SEE ALSO Tannaim.
with Zion’s Camp, a paramilitary expedition that failed to
rescue beleaguered Missouri Saints from their enemies, but
BIBLIOGRAPHY
nevertheless tested the mettle of future LDS leaders. Called
Jacob N. Epstein’s Mavo D le-sifrut ha-tannaDim (Jerusalem, 1957)
to the highest council in Mormondom, the Quorum of the
discusses the role of Yose’s materials in the formation of the
Twelve, in 1835, and made its president in 1841, Young ren-
Mishnah. In Rabbi Yose ben Halafta D (in Hebrew; Jerusalem,
dered signal service, particularly in organizing the exodus
1966), Israel Konovitz collects all the references to Yose in
when the Saints were driven from Missouri in 1839 and in
rabbinic literature. My own Studies in Jewish Prayer (1990)
analyzes the role of Yose’s rulings in the development of early
establishing a successful Mormon mission in England in the
rabbinic liturgy.
early 1840s. In Nauvoo, Illinois, during the final years of
Smith’s life, Young served in the prophet’s inner circle as the
New Sources
LDS political kingdom was organized and the secret practice
Levine, Hillel. “Rabi Yose’s Laundry: The History of a Flagrant
of plural marriage instituted.
Voice and the History of an Idea.” In Celebrating Elie Wiesel:
Stories, Essays, Reflections, edited by Alan Rosen,
The struggle for succession to LDS leadership after
pp. 113–122. Notre Dame, Ind., 1998.
Smith’s murder in 1844 intensified a division within the
TZVEE ZAHAVY (1987)
movement. On one side were Saints who, regarding Mor-
Revised Bibliography
monism as an idiosyncratic version of primitive Christianity,
opposed plural marriage and the political organization of a
kingdom in an Old Testament mode; on the other were
YOUNG, BRIGHAM (1801–1877), second president
Saints who supported these innovations as a part of the resto-
of the Church of Jesus Christ of Latter-day Saints (hereafter
ration of the “ancient order of things.” Although most his-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9914
YOUTH, FOUNTAIN OF
torical accounts present Young as the clear winner in this
tennial Perspective, edited by Thomas G. Alexander and Jessie
succession struggle, recent demographic studies reveal that
L. Embry (Provo, Utah, 1983).
he was the acknowledged leader of the latter group, but that
JAN SHIPPS (1987)
he by no means led the whole of the LDS community after
Smith’s death.
For the thousands who followed him, however, Young
YOUTH, FOUNTAIN OF
managed to effect the transfer of Mormon culture from Illi-
SEE REJUVENATION
nois to the Great Salt Lake Valley while preserving the vision
of Mormonism that Joseph Smith held at the end of his life.
He did this by assuming ecclesiastical, political, and spiritual
YU, also known as Yu the Great; demiurge who rid China
leadership of his followers. In Nauvoo, he took practical
of a great flood, legendary founder of the Xia dynasty, and
charge of the chaotic situation and arranged the departure
oldest pan-Chinese culture hero. (Huangdi, Yao, and Shun
of the Saints. In 1847, he was sustained as president of the
are in fact of later origin.) According to traditional accounts,
church by those who went west with him. In 1851, the feder-
Yu combated the flood by following the examples found in
al government recognized his leadership by appointing him
nature. Draining fields, dredging rivers, and cutting passes
as governor of Utah Territory. From these dual positions of
through the mountains, he thus succeeded where his father,
power, he established a new “Israel in the tops of the moun-
Kun, who used dikes to restrain the floods and block their
tains” in which, in the manner of Solomon of old, he reigned
course, had failed (Shu jing, Yu gong; Shi ji). Credited with
supreme as prophet, church president, and political leader.
the shaping of China’s waterways and irrigation systems, he
Unlike Joseph Smith, however, Young was not a prophet
became the patron saint of all hydraulic engineering (Shi zi,
who delivered new revelations and added lasting theological
Huainanzi). Yu also was a miner and a master of metals. He
elements to the movement he headed. His great contribution
invented bronze weapons and cast the Nine Caldrons of Xia,
was realizing Smith’s vision through the creation of a literal
symbols of his sovereignty, on which the various regions of
LDS kingdom. Even changed, as it was at the end of the
his empire were pictured (Zuo zhuan). The famous Shanhai
nineteenth century, this kingdom continues to animate and
jing (Book of Mountains and Seas) is said to be the text cor-
inspire Mormonism in much the same way that Solomon’s
responding to these images. Founder of metal-working con-
kingdom has animated and inspired Judaism and Christiani-
fraternities, Yu is the patron saint of esoteric and magical arts
ty across the ages.
that are at the roots both of alchemy and of Daoist longevity
S
techniques.
EE ALSO Mormonism.
Yu is one of the legendary model sovereigns upon whom
BIBLIOGRAPHY
the Yellow River and the Luo River deities bestowed the mys-
Until very recently, historical accounts of Young’s life and career
tical diagrams Hetu (“river chart”) and Luoshu (“Lo writ-
were either faith-promoting paeans of praise, based on nine-
ing”). In Daoist traditions, these sacred emblems were rein-
teenth-century official LDS publications, or ill-concealed at-
terpreted into the lingbao wufu (“five talismans of lingbao”),
tacks, based on published sources unfriendly to the Mor-
which Yu received from a god as a source of magical aid in
mons. Neither genre has disappeared, but as much of the
his Herculean labors. He is said to have hidden them in a
primary source material on which studies of Young must rely
sacred mountain, whence they were rediscovered to become
is now available to scholars, new studies presenting a more
the nucleus of a Daoist corpus of sacred scriptures (Wu Yue
balanced assessment of this important Mormon leader are
chunqiu; Lingbao wufu xu).
appearing. The most significant of these new studies are
Leonard J. Arrington’s Brigham Young: American Moses
One of the oldest rituals of Chinese culture, still prac-
(New York, 1985); Newell G. Bringhurst’s Brigham Young
ticed today by Daoist priests, is the Yubu, or “pace of Yu.”
and the Expanding American Frontier (Boston, 1985); and
Exhausted by his labors, Yu is said to have been stricken by
Ronald K. Esplin’s “The Emergence of Brigham Young and
hemiplegia, which gave him a limping gait (Shi zi). Others
the Twelve to Mormon Leadership, 1830–1841” (Ph. D.
say that spirits gave him control over men and nature by
diss., Brigham Young University, 1981). Two valuable edi-
teaching him a hopping dance with one foot trailing behind
tions of primary source materials are Letters of Brigham Young
the other. The ancient sovereigns danced in order to subdue
to His Sons, edited by Dean C. Jesse (Salt Lake City, 1974);
and Diary of Brigham Young, 1857, edited by Everett L. Coo-
rebels (Huainanzi), and sorcerers performed this dance to
ley (Salt Lake City, 1980). Stanley P. Hirshson’s The Lion
enter into trance. The Daoists adopted the Pace of Yu both
of the Lord: A Biography of Brigham Young (New York, 1969)
to gain access to supernatural powers such as those granted
is not recommended; despite its reputable publisher and re-
by plants that confer immortality and to overcome demonic
spected author, it is based on published sources, most of
forces (Baopuzi). For them, it was not merely the gait that
which are unfriendly to the Mormons.
was important but also the labyrinthine pattern traced by the
The results of recent demographic studies are reported in Dean
officiant’s feet, the pattern of a hexagram, or, more often, the
L. May’s “A Demographic Portrait of the Mormons, 1830–
meander of the Big Dipper. The Pace of Yu or the “shaman’s
1980,” in After 150 Years: The Latter-day Saints in Sesquicen-
pace” (wubu) is considered to contain the magic rhythm for
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YULUNGGUL SNAKE
9915
creating cosmic order and for summoning and subduing
the Jade Emperor is the supernatural ruler of the universe,
gods and demons. It became the favorite gait for the daoshi’s
including the divine pantheon. His foremost role is to confer
liturgical procession through the heavens (Daozang 987, Tai-
all advancement in the supernatural bureaucracy and in the
shang zongzhen biyao 8, 1116 CE). The Pace of Yu is still per-
religious hierarchies of this world, and to oversee the investi-
formed today as part of Daoist rituals in Taiwan.
ture of emperors and of gods, as in the popular novel Fengs-
hen yanyi (The Investiture of the Gods). Supreme arbiter,
SEE ALSO Chinese Religion, article on Mythic Themes.
judge, and sovereign of the universe, he is nevertheless mere-
ly the executor of orders emanating from the highest heaven-
BIBLIOGRAPHY
ly triad, the Daoist Three Pure Ones (San Qing) who are dei-
The myths of Yu the Great have been studied by Marcel Granet
in his Danses et légendes de la Chine ancienne (1929; reprint,
ties too remote and formidable for the popular cults.
Paris, 1959), pp. 466–590. His role in Daoism is mentioned
His feast day is the ninth day of the first lunar month.
in Max Kaltenmark’s “Ling-pao: Note sur un terme du tao-
His popular name is Master Heaven (Tiangong). He is repre-
ïsme religieux,” Mélanges publiés par l’Institut des Hautes
sented in the dragon-embroidered robe and pearly headgear
Études Chinoises, vol. 2 (Paris, 1960), pp. 561–565. Granet
of the Chinese emperor, seated on a throne and surrounded
has used the Pace of Yu as an example demonstrating the
by his courtiers. His canonical scripture, the Yuhuang benx-
roots of the Daoist religion in the rituals of high antiquity.
ing jing (twelfth to thirteenth century; Daozang nos. 10, 11,
See his “Remarques sur le taoïsme ancien,” Asia Major 2
(1925): 146–151, reprinted in Études sociologiques sur la
12), plays an important role in Daoist ritual.
Chine (Paris, 1953). Much information on Yu is to be found
SEE ALSO Chinese Religion, article on Mythic Themes;
also in volumes 2, 3, and 4 of Joseph Needham’s Science and
Kingship, article on Kingship in East Asia.
Civilisation in China (Cambridge, 1956–1971).
ANNA SEIDEL (1987)
BIBLIOGRAPHY
There is yet no monograph on this important deity. The best de-
scription is still that by Henri Maspero in “The Mythology
of Modern China,” in Taoism and Chinese Religion, translat-
YUHUANG, the Jade Emperor, has been the supreme
ed by Frank A. Kierman (Amherst, Mass., 1981). Some addi-
deity of the Chinese popular pantheon since at least the tenth
tional material has been presented by H. Y. Feng in “The Or-
century CE.
igin of Yü Huang,” Harvard Journal of Asiatic Studies 1
An essential and deeply rooted feature of Chinese cul-
(1936): 242–250.
ture is the concept of a single, centralized empire under the
ANNA SEIDEL (1987)
sovereignty of an emperor who is a sacerdotal as well as a sec-
ular ruler. This concept influenced religion in many ways.
Both the Daoist and the popular pantheon are modeled on
YULUNGGUL SNAKE. Yulunggul is the Great Py-
the civil bureaucracy of the Chinese state. Communication
thon of north-central Arnhem Land, who swallowed the
between the gods and encounters between deities and mor-
Wawalag sisters and their child(ren). Yulunggul is most often
tals often involve ritual similar to that between the vassal and
identified as male, with or without female counterparts. One
his sovereign or the administrator and his superior.
northeastern Arnhem Land version specifies Yulunggul as fe-
The highest deity of the religion of antiquity, the Em-
male but with symbolic male (phallic) implications.
peror on High (Shangdi) already was the ruler of a heavenly
William Lloyd Warner’s account (1937, e.g. p. 257)
court. About the supreme deity of folk religion we know
notes a variety of snakes, goannas, and snails as sons of
nothing until the ninth century CE. Belief and cult of the
Yulunggul. In a couple of women’s versions, Yulunggul’s py-
Jade Emperor took shape during the time of the most perfect
thon children, who live in the water hole with him, ask him
realization of the bureaucratic universal empire, the Tang
to regurgitate what he has eaten so that they can eat it too.
dynasty (618–906). Poems and paintings of the tenth centu-
Warner refers to Yulunggul as “great father” (Yindi Bapa or
ry attest to a fully developed myth, in which the Great Jade
Bapa Yindi), but it is possible that he misheard the more
Emperor (Yuhuang Dadi) is attended by his heavenly court
usual expression, “great snake” (Yindi Baapi).
composed of all the deities who rule above and below the
Unlike so many of the great mythic characters, who
earth, the gods of stars, wind, rain and thunder, mountains
came from elsewhere to sites that were to be spiritually asso-
and lakes, and others. The Song emperor Zhenzong (r. 998–
ciated with them, Yulunggul had always been at his special
1022) reinforced his own authority by claiming descent from
water hole, known as Mirara-minar and Muruwul; there is
mythical culture heroes, a lineage that had been revealed to
a cluster of names and waters in that area. The Wawalag sis-
him by an emissary of the Jade Emperor. In 1017, a state cult
ters, in contrast, were travelers from a distant country and
was instituted for the Jade Emperor, and he was canonized
were strangers: the kinship terms identifying them as sisters
under the title Great Heavenly Emperor, Majesty of [the
of Yulunggul’s were not consanguineously based. Neverthe-
Heaven of] Jade Purity (Yuqinghuang Da tiandi).
less, all of the mythic Snakes in north and northeastern Arn-
Jade Emperor is not a name but the title of a ruler with
hem Land, including Yulunggul, were good site guardians
a particular function. Patterned after the terrestrial emperor,
and knew who the travelers were.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9916
YULUNGGUL SNAKE
The Wawalag sisters brought with them inland-type
More generally, in all available versions he is identified in
songs. These are in the compressed, key-word style typical
spirit with the baara, the fast-moving, rain-bearing monsoon
of the Kunapipi (Gunabibi)—unlike the long, drawn-out
storms and clouds from the west and northwest.
songs of north-central and northeastern Arnhem Land, such
The full force of the monsoon can have a formidable im-
as Yulunggul sang. The longer songs include names for phys-
pact on the people, creatures, landscape, and waters in its
ical and other attributes of the Snake that are used as personal
path. A skillful storyteller can convey the force dramatically
names by present-day Aborigines of appropriate social and
in narrative versions of the Yulunggul myth. Warner
territorial status, and they include singing words for the
(pp. 379–381) tried to communicate the power of the mon-
monsoon, the coasts and offshore islands, and the rough seas.
soon through a quotation from a geographer about the Dar-
This introduction to inland people and inland songs and reli-
win area, but the cycle of the seasons is much less “uniform”
gious rites was not achieved without trauma, in the context
than his source suggests. It is the variability and unpredict-
of the myth, but it marked the acceptance of “new” items
ability of the monsoon that has convinced Aborigines of the
on a longterm basis.
need to work ritually to regularize it.
In one of his roles Yulunggul is, explicitly, a culture-area
In his Milingimbi study, Warner (pp. 381–382) men-
indicator, or a boundary marker. During his conversation
tions a number of named seasons, but his whole emphasis
with the other great Snakes after he has swallowed the Waw-
is on a twofold division between “wet” and “dry.” Men are
alag, he faces east. This conversation is like a statement about
identified with the Snake, as a “purifying element” (p. 387),
a broad cultural zone that shares a range of common under-
“with the positive higher social values,” ritual cleanliness, the
standings and rules, though there are local variations. Its
sphere of “the sacred” (p. 394), women with the dry season,
principal binding force is its religious system, actively ex-
“uncleanliness,” and “the profane.” Lévi-Strauss recognized
pressed through ritual collaboration. The Snakes (in War-
the contradiction between these statements and the claim
ner’s version, p. 253) underline this accord, agreeing that al-
that Aborigines regarded the wet season as bad (too much
though they speak “different languages” (dialects), they share
rain, no food) and the dry season as good (plenty of food,
the same religious commitments. Significantly, then,
greater mobility). But the seasonal picture and other suggest-
Yulunggul looks to and talks to his counterparts in the east,
ed dichotomies are oversimplified and unreal.
turning his back on western Arnhem Land. That region is
clearly outside the eastern Arnhem Land bloc, notwithstand-
Yulunggul’s territorial, seasonal, and religious-ritual
ing its mythic swallowing and vomiting Rainbow Snakes and
roles make him a powerful and majestic figure. Much of his
some cultural exchange and transmission; traditionally the
ritual symbolism is secret-sacred, not to be discussed public-
westerners did not circumcise, and their marriage rules and
ly, but his public persona is awesome enough. All of this gives
language patterns were very different.
rise to some intriguing questions. For example, in a Mil-
ingimbi version that is found only in Warner, after Yulung-
There are divergent views on whether Yulunggul is a
gul had regurgitated the sisters and they lay “dead,” a great
Rainbow Snake manifestation. In the Milingimbi versions,
Yulunggul didjeridu (drone pipe) came out of Yulunggul’s
when the two men from Wawalag country came to Mirara-
water hole of its own volition and revived them with the help
minar, the water “shone like a rainbow. When they saw this
of green ants. Yulunggul was angry. He “killed” the sisters
they knew there was a snake there.” (Warner, p. 258, also
and swallowed them again. The didjeridu that features so
385). Where his Rainbow Snake identification is not accept-
prominently in Kunapipi and associated rituals, however, is
ed, mainly on the eastern side of Arnhem Land, it is some-
Yulunggul, and its sound is his voice. How to reconcile the
times explained with, “Yulunggul is separate: he is himself.”
contradiction? Contradiction is, up to a point, the essence
As a weather symbol, Yulunggul has his own personal
of myth, and perhaps it merely reflects the approach of
niche in the pantheon of deities (Warner, p. 378). He has
Yulunggul to the Wawalag sisters in the events of the myth
both freshwater and saltwater affiliations. Although he is an-
as usually told and interpreted, in a relationship about which
chored spiritually to a special site, he is also spiritually mo-
there is still much more to be said.
bile. He is the spirit of the monsoon, the west and northwest
wind that brings the fertilizing rains of the wet season. Just
SEE ALSO Rainbow Snake.
as the copulations of the Snakes and clouds during the wet
season ensure fertility in the dry season, so Yulunggul’s
BIBLIOGRAPHY
“union” with the Wawalag transformed him into a symbol
Berndt, Catherine H. “Monsoon and Honey Wind.” In Échanges
of seasonal fertility. He continued to inhabit his water hole
et Communications: Mélanges offerts à Claude Lévi-Strauss, ed-
ited by Jean Pouillon and Pierre Maranda, vol. 2,
but gained prominence in two additional dimensions. One
pp. 1306–1326. The Hague, 1970. Comments on Yulung-
was his role in the ritual constellations “given” to posterity
gul as an intermediary between the interlinked dialect units
by the Wawalag sisters. The other was spiritual mobility. In
and clans of eastern Arnhem Land and on the sociocultural
some Milingimbi versions (Warner, p. 254), he flies across
scene in western Arnhem Land and its proliferation of Rain-
the country with the Wawalag and their child(ren) inside
bow Snake myths. Notes briefly some points in Wawalag and
him, naming various places and allocating local dialects.
Yulunggul songs from women’s perspectives, as well as the
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YURUPARY
9917
issue of “incest” at the water hole rather than in Wawalag
mostly in the region of his birth and to have died and been
country.
buried in the same village. There is also evidence that he trav-
Berndt, Ronald M. Kunapipi: A Study of an Australian Aboriginal
eled to Syria and Azerbaijan, as well as to Konya, where he
Cult. Melbourne, 1951. Includes discussion of Yulunggul in
may have met the great mystic poet Jala¯l al-D¯ın Ru¯m¯ı,
the context of Kunapipi ritual and in relation to the Wawalag
whose thought and mystic fervor exercised considerable in-
myth.
fluence on him.
Berndt, Ronald M., and Catherine H. Berndt. The World of the
Yunus Emre’s writings include a short didactic
First Australians (1964). Rev. ed., Adelaide, 1985. Includes
mathnav¯ı and his d¯ıva¯n, or collected poems. The mathnav¯ı,
discussion of Yulunggul and of the Wawalag myth in their
Risalet ün-nushiyye (Book of Counsels), written in 1307, is
sociocultural context and in their ritual manifestations and
an allegorical poem of 575 couplets in classical Persian meter,
interconnections.
with a prose introduction. Elaborating on certain human vir-
Hiatt, L. R. “Swallowing and Regurgitation in Australian Myth
tues and vices along orthodox Muslim lines, it is rather sober
and Rite.” In Australian Aboriginal Mythology, edited by
and uninspired in style and not typical of his work. Rather,
L. R. Hiatt, pp. 143–162. Canberra, 1975. Summarizes a
his fame rests primarily on his d¯ıva¯n, which is the first one
number of Aboriginal myths, including two versions of the
in Turkish literature. It consists of about 350 poems, most
Wawalag myth, and discusses various interpretations of the
of which dwell on variations of pantheistic thought, the trib-
swallowing and regurgitation behavior attributed to certain
mythic characters, among them Snakes and old woman
ulations of the initiate, the various stages of the mystic path,
(mother) figures who are “also cosmic creators.”
guidance to the “straight path,” the nature of real knowledge
( Eirfa¯n) as different from worldly science ( Eilm), the confes-
Lévi-Strauss, Claude. La pensée sauvage. Paris, 1962. Translated
sion of one’s errors and shortcomings and the enjoyment of
anonymously into English with the unfortunate title The
self-accusation (mela¯met), and nostalgic and evocative
Savage Mind (London, 1966). The references to Yulunggul
and the Wawalag myth are on pages 91–94 and 96. Lévi-
themes of the years away from home. Smaller numbers elab-
Strauss follows Warner’s interpretation, reframing it to some
orate on orthodox religious themes, with frequent reference
extent but accepting his statements and his male-dominated
to the QurDa¯n and the traditions of the Prophet, and to pop-
perspective.
ular stories of prophets and saints, or address the obsessive
Munn, Nancy D. “The Effectiveness of Symbols in Murngin Rite
idea of death, otherworldliness, and eternity.
and Myth.” In Forms of Symbolic Action, edited by Robert F.
These poems are addressed to the masses of ordinary
Spencer, pp. 178–207. Seattle and London, 1969. This per-
people. They are mainly written in the spoken Turkish of the
ceptive analysis of the Wawalag myth and other features of
early fourteenth century, with a moderate number of Arabic/
northeastern Arnhem Land culture, ritual and social relation-
Persian loanwords, and the predominant meter follows the
ships includes an examination of the role of the Snake and
traditional Turkish syllabic form. Their great popular appeal
its bearing on power relations between men and women, and
between older and younger men.
over the centuries can be ascribed to Yunus’s simple and di-
rect style, his enthusiastic lyricism, and the skill with which
Warner, William Lloyd. A Black Civilization: A Study of an Austra-
he made mystic and pantheistic philosophy accessible. Both
lian Tribe (1937). New York, 1958. Devotes a great deal of
the style and the language of his poems continued to exert
attention to Yulunggul (Yurlunggur, in his spelling) in the
a tremendous influence on most of the popular mystic poets
context of the Wawalag myth and associated rituals and their
social and environmental implications.
down to the eighteenth century.
CATHERINE H. BERNDT (1987)
BIBLIOGRAPHY
Gölpınarlı, Abdülbâki. Yunus Emre: Hayati. Istanbul, 1936.
Gölpınarlı, Abdülbâki, ed. Yunus Emre divani. Istanbul, 1943.
YUNUS EMRE (d. 1321), Turkish mystic, initiator of
With a facsimile of a fifteenth-century manuscript.
popular mystic poetry in Turkish literature, and one of the
Gölpınarlı, Abdülbâki. Yunus Emre ve tasavvuf. Istanbul, 1961.
greatest poets in that language. Apart from a few notes in six-
Régnier, Yves, ed. and trans. Le divan de Yunus Emré. Paris, 1963.
teenth-century biographical works, the life of Yunus Emre
Schimmel, Annemarie. “Yunus Emre.” Numen 8 (1961): 12–33.
remains shrouded in legend. More reliable biographical data
Schimmel, Annemarie. Mystical Dimensions of Islam. Chapel Hill,
can be gathered from his own corpus, which recent research
N. C., 1975.
(particularly by Abdülbâki Gölpınarlı) has sifted out from
the mass of poems produced by contemporary or later anon-
Seferciog˘lu, Nejat, and ˙Ismet Binark. Yunus Emre hakkinda bir
bibliyog˘rafya denemesi. Ankara, 1970.
ymous authors who attributed their own work to him.
FAH˙IR ˙IZ (1987)
According to available evidence, he was born in the vil-
lage of Sarıköy (modern Emre) in central Anatolia, educated
in the classical Islamic sciences, and later trained in the mys-
tic path by a certain Tapduk Emre, whom he often mentions
YURUPARY is the lingua franca name for an Amazonian
in his poems with great veneration. He seems to have lived
culture hero who established order in nature and society and
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YURUPARY
taught men rules of ritual conduct. The term refers also to
While the boys were still under initiation taboos, he
sacred flutes and bark trumpets, taboo to women and chil-
took them to collect uacú fruit (Monopteryx angustifolia),
dren, played in a secret men’s cult into which boys are peri-
which, despite prohibitions, they roasted and ate. Angered
odically initiated, and to the celebrations held by the cult.
by their disobedience, Yurupary sent a thunderstorm, and
These instruments, kept hidden under water, represent
the boys took shelter in his mouth (or, in some versions, his
Yurupary in spirit form, and their sound is his voice. By ex-
anus), which they mistook for a cave. Having ingested all but
tension the term is used throughout Amazonia to refer to
one of them, Yurupary disappeared to his house in the sky,
cannibal forest spirits. Christian missionaries have also erro-
and the lone survivor returned home with the dreadful news.
neously identified Yurupary with the devil and attempted to
The parents, angered by their loss and fearful of this
eradicate his cult.
cannibal monster, resolved to kill him. They tempted him
The Yurupary cult is found among nearly all the Indians
back with offers of ever more exotic kinds of beer until, of-
of northwest Amazonia living in the area of the Japurá,
fered one he had never tried, Yurupary agreed to return. He
Negro, and middle Orinoco rivers. In particular, it is charac-
knew they wished to kill him and made it known that he
teristic of the Arawakan groups (Baníwa, Baré, etc.) of the
could be killed only with fire.
upper Río Negro and of their Tucanoan-speaking neighbors
(Cubeo, Tucano, Desána, Barasana, etc.) of the Uaupés,
Arriving at dusk, Yurupary vomited up the boys (or
whose culture shows strong Arawakan influence. The Ara-
their bones), into either an initiates’ seclusion enclosure or
wakans call Yurupary Kowai, and a number of other names
flat baskets, along with the fruit the boys had collected. He
are used by the Tucanoans. These Indians share many cultur-
danced and sang all night, getting increasingly drunk on beer
al features, including division into patrilineal, exogamous
and yagé, a hallucinogenic drink, and at dawn his hosts threw
phratries made up of a series of ranked clans, patrilocal mar-
him on a fire. There followed a huge conflagration, which
riage, and residence in communal longhouses.
was the prototype of all future slash-and-burn fires. The
burning of a cultivation site is now identified with this first
Similar secret men’s cults with flutes, trumpets, bull-
fire. As he died, Yurupary announced that henceforth,
roarers, and masks are a typical feature of many Indian
though he would be immortal, all men would die.
groups of lowland South America, most notably the
Mundurucú of the lower Tapajós, the Yagua and Tikúna of
From the ashes a paxiuba palm (Iriartea exorrhiza) grew,
the upper Amazon, the tribes of the upper Xingu, and the
together with vines for ritual whips and for poison and sting-
nearly extinct SelkDnam of Tierra del Fuego.
ing ants, snakes, and other noxious creatures that shed their
skins. The palm was his bone, and the poisonous plants and
YURUPARY MYTH. Numerous versions of the Yurupary myth
animals were his soft parts. The palm ascended rapidly to the
have been published. What follows is a synthesis of these
sky, taking with it Yurupary’s soul, which became a star in
myths, designed to bring out the major episodes and themes.
the constellation Orion. Squirrels cut the palm into sections,
Yurupary was the child of Ceucy (the Pleiades), who was
which were distributed among men and animals as their dif-
made pregnant by the juice of a caimo (Pouteria caimito) or
ferent voices. This distribution marked the differentiation of
cucura (Pourouma cecropiaefolia) fruit. She was a virgin, and
men from animals and, among men, the distinction between
a disguised incestuous union with a father, brother, or son
the different clans and phratries, which have corresponding
identified with the sun, moon, thunder, or the constellation
linguistic differences. The sections of paxiuba palm, which
Scorpius is implied. Yurupary is himself often identified with
correspond to paired parts of Yurupary’s anatomy—arm and
the Sun. Lacking a vagina, Ceucy had a painful labor and had
leg bones and fingers—make up the yurupary instruments,
to be pierced by a fish. Her baby, taken from her at birth,
which are also in pairs, and their sound is his voice. From
was brought up by his shaman father or brother. Yurupary
other parts of his body—skull, brain, tongue, and so on—
had no mouth so he had to be fed on tobacco smoke. He
were made gourds, tobacco snuff, coca, and beeswax, which
was asked if he was man, animal, or fish, but by shaking his
play an important role in the rites.
head he indicated that he was none of these. Only when
asked if he was Yurupary did he nod his head in agreement,
Later on, the Sun told his son to rise early and play the
an agreement that, by a process of elimination, also suggested
yurupary instruments at the river. His daughter overheard
that he was connected with the vegetable world. When given
and got up while her lazy brother slept on. She found the
a mouth, he emitted a terrible sound, and sounds emerged
instruments and ran away with them, accompanied by the
from holes in his body, which was that of a monkey but with
other women. With the women in possession of the instru-
human face, feet, and hands.
ments, the social order was reversed: While the women dedi-
cated their lives to ritual, the men menstruated and did all
He grew very rapidly and became a shaman leader who
the heavy agricultural work.
taught his people rituals and a regime of taboos and fasts and
decreed that no woman should see him or hear his secrets
The men then set about regaining the stolen flutes.
on pain of death. He ordered the men to collect fruit from
With the aid of ritual whips and small piston whistles, they
trees, and he conducted the first initiation rite, at which
frightened the women into submission. In punishment for
young boys saw him dressed in full costume.
the rebellion, the men caused the women to menstruate and
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YURUPARY
9919
declared that if women should ever see the Yurupary rites and
of heat. There follows a festive dance at which the initiates
instruments they would be killed.
give women the basketry they have made, and thereafter the
YURUPARY CULT. A number of themes emerge from this
food taboos are progressively lifted and life returns to
myth that relate to the symbolic significance of the cult.
normal.
Most notable are the astronomical character of the major
THEMES AND INTERPRETATIONS. A number of different in-
protagonists; the importance of the vegetable world and its
terpretations have been proposed for this cult and, given the
links with human fertility and growth; the links between pe-
simultaneous operation of a number of different symbolic le-
riodicities in the human and natural worlds; the contrasts be-
vels, they are not necessarily incompatible. At a sociological
tween men and women, humans and animals, life and death,
level, the cult involves the ritualized opposition between men
and hard and soft parts of the body; and the ambiguity of
and women, an opposition that permeates the Indians’ secu-
Yurupary as both benevolent lawgiver and cannibal monster.
lar and ritual life. The yurupary instruments are the means
The myth also serves as a charter for rituals which form the
whereby men dominate women. Not only are women ex-
most important expression of the religious life of the people
cluded from important rituals but they are also excluded
concerned and accounts for the origin of the sacred objects
from the knowledge of mythology and shamanism that this
used by them.
entails. Such knowledge is also a source of prestige and
power. In the same vein the cult emphasizes the equivalent
There are two kinds of Yurupary ritual, one less sacred
status of women and uninitiated children and allows the sub-
than the other. In the former, quantities of forest fruit, gath-
jection of young men by their elders, who have greater ritual
ered by the men, are brought to the longhouse to the sound
knowledge and experience.
of the flutes and trumpets. During the day women and chil-
dren are excluded from the house, but at dusk the instru-
Among the Tucanoan Indians Yurupary is also an ances-
ments are removed and the women join the men to dance
tral cult related to their patrilineal ideology. The death of the
and drink manioc beer. The men chant origin myths and
ancestor and the distribution of his flute-bones provides a
drink yagé to put them in contact with the spirit world. They
model for the division of human society into discrete phra-
also whip one another and the women and children to make
tries and, at a lower lever, for the segmentation of each phra-
them grow strong. The rites are held to increase the abun-
try into a number of clans descended from a common ances-
dance of fruit and mark the ripening of each species. They
tor. The ritual adoption by the ancestor of his sons, the
also represent an exchange, in that the fruits are a gift from
initiates, each one the potential founder of a new patriline,
the spirits and in that fruit is often exchanged between long-
reenacts and repeats this initial process of segmentation. The
house communities.
instruments, each set of which is owned by a clan, are the
sons of the ancestor and founders of the clans, and they bear
These rites also form the first stage of initiation into the
the names of these ancestors.
cult. Young boys are brought into the house along with the
fruit, shown the flutes, given coca, snuff, and yagé, and
The exclusion of women further emphasizes clan soli-
whipped to make them grow. After participation in one or
darity and patrilineal ideology by implying that the clan can
more such rites they then graduate to the more sacred rites,
reproduce itself without the intervention of women from
which are held once per year at the start of the rainy season
outside. Latent in the Yurupary and related myths is a ten-
as the Pleiades set at dusk. For these latter rites greater num-
sion between the extremes of incest—as in the start of the
bers of more sacred instruments are used, together with
myth—and its opposite, reproduction without the interven-
gourds of snuff, coca, and beeswax. These and other items,
tion of women—as when Yurupary is burned and becomes
when assembled together, make up the body of the first an-
his sons, the flutes. Note too that Yurupary’s bones become
cestor, Yurupary or his equivalent. At the climax of the rites
masculine flutes while his soft parts become things with fem-
the ancestor appears in the form of two men dressed in full
inine (and poisonous) connotations. This tension relates to
ceremonial regalia and adopts the initiates as his sons. The
that between a patrilineal ideology and the requirement that
boys are shown the flutes and whipped, then taken to the
women must be brought in from outside for sexual reproduc-
river to bathe while water poured from the flutes is “vomit-
tion. The symbolism of the cult plays upon this by dividing
ed” over their heads.
men and women into opposed groups while stressing the
complementarity between male and female principles.
The initiates are then secluded for two months in an en-
closure that is out of sight of the women. They must fast;
The Yurupary rituals can be seen as reenactments of ele-
rigid taboos govern various aspects of their behavior; and
ments of the central myth, and the symbolism of swallowing
they are taught to make baskets, an exclusively male task.
and regurgitation, a familiar theme of many initiation rites,
The adult men are also under strict taboos and all are in a
is clearly present. The ritual, the myth, and statements by in-
state described as being like that of menstruating women.
digenous informants all suggest that the initiates are killed
The women fend for themselves and a state analogous to the
and swallowed and reborn by being vomited up again, a
matriarchy of the myth pertains. This period is brought to
theme that can be linked to the etymology of Yurupary—
an end when the initiates are given chili peppers to eat and
from yuru (“mouth”) and pary (initiates’ enclosure, or a trap
hot liquids to drink, ending a taboo on contact with sources
made of woven palm splints). The vegetable nature of Yuru-
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YURUPARY
pary, shown in his fast growth and his associations with fruit,
tween the instruments and game animals. The flutes guaran-
is clearly related to the association of the initiates with fruit
tee an abundance of game and luck in the hunt, in return
and the stress on their growth. The cult involves magic de-
for which they must be constantly fed. In the Xingu area the
signed to increase the fertility of nature and to ensure the
cults are again linked with the fertility of fruit. Among the
growth and fertility of human beings. Whipping to promote
Tikúna, sacred instruments are associated with female initia-
growth is common throughout Amazonia, as is the use of
tion involving the pulling out of the girls’ hair. Female hair
stinging ants for the same purpose.
figures also in the Yurupary cult, for sacred masks represent-
ing Yurupary were made from hair shorn from girls at first
The myth accounts for the origin of human mortality
menstruation. Finally, myths of matriarchy are common to
and links it with human and natural periodicity. While death
all these groups.
is final, society endures through sexual and social reproduc-
tion. Ritually this process is accomplished by a symbolic
death and rebirth whereby young boys come to replace their
BIBLIOGRAPHY
ageing elders. The myth implies that death is not final: Yuru-
Of the many versions of the Yurupary myth published to date, the
pary’s soul becomes an immortal star and his bones become
most complete is contained in La leggenda del Jurupary e out-
flutes, and are his representatives on earth. The myth draws
ras lendas amazonicas (Sa˜o Paulo, 1964) by Ermanno Stradel-
a parallel between his death and slash-and-burn agriculture,
li (1852–1926). Wilhelm Saake’s article “Die Jurupari-
whereby new plants grow from the ashes of dead trees. The
legende bei den Baniwa des Rio Issana,” in Proceedings of the
Thirty-second International Congress of Americanists, Copenha-
instruments thus mediate between life and death and turn
gen 8–14 August 1956 (Copenhagen, 1958), pp. 271–279,
their opposition into an alternating cycle.
is also an important source. This version is translated into
The theme of periodicity also relates to that of menstru-
English in Robin Michael Wright’s work “History and Reli-
ation, which figures in both the myth and the rites. The
gion of the Baniwa Peoples of the Upper Río Negro Valley,”
myth implies that menstruation and possession of the flutes
2 vols. (Ph.D. diss., Stanford University, 1981), which also
contains another very full version of the myth, an ethnogra-
are equivalent but inversely distributed between the sexes.
phy of Baníwa religion, and some important material on the
Women are held to approximate Yurupary’s immortal state
links between the Yurupary cult and messianic movements.
both because they reproduce themselves through their chil-
Jonathan David Hill’s study “Wakuenai Society: A Processu-
dren and because menstruation is seen as analogous to the
al-Structural Analysis of Indigenous Cultural Life in the
sloughing of their skins by the immortal snakes and other
Upper Rio Negro Region of Venezuela” (Ph. D. diss., Indi-
creatures who came from Yurupary’s ashes. Though men lost
ana University, 1983) gives an ethnography of the Wakuenai
the power to menstruate they gained the yurupary, which, al-
(Curipaco) with good material on Yurupary and a valuable
though clearly masculine symbols, have an important femi-
ethnomusicological analysis.
nine aspect appropriated and controlled by the men. The
No really full and general account of the Yurupary cult, dealing
cult implies that whereas women give birth to children, only
equally with mythology, ritual, and its social structural con-
men can “give birth” to fully social adults.
text, exists. Silvia Maria da Carvalho’s Jurupari: Estudos de
mitologia brasileira (Sa˜o Paulo, 1979) is a comparative analy-
That Yurupary and his mother and father are all identi-
sis of the Yurupary and related myths. The analysis, while
fied with heavenly bodies further relates to this theme of pe-
not based on primary field research, provides a comprehen-
riodicity. The myths and rites relate to the apparent move-
sive survey and makes a number of significant points of inter-
ment of the stars in relation to that of the sun. The azimuth
pretation but is marred by thinly supported discussions con-
of the Pleiades corresponds with the winter solstice, Orion
cerning population movements, evolution, and diffusion.
moves along the celestial equator, the azimuth of Scorpius
Hector Orjuela’s Yurupary: Mito, leyenda y epopeya (Bogotá,
corresponds with the summer solstice, and the heliacal rise
1983) relies also on published works and again provides a
of the Pleiades corresponds with the setting of Scorpius.
valuable compilation of the relevant myths. The interpreta-
Throughout northwest Amazonia the Pleiades are a seasonal
tion is, however, patchy, and includes unsubstantiated asser-
marker, their heliacal rise coinciding with the start of the dry
tions concerning the supposed Colombian origins of the
myth. Jacqueline Bolens’s “Mythe de Jurupari: Introduction
season and their setting with the rains, and the “opposition”
à une analyse,” Homme 7 (1967): 50–66, is a structuralist
between the Pleiades and Scorpius is a common symbolic
analysis of several classic versions of the Yurupary myth that,
theme in South American Indian cultures. Yurupary himself
though short, contains some important insights concerning
has both solar and masculine characteristics and a lunar,
the symbolism involved.
more feminine side.
My book The Palm and the Pleiades: Initiation and Cosmology in
Many of the themes mentioned above reappear in secret
Northwest Amazonia (Cambridge, 1979), based on field re-
men’s cults elsewhere in lowland South America. Among the
search, provides a full account of Yurupary myths and rituals
Mundurucú the opposition between the sexes is more pro-
among the Tucanoan Barasana and their neighbors and is
nounced and antagonistic and corresponds with an apparent
perhaps the most accessible and rounded interpretation of
fear and jealousy of female sexuality and reproduction on the
the cult. It also gives a comprehensive bibliography.
part of the men. With them, as with the Yagua, the link be-
There is no general account of secret men’s cults in South Ameri-
tween sacred instruments and fruit is replaced by a link be-
ca, but Yolanda Murphy and Robert F. Murphy’s Women of
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
YURUPARY
9921
the Forest (New York, 1974) and Anne Chapman’s Drama
New Sources
and Power in a Hunting Society: The Selk’nam of Tierra del
Caicedo de Cajigas, Cecilia. Origen de la Literatura Colombiana:
Fuego (Cambridge, 1982) provide accounts and interpreta-
El Yurupary. Pereira, Colombia, 1990.
tions, both based on primary research of such cults among
Clastras, Hélène. The Land-without-Evil: Tupí-Guaraní Prophe-
the Mundurucú and SelkDnam.
tism. Translated by Jacqueline Grenez Brovender. Urbana,
Ill., 1995.
Finally, Rituals of Manhood, edited by Gilbert H. Herdt (Berkeley,
Vesga Nuñez, Omar. Yurupary, el Hijo de las Pléyades que Fundo
Calif., 1982), describes secret men’s cults, this time in the
una Nación en el Vaupés: Breve Estudio Comparado. Bogotá,
New Guinea highlands, which show striking parallels with
2003.
their South American counterparts.
STEPHEN HUGH-JONES (1987)
Revised Bibliography
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N


Z
ZAEHNER, R. C. (1913–1974), was an English Orientalist and historian of reli-
gions. Robert Charles Zaehner, born April 8, 1913, began studies in Persian while on
a scholarship in classics at Oxford and received a master’s degree in Oriental languages.
After leaving his position as research lecturer at Christ Church, Oxford, in 1939, he en-
tered government service and was attached to the British embassy in Tehran during World
War II. He accepted appointment as lecturer in Persian at Oxford in 1950; and, after
serving briefly as acting counselor in the British embassy in Tehran, he was designated
to succeed Sarvepalli Radhakrishnan as Spalding Professor of Eastern Religions and Ethics
at Oxford in 1952, a professorship he held until his death on November 24, 1974.
At the least, Zaehner was a controversial figure during his remarkably productive
two-decade career as Spalding Professor, and an altogether equitable assessment of his sub-
stantial publications on mysticism, the religions of India, Islam, and the comparative
study of religions is difficult. If a historian of religion should be thoroughly grounded
as a specialist in at least one major religious tradition, then Zaehner’s credentials, in this
respect, can scarcely be criticized: His primary research on Zoroastrianism, especially evi-
dent in his invaluable Zurvan (1955), unquestionably demonstrated his specialist’s knowl-
edge. If, too, a historian of religions may be expected to learn the original language or
languages of primary sources in traditions that have special significance for his research,
then Zaehner’s study of Sanskrit in order to read classical Hindu sources again adds to
his credentials. And, if an unwavering concern to allow source materials to speak in their
own voices is essential to the prospering of serious primary and comparative investigations
of religions, then Zaehner served his field of study well.
But if it is supposed that proper comparative history of religions must be so conduct-
ed as almost to render invisible the interpreter’s presence, then Zaehner poses a problem.
He is neither bland nor unobtrusive. In an age of increasingly “objective” and almost
anonymous scholarship, Zaehner seldom left his readers uncertain of his position. He
lauded, lamented, scolded, praised, and condemned. Unquestionably, he took seriously
the materials he studied. Above all, he seems to have wanted the sources to present them-
C LOCKWISE FROM TOP LEFT CORNER. Relief of the third-century Zoroastrian high priest Kerde¯r.
Naqsh-e-Radjab, Iran. [The Art Archive/Dagli Orti]; Bronze Zeus or Poseidon from the
Artemisius at Cape Sounion, 460 BCE. National Archaeological Museum, Athens. [©Erich
Lessing/Art Resource, N.Y.]; Relief depicting the Zoroastrian god Ahura Mazda¯ at the ruins of
Persepolis. Takht-i Jamshid, Iran. [©Charles & Josette Lenars/Corbis]; Zen garden at Ryoanji in
Kyoto, Japan. [©Archivo Iconografico, S.A./Corbis]; Ziggurat of Nanna at Ur, c. 2100 BCE. Iraq.
[©Charles & Josette Lenars/Corbis] .
9923
9924
ZAKA¯T
selves fully and authentically and not partially or tenden-
The QurDa¯n links zaka¯t to other primary acts of belief:
tiously. What Zaehner himself took to be authentic, of
“Piety does not consist of merely turning your face to the east
course, was disputed on more than one occasion. Thus, for
or to the west. Rather, the pious person is someone who be-
example, Zaehner’s struggle with the specter of Sarvepalli
lieves in God, the last day, the angels, the book, and the
Radhakrishnan’s happy Neo-Hindu universalism provoked
prophets and who out of his love gives his property to his
counter-assertions from Zaehner about the theistic dimen-
relatives, orphans, the needy, travelers, supplicants, and
sion of Hindu thought that have been found extreme by
slaves; and who performs the required prayers and pays the
many specialists.
zaka¯t” (QurDa¯n 2:177).
For Zaehner, his source documents and what they rep-
The verb zaka¯ suggests the idea of growth to emphasize
resented were alive and not safely dead or distant. Misunder-
that the giving of one’s resources is simultaneously an act that
stood, his attitude could appear to be no more than a throw-
entails the cleansing of oneself and one’s property and,
back to apologetic comparative studies of an earlier day. And
through sharing, an enhancement of the capacity of others.
it often was misunderstood. But in fact it seems that—his
More specifically, this kind of giving is considered in the
conversion to Roman Catholicism in the mid-1940s not-
QurDa¯n to be analogous to a fertile garden whose yield is in-
withstanding—Zaehner conceived his own “mission” to be
creased by abundant rain (QurDa¯n 2:265). It is this multiple
the pursuit of comparative religious studies in ways that
connotation of zaka¯t that is reflected in subsequent interpre-
would not violate the uniqueness and integrity of the indi-
tations in the institutionalization of the principle in Muslim
vidual religions he studied. Unshakably convinced of the au-
thought and practice. The centrality of zaka¯t is underscored
thenticity of his own youthful mystical experiences and the
by the many times it is coupled with the command for prayer
truth of his conversion (as he was certain that chemically in-
and also identified as a continuation of the practice of past
duced altered states of consciousness were worse than bogus
prophets.
mysticism), Zaehner was altogether ready to take religious
documents completely seriously. And, believing himself to
It is clear that the QurDa¯n envisaged a broad framework
be a religious man, he had no difficulty accepting the exis-
both for those who might benefit from the more formalized
tence and (occasionally wrongheaded) sincerity of other reli-
practice that was evolving in the early Muslim community
gious men.
and for the fiscal support of the community’s needy. Zaka¯t
and other forms of giving served to benefit the early Muslims
BIBLIOGRAPHY
who had migrated from Mecca with the Prophet. It was also
Zaehner’s command of Zoroastrian material is indisputably docu-
used to encourage others to join the Muslim community and
mented in Zurvan: A Zoroastrian Dilemma (Oxford, 1955)
to support the Muslims in the conflict against Mecca. The
and his more accessible and wide-ranging The Dawn and
QurDa¯n specifies the types of recipients who ought to benefit
Twilight of Zoroastrianism (London, 1961). Among the lat-
from it: those afflicted by poverty; those in need and incapa-
ter’s several strengths not the least is its thorough and unusu-
ally entertaining bibliography. Zaehner’s Hinduism (Lon-
ble of assisting themselves; those who act, sometimes in a vol-
don, 1962) is among the most helpful overviews; and his The
untary capacity, as stewards and custodians to ensure the col-
Bhagavad-Gita, a translation and commentary (Oxford,
lection and appropriate expenditure of funds; those who
1969), is one of the most significant scholarly encounters
should be attracted to the faith; captives who need to be ran-
with this text. Vigorous and insightful also are Zaehner’s Jor-
somed; debtors; travelers; and finally those engaged in serv-
dan Lectures, Hindu and Muslim Mysticism (London, 1960)
ing God. All of these categories came to be strictly defined
and his Mysticism: Sacred and Profane (Oxford, 1957). The
in later legal and exegetical literature. But other verses also
complex range of Zaehner’s thought and style is nowhere
suggest broader uses that might include those who during pe-
better illustrated than in his stimulating and controversial
riods of hardship or transitions were not visibly in need and
Gifford Lectures, Concordant Discord (Oxford, 1970). Possi-
who nonetheless either required assistance to enhance their
bly the most engaging introduction to Zaehner’s work, how-
ever, may be the eight late essays published posthumously as
livelihood or needed to be directed towards new occupations
The City within the Heart (London, 1980), which is intro-
and economic opportunities. While one aspect of zaka¯t was
duced by philosopher Michael Dummett’s warm tribute.
clearly projected towards charitable acts for the poor and the
needy, the practice also encompassed the wider goal of apply-
G. R. WELBON (1987)
ing the donations to improve the general condition and eco-
nomic well-being of other recipients and constituencies and
those working to foster the growth of the new community.
ZAKA¯T is a QurDanic term that signifies the specific obli-
gation of giving a portion of an individual’s wealth and pos-
The fact that the Prophet eventually organized the col-
sessions for primarily charitable purposes. The word is de-
lection and distribution of zaka¯t suggests that the process was
rived from a root meaning “to be pure” and also carries
being cast into specific institutional forms even in his day.
additional connotations of “increase” and “virtue,” as well as
It was, according to early Muslim sources, applied to crops,
“giving.” It is also used in the QurDa¯n together with other
animals, merchandise, gold and silver, and so on. Such
terms such as s:adaqa¯t that also carry the connotation of giv-
wealth and possessions qualified only when they were above
ing and of charity.
a certain minimum number or amount. The collector was
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZAKA¯T
9925
urged to be fair and to persuade rather than impose. Accord-
QurDanic values. Among the Ithna Ashari Sh¯ıEah, who be-
ing to the QurDa¯n, some of the Bedouin groups that had con-
lieve that the ima¯m is in a state of physical absence from the
verted to Islam remonstrated about the paying of zaka¯t.
world (ghayba), zaka¯t was to be entrusted to those considered
Al-Bukha¯r¯ı (d. 870), the compiler of the most respected col-
his trusted worldly representatives. Their role was to ensure
lection of Sunn¯ı prophetic h:ad¯ıth, cites a report in which the
that zaka¯t reached the appropriate recipients. Among the
Prophet sent a representative to Yemen to invite the local
Isma¯E¯ıl¯ı Sh¯ıEah, zaka¯t’s formal aspect is complemented by a
tribes to convert to Islam and pay zaka¯t. When Abu¯ Bakr be-
spiritual significance, and it was the role of the ima¯m to inter-
came caliph after the Prophet’s death, a number of tribes re-
pret and sustain the values of zaka¯t in changing contexts. The
fused to pay the zaka¯t because they felt that the death of the
Zaydi tradition insisted that it must be paid to official collec-
Prophet absolved them from the obligations contracted with
tors representing the Zaydi state under a legitimate ima¯m.
him. In order to ensure adherence to the practice and to put
The Su¯f¯ıs emphasize the mystical value of zaka¯t. In cer-
down the rebellion Abu¯ Bakr was compelled to send forces
tain circles, individuals were known to distribute their entire
against the rebels, restoring order and proper remission of
possessions as zaka¯t. Some groups sanctioned the acceptance
zaka¯t. It appears therefore that based on the example of the
of zaka¯t as a gift emanating directly from God. Over the peri-
Prophet and the early Muslim community, while the practice
od of Muslim history, the practices relating to zaka¯t evolved
of zaka¯t had become well-established, its particulars and re-
into various forms, but it remained an important practice,
gularization were still in the process of development.
mirroring beyond all the formal details the principle and
The juristic literature produced by succeeding genera-
moral commitment to share one’s wealth.
tions of scholars further formalized the collection and dis-
As Muslims seek to address questions of identity and de-
bursement of zaka¯t as part of the larger systematization of
velopment in the modern world, zaka¯t has afforded them the
legal obligations. While in some instances rulers and states
opportunity to rethink the relevance of past practices within
collected zaka¯t, inefficiencies and corruption resulted
their changed contexts, which include living in nation-states
throughout Muslim history in a variety of collection prac-
or as minorities in many parts of the world. A majority of
tices, so that individuals were still free to disburse zaka¯t as
Muslims live in areas of the world that are considered to be
individuals or in community contexts through appropriate
less developed than the more industrialized regions. Hence,
intermediaries.
issues of social justice and the equitable distribution of re-
The work of the Hanaf¯ı jurist Abu¯ Yu¯suf (d. 808), Kita¯b
sources figure prominently in discussions of the present-day
al-Khara¯j, which was written during the reign of the Abbasid
significance for building civil society according to the values
caliph Ha¯ru¯n al-Rash¯ıd (r. 786–809), is an instructive exam-
of past tradition. Some Muslim theorists have advocated the
ple of the collaboration between jurists and rulers to appro-
reintroduction of the obligatory zaka¯t tax as one element of
priate and extend such practices as zaka¯t as part of the fiscal
a general tax policy to add the moral aspect of social benevo-
working of the state. A jurist such as al-Sha¯fiD¯ı (d. 820) was
lence to a modern economic policy.
able to systematize and rationalize prevailing practice in his
Additionally, some countries have developed nonstate
work. Generally, such works built upon the references to
financial agencies to allow for individuals to voluntarily con-
zaka¯t and s:adaqa¯t in the QurDa¯n, detailing the payments
tribute zaka¯t. In Pakistan, Saudi Arabia, Sudan, and Yemen,
based on the ownership of property, possessions, precious
legislation was created to encompass zaka¯t as part of the state
stones and money, animals, and income generated from
fiscal practice. The majority of Muslims, however, continue
farming and trading. They prescribed when an amount was
the practice of zaka¯t as a voluntary act of giving and as an
to be paid and to whom, as well as what minimum amounts
expression of personal faith, intending it to serve the needs
were due in each category. It is interesting to note that the
of those less privileged in their communities and elsewhere
zaka¯t was also extended to include underground resources,
in the world.
such as minerals and treasure troves. These juristic works
enumerate in great deal the character and terms of zaka¯t, de-
veloping into an elaborate formalized obligation, presented
BIBLIOGRAPHY
as a religious duty. Many of the sources however continue
For primary sources in translation see, Abu¯ Yu¯suf YaDqu¯b ibn
Ibrah¯ım, Kita¯b al-Khara¯j, translated by E. Fagnan (Paris,
to emphasize the moral agency of the act, linking its obligato-
1921); Bukha¯r¯ı, Sah¯ıh, translated by A. Houdas and W.
ry character to religious merit and reward. Moreover, they
Marçais as Les traditions islamiques, 4 vols. (Paris, 1903–
often identified s:adaqa¯t and zaka¯t as a means of seeking
1914); al-Ghaza¯l¯ı, Abu¯ Ha¯mid Muhammad, Ihya¯ D Eulu¯m
God’s pleasure and the reward of the afterlife.
al-d¯ın, translated by Nabih A. Faris as The Mysteries of Alms-
giving (Beirut, 1966); al-NuDma¯n, Abu¯ Han¯ıfa (Qad¯ı),
Developments in legal theory also reflect the way differ-
Da Da¯ Dim al-Isla¯m, translated by Asaf A. A. Fyzee and I. K.
ent groups in Islam interpreted zaka¯t. Sh¯ıE¯ı sources, citing
E
Poonawala (Delhi, 2002); al-Sha¯fi-¯ı, al-Risa¯la, edited by
Al¯ı ibn Ab¯ı Ta¯lib and the other early ima¯ms, emphasize the
A. M. Sha¯kir (Cairo, 1940), translated by Majid Khadduri
need to pay the zaka¯t to the rightful authorities. Among the
as al-Sha¯fi D¯ı’s Risa¯la: Treatise on the Foundations of Islamic Ju-
Sh¯ıEah, this was to be entrusted to the ima¯m or those desig-
risprudence (Baltimore, 1961; 2d ed., Cambridge, U.K.,
nated by him and disbursed in accordance with the spirit of
1987; reprint, 1997); Tabar¯ı, Ta Dr¯ıkh, translated by W. M.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9926
ZALMAN, ELIYYAHU BEN SHELOMOH
Watt and M. V. McDonald as The History of al-Tabar¯ı, vols.
compared the metathetical form Zamolxis with the Phrygian
6 and 7 (Albany, N.Y., 1988–1990).
zemelen (“barbarian slave”; Gr., barbaron andrapodon), with
Secondary sources include Mahmoud Ayoub, The Qur Da¯n and its
Zemelo, the name of a Thraco-Phrygian earth goddess (com-
Interpreters, 2 vols. (Albany, N.Y., 1984–1992); Norman
pare the Greek Semele), and with the Slavic zemlja (“earth”)
Calder, “Zaka¯t in Ima¯m¯ı Sh¯ıE¯ı Jurisprudence from the
and thus explained Zamolxis as meaning “lord of men” (for
Tenth to the Sixteenth Centuries A.D.,” BSOAS 44 (1981):
-xis, compare the Avestan xshaya-, “lord, king”). Hence was
468–480; Hartley Dean and Zafar Khan, “Muslim Perspec-
developed (mainly by I. I. Russu) the theory of the chthonic
tives on Welfare,” Journal of Social Policy 26 (1997):
character of this god, which led to the ongoing dispute over
193–209; Clifford Geertz, Local Knowledge: Further Essays in
his real functions.
Interpretive Anthropology (New York, 1983; 3d ed., 2000);
Marshall Hodgson, The Venture of Islam, 3 vols. (Chicago,
According to Herodotos (Histories 4.94), some Getae
1974); Azim Nanji, “Ethics and Taxation: The Perspective
also gave Zalmoxis the name Gebeleizis or Beleizis, which
of the Islamic Tradition,” Journal of Religious Ethics 13
(1985): 161–178; Javed A. Khan, Islamic Economics and Fi-
Kretschmer has related to the same Indo-European root,
nance: A Bibliography (London, 1995); Abdul Aziz bin Mu-
*g Dhem-el- (“earth”), that he traced in Zamolxis. Given that
hammad, Zaka¯t and Rural Development in Malaysia (Kuala
Herodotus spoke about a thundering god, Wilhelm Tomas-
Lumpur, 1993); Abdulaziz Sachedina, The Just Ruler in
chek corrected the name to Zibeleizis, meaning “thunder
Sh¯ı Eite Islam (New York, 1988); Nasim Shah Shirazi, Systems
sender” (compare the Lithuanian zˇaibas, “thunderbolt,”
of Zaka¯t in Pakistan: An Appraisal (Islamabad, 1996); and
which has no clear etymology). More recently, Cicerone
Norman A. Stillman, “Charity and Social Service in Medi-
Poghirc (1983) has proposed, for reasons of textual criticism,
eval Islam,” Societas 2 (1975): 105–115.
the reading Nebeleizis, meaning “god of the [stormy] sky”
AZIM NANJI (2005)
(compare the Slavic nebo, “sky,” and the Greek nephele,
“cloud”).
T
ZALMAN, ELIYYAHU BEN SHELOMOH
ESTIMONIES. Herodotos (4.95) refers to a story told by the
Greeks in the Pontic colonies (on the western shore of the
SEE ELIYYAHU BEN SHELOMOH ZALMAN
Black Sea) according to which Zalmoxis was a Getic slave of
the Greek Pythagoras, who lived in Samos. After Zalmoxis
was freed, he became wealthy and went back to his native
ZALMOXIS was the founder, possibly legendary, of a
country, where he taught the northern Thracians the Greek
priestly line of succession closely linked with kingship of the
way of life based on Pythagorean ideas about immortality,
Getae and the Dacians, the northernmost Thracian peoples
vegetarianism, and so forth (see Strabo, Geography 7.3–5).
of the ancient world. Whether he is a figure of legend or of
In his homeland Zalmoxis had an andreion built (a room for
history is moot, as are questions of his religious functions.
the exclusive use of men), where he received the chiefs of the
Associated both with priesthood and with kingship, he was
Getae and taught them that neither they nor their posterity
divinized and became the object of a widespread cult among
would die. This concept of immortality refers in all probabil-
both northern and southern Thracian peoples.
ity to a paradise where warriors would enjoy eternal life and
everlasting pleasure after death. While he imparted this
NAME. The name Zalmoxis is attested by ancient authors
teaching of the afterlife, Zalmoxis had an underground
from Herodotus and Plato (fifth-fourth centuries BCE) to
chamber constructed. When it was finished, he retired to it
Diodoros of Tyre (second century CE) and Jordanes (sixth
century
for three years, during which the Thracians mourned his
CE). Herodotus spells the name Salmoxis; Strabo
gives it as Zamolxis. The genuine form, however, is Zalmoxis,
death, but in the fourth year he reappeared, showing that
support for which is found in such Thracian names as Zal-
death is not irreversible.
modegikos and Zelmutas and in numerous composites formed
With slight variations, this legend is repeated by several
with -zelmis, -zelmos, and -selmios. Zamolxis is only a metath-
Greek and Latin writers. Herodotos, however, opines that
esis, frequent since Strabo (first century BCE), with no paral-
Zalmoxis was not a slave of Pythagoras but did in fact live
lels in Thracian onomastics.
long before him. Strabo adds that Zalmoxis learned from Py-
Porphyry (third century CE) explains the etymology of
thagoras and from the Egyptians, whom he visited. He says
Zalmoxis through the Thracian word zalmos (“skin”; Gr.,
that Zalmoxis was a prophet who became a priest of the prin-
dora), and in supporting this thesis he offers an etiologic leg-
cipal god of the Getae and an associate of the king; later he
end that tells of the covering of Zalmoxis at birth with a bear-
was divinized. He dwelled in a cave, on the holy mountain
skin (Life of Pythagoras 14–15). Dimiter Detschew (1957,
Kogaionon, where scarcely anyone but the king and his mes-
p. 175) has proved that Indo-European correspondents of
sengers could join him (7.3–5). The kingship of Zalmoxis
zalmos also mean “shield, protection,” which is perfectly fit-
and his teaching on immortality are confirmed by Plato
ting to both a god and the highest priest. But Porphyry also
(Charmides 156d–e), who adds further that Zalmoxis had
gives another explanation of the meaning of the name: “for-
taught a highly praised method of psychosomatic medicine
eigner” (Gr., xenos aner). On this basis Paul Kretschmer
based on charms (epoidai, 157a).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZALMOXIS
9927
Another piece of basic information provided by Herod-
cording to which the Dacian priests were steeped in sophisti-
otus (4.94) concerns the principal rite of the Getae, which
cated astronomical speculations (Dacii, 2d ed., Bucharest,
consisted of killing a messenger every four years (or five years,
1972).
according to Greek computation). A man chosen by lot from
The excellent study Zalmoxis, the Vanishing God (Chica-
among the warriors was given a message to be delivered to
go, 1972) by Mircea Eliade put an end to these discussions
the god. Then he was cast on top of three spears. If he died
by showing that the testimonies concerning the cult of Zal-
instantly, this was interpreted as a good omen. If he failed
moxis have to be trusted and interpreted on the basis of a
to die, the sacrifice had to be repeated, and the first messen-
close comparison with other religious materials. According
ger was cursed. This cursing suggests that purity of some
to Eliade, Zalmoxis was a mystery god in whose cult the di-
kind was required.
vinity’s “occultation” and “epiphany” were celebrated. In his
According to the Roman geographer Pomponius Mela
attempt to decipher the Greek interpretation of Zalmoxis in
(first century CE), Getic warriors were not afraid of death.
its genuine dimensions, Eliade established important links
Pomponius gives three different explanations for their con-
between Zalmoxis and Archaic Greek traditions concerning
tempt of life, each one believed by some among them: belief
soothsayers and medicine men like Pythagoras himself.
in metensomatosis (reincarnation); belief that the soul sur-
ZALMOXIS AND THE GREEK SEERS. In the most ancient testi-
vives after death in a happy place; and belief that life is worse
monies, Zalmoxis is constantly related to Pythagoras. Py-
than death, although the soul is mortal. Of these interpreta-
thagorean features of his cult are further specified until the
tions, only the second refers to the genuine teaching of Zal-
times of Strabo and Pomponius. A corpus of these features
moxis according to Herodotus (4.95).
can be established as follows: Zalmoxis has an underground
Herodotus’s reference to Zalmoxis/Gebeleizis intro-
chamber built, disappears for three years, and then reappears
duces the latter as a heavenly god. This description is sup-
(katabasis, occultation, and epiphany); he makes prophecies;
ported by the claim that during thunderstorms the Getae
he and his priests and successors live in a mountain cave,
shot arrows into the sky, thus threatening their god (4.94).
practice psychosomatic medicine, and make astronomical
computations; there is among the Getae a group of ascetics
Decaeneus (also known as Dekaineous, Deceneus, and
who live in poverty and continence, abstaining from animal
Dicineus), a high priest of Zalmoxis during the reign of the
food. The core of the Zalmoxean teaching is the doctrine of
Getic king Burebista (c. 80–44 BCE), is mentioned in an ac-
immortality of the soul, which should actually be interpreted
count by Strabo (7.3–5), his near contemporary. According
as a promise to the brave warriors that they would survive
to a Greek commonplace, Egypt was a land where wisdom
in paradise. Later, some among the Getae may have been ac-
could be acquired, and Strabo also says that Decaeneus wan-
quainted with the idea of metensomatosis. All this sounds so
dered there and learned soothsaying (7.3–11). The story that
Pythagorean that the Greeks were even disposed to under-
he ordered grape vines cut down in the kingdom of Burebista
stand the less attractive practice of human sacrifice without
and an allusion to the vegetarianism of the Getae may be
much ethical comment.
based on actual facts. It is also not impossible that Decaeneus
was acquainted with the idea of metensomatosis, which fits
One of the false problems connected with Zalmoxis that
well in the Pythagorean pattern of the religion of the Getae.
has received much attention from scholars is whether the
An authentic feature of Getic high priesthood was Dec-
god—if he was a god at all—ought to be interpreted as a
aeneus’s dwelling in a cave on Mount Kogaionon (Strabo,
chthonic or as a heavenly divinity. In fact, from the perspec-
7.3–5).
tive of the history of religions, this is not a logical contradic-
tion, since divinities of the sky can be strongly connected
INTERPRETATIONS. The history of the interpretations of Zal-
with the earth, and vice versa. Furthermore, even in Greek
moxis is somewhat disappointing. Distinguished scholars
religion, which is usually the model according to which Zal-
have disagreed about whether Zalmoxis’s cult was a form of
moxis is interpreted, such heavenly divinities as Zeus and
monotheism or of polytheism (it was not more monotheistic
Apollo were worshiped in caves, whereas such a typically
than, say, the Cretan cult of Zeus Idaeus); about whether
chthonic divinity as Persephone was associated very early
Zalmoxis was a god or a man, perhaps a religious reformer;
with heavenly immortality. Pythagoras himself, who was ap-
and about whether he was connected with the earth or with
parently connected with Apollo of Hyperborea, is also the
the sky (in fact he was associated with both). Spiritualistic
character who descends to the underworld and who exhibits
evolutionists have tried to show that the cult of Zalmoxis
important features that establish his relationship with a
represented for the Daco-Roman population a sort of pri-
chthonic goddess, or “great mother.” Zalmoxis’s “Pythagore-
mordial revelation and a praeparatio evangelica. Rationalists
an” structure connects him with both the earth and the sky.
and Marxist evolutionists have tried to demonstrate that it
was, on the contrary, much more “primitive” than some tes-
Among the Greek characters belonging to the same class
timonies indicate. Hadrian Daicoviciu, for instance, shared
of seers, soothsayers, medicine men, and semidivinities as Py-
this last hypothesis even though it contradicted his own per-
thagoras, the one who most closely resembles Zalmoxis is
tinent interpretation of the calendar temple of Sarmizegetusa
Epimenides of Crete, worshiped as a god in a local cult.
Regia (modern-day Gradistea Muncelului, Romania), ac-
Epimenides is said to have dwelled in the grotto of the infant
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9928
ZALMOXIS
Zeus on Mount Ida, where he slept for several decades. He
tom (first century CE) specifies that only the wives of Thra-
avoided food and used only a plant called alimos, or hunger-
cian nobles were tattooed, with red-hot irons.
bane, to keep hunger in abeyance. He could foretell the fu-
Tattooing among the Thracians was probably a religious
ture, he practiced purifications, and he was able to remember
mark; among the northern Thracians, the Getae and the Da-
his previous existences as a human being. In one of these in-
cians, it could have been associated with the pain once in-
carnations he was Aeacus, brother of Minos, who was a son
flicted upon Zalmoxis by his captors. Since tattooing among
of Zeus. Minos visited his godly father in the Idaean cave
the Getae is twice mentioned in relationship to slavery, one
every eight years, and thus it is not surprising that Epime-
could infer that the ancient legend making Zalmoxis a slave
nides used this place for incubation. During his catalepsy, his
was based on this character’s genuine myth, which might
soul was reported to be together with the gods, listening to
have originally included suffering and imprisonment. Plu-
their speeches.
tarch of Chaeronea (first century CE) reports that the Thra-
According to another legend, once when Epimenides
cians tattooed their women in order to avenge the sufferings
was about to dedicate a sanctuary to the nymphs a heavenly
inflicted by Thracian women upon Orpheus. Plutarch, who
voice instructed him to dedicate it to Zeus instead. This
was far better acquainted with Orpheus than with Zalmoxis,
could be interpreted as an indication that the Idaean cave did
could have misinterpreted here an actual tradition connected
not belong to the sphere of influence of those divinities who
with Zalmoxis. It is possible to a certain extent to state that
normally preside over such places, that is, the nymphs, but
the Getae tattooed their slaves and perhaps their wives as a
to the heavenly god par excellence, Zeus. In fact, Epimenides
religious record and possibly as revenge for the mark im-
was considered a “new infant” (neos kouros), the Idaean Zeus
pressed upon Zalmoxis while he was a captive.
reborn. It is, then, no surprise to learn that he was the guide
Much less convincing is the interpretation of Rhys Car-
of Pythagoras when the latter descended into the Idaean
penter in his Folk-Tale, Fiction, and Saga in the Homeric Epics
cave. Nor is it surprising that Epimenides, the author of ora-
(Berkeley, Calif., 1946), which is based on the testimony of
cles and theogonies, worshiped by the Cretans as a god, was
Porphyry (Life of Pythagoras 14), according to which a bear-
nevertheless transformed by the Neoplatonic Iamblichus
skin was put on Zalmoxis at his birth. According to Carpen-
(c. 250–330 CE) into a pupil of Pythagoras in precisely the
ter, Zalmoxis actually was a bear, whose hibernation (i.e., oc-
same way as this happened with Zalmoxis; among Greek
cultation) was taken by the Getae as a religious model.
seers of pre-Socratic times Pythagoras was simply more fa-
CONCLUSION. God or man, possibly also a religious reformer
mous than Epimenides.
of the Getae, Zalmoxis fits almost perfectly into the Pythago-
The chthonic side of Epimenides is revealed by his
rean pattern of a Greek seer and medicine man such as
dwelling in a cave and by his relationship with the nymphs.
Epimenides, who was also worshiped as a god. His myth is
In the legends of Pythagoras and Zalmoxis this chthonic side
scarcely known, but it could have contained an episode of
is revealed by a detail that has only recently received a consis-
captivity and, possibly, suffering. Ritual tattooing among the
tent interpretation. Walter Burkert (1972) has shown that
Getae was related to this episode, and might have been in-
Pythagoras was probably viewed as a representative of the
flicted upon slaves and women as an expiation of a mythical
chthonic goddess Demeter, a hypothesis confirmed by the
sin. Zalmoxis probably taught immortality for valiant war-
tradition that Pythagoras once exhibited a “golden thigh.”
riors. He was worshiped in a grotto, which might have played
This probably means that the legend attributed to Pythago-
an important part in the initiation of priests and warriors.
ras a tattoo on his thigh, which was the mark, or seal, of the
A chief priest, his representative in the grotto, was considered
Anatolian great goddess. At the same time it was an indica-
a prophet, and he gained such influence in political matters
tion that Pythagoras could travel to Hades (Burkert, 1972,
that the state of Burebista could be properly called a theocra-
pp. 160–161).
cy. A sanctuary, possibly the old sanctuary with an under-
ground chamber at Sarmizegetusa Regia, described by Ion
In his Life of Pythagoras (15), the Neoplatonist Porphyry
Hora¸tiu Cri¸san in Burebista and His Time (Bucharest, 1977),
reports a strange legend according to which Zalmoxis was a
was provided with a subterranean room, a substitute for the
disciple of Pythagoras; at the time of the revolt of the citizens
grotto. This indicates that the legend of the occultation of
of Croton against Pythagoras, Zalmoxis was captured by
Zalmoxis referred to by Herodotus was connected with the
bandits who tattooed him on his face, which he kept covered
existence of such an ancient sanctuary.
ever after. This brief account seems to be extremely impor-
tant, since tattooing among southern Thracian nobles is at-
SEE ALSO Geto-Dacian Religion; Thracian Religion.
tested as early as Herodotus (5.6) and confirmed by several
testimonies, and yet Artemidorus of Ephesus (fl. 100 BCE)
BIBLIOGRAPHY
reports that, whereas the southern Thracian nobles had their
The bibliography relating to the etymology of the name Zalmoxis
children tattooed, the Getae tattooed only the children of
is discussed by Dimiter Detschew in Die thrakischen Sprachr-
their slaves. From a fragment attributed to Clearchus of Soloi
este (Vienna, 1957) and by Cicerone Poghirc in “Considér-
(sixth century BCE) one could infer that Getic women were
ations philologiques et linguistiques sur Gebeleizis,” which
tattooed over the whole body. The rhetorician Dio Chrysos-
appears in Poghirc’s Philologica et Linguistica (Bochum,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZAMAKHSHAR¯I, AL-
9929
1983), pp. 169–172. All Greek and Latin testimonies con-
then notes other possible interpretations on the basis of
cerning Zalmoxis are reported and translated in Fontes Hi-
grammar and textual variant readings, while always paying
storiae Dacoromanae, 2 vols., edited by Virgil C. Popescu et
full attention to the notion of the rhetorical beauty (i !ja¯z)
al. (Bucharest, 1964–1970).
of the QurEa¯n.
The widest historico-religious interpretation of this divinity of the
The distinctiveness of al-Zamakhshar¯ı’s QurDa¯n com-
Geto-Dacians, together with an impressive bibliography, is
mentary lies in his MuEtazil¯ı theological leanings. Beginning
to be found in Mircea Eliade’s Zalmoxis, the Vanishing God
in the tenth century, the MuEtazilah were apparently a pow-
(Chicago, 1972). For alternative interpretations, see Walter
erful theological force in al-Zamakhshar¯ıs birthplace. He
Burkert’s Lore and Science in Ancient Pythagoreanism (Cam-
bridge, Mass., 1972) and Ioan Petru Culianu’s “Iatroi kai
states explicitly that Al-kashsha¯f was written in order to pro-
manteis,” Studi storico-religiosi (Rome) 4 (1980): 287–303.
vide the needed comprehensive Mu!tazil¯ı commentary to the
In a more recent book, Psychanodia, vol. 1 (Leiden, 1983),
QurDa¯n. The most obvious result of this theological position
pp. 24–39, Culianu has examined the historico-religious
in the commentary is the way in which he resolves apparent
context in which the testimonies connected with Zalmoxis
conflict between various verses of the QurDa¯n. The MuEtazil¯ı
are to be placed. See also, by the same author, Expériences de
doctrines of the unity and justice of God and the consequent
l’extase (Paris, 1984), pp. 25–43.
ideas of the human free will and the need to deanthropomor-
New Sources
phize the QurDa¯n become the prime themes of the distinctive
Alexandrescu, Petru. “La nature de Zalmoxis selon Hérodote.”
passages of interpretation. A typical example is found in his
Dialogues d’histoire ancienne 6 (1980): 113–122.
treatment of surah 6:125:
Dana, Dan. “Zalmoxis in Antonius Diogenes’ Wonders Beyond
Whomever God desires to guide: those upon whom God
Thule.” Studii clasice 34–36 (1998–2000): 79–119. Basing
bestows his benevolence, which only happens with
on the study of various literary traditions he criticizes Eliade’s
those who are worthy. He expands his breast to Islam: be-
and Culianu’s strictly religious interpretations.
stowing his benevolence on them so that they long for
Islam, and their souls feel at home there, and they desire
Pippidi, D. M. “Réflexions d’hier et d’aujourd’hui sur le culte de
to be Muslims. Whomever he desires to lead astray: those
Zalmoxis.” StudClas 14 (1972): 205–210.
whom God leaves alone and wishes to abandon to their
IOAN PETRU CULIANU (1987)
own deeds. What is meant is one who is not worthy of
CICERONE POGHIRC (1987)
his benevolence. He makes his breast narrow, tight: He
Revised Bibliography
keeps his benevolence from them, so that their hearts
harden, and they refuse and resist truth, and thus faith
finds no path into them.
Here the emphasis is always upon the prior moral condition
ZAMAKHSHAR¯I, AL- (AH 467–538/1075–1144 CE),
of the individual, to which God responds by enhancing the
fully Abu¯ al-Qa¯sim Mah:mu¯d ibn EUmar al-Zamakhshar¯ı;
condition that the individual has already chosen.
Muslim philologist and QurDa¯n commentator. Born in Kho-
rezm in northern Persia, al-Zamakhshar¯ı traveled little out-
Likewise the doctrine of the created QurDa¯n (as opposed
side his native province except for several years spent study-
to the orthodox dogma of the preexistent, uncreated QurDa¯n)
ing and writing in the holy city of Mecca. He was a native
is present throughout al-Zamakhshar¯ı’s work; apparently
Persian speaker, but he believed strongly in the superiority
Al-kashsha¯f originally began, “Praise be to God who created
of the Arabic language and excelled in Arabic philology. Ac-
the QurDa¯n,” but this was changed to “God who gave” or
cording to various historical records, he wrote some fifty
“God who sent down” in order to temper the tone some-
works; thirty of these are known to exist today, a majority
what.
of which have been published in the original Arabic. Most
Despite its theological argumentation, al-Zamakh-
of these works deal with the QurDa¯n or the Arabic language
shar¯ı’s QurDa¯n commentary has been widely read and copied,
in general.
especially in the eastern parts of the Islamic world. The work
has consistently been subject to both explication and attack
Al-Zamakhshar¯ı’s major work, and the one for which
by later authors, who have provided many supercommenta-
he is most famous, is his book of QurDa¯n interpretation
ries and derivative commentaries. The work by al-Bayd:a¯w¯ı
(tafs¯ır), Al-kashsha¯f Ean h:aqa¯Diq ghawa¯mid: al-tanz¯ıl (The un-
(d. sometime between 1286 and 1316), Anwa¯r al-tanz¯ıl
veiler of the realities of the secrets of the revelation), a work
wa-asra¯r al-ta Dw¯ıl (The lights of the revelation and the secrets
completed during a two-year stay in Mecca around 1134.
of the interpretation), is the most famous attempt to distill
The work is a phrase-by-phrase philosophical and philologi-
the essence of al-Zamakhshar¯ı’s work while attempting to
cal commentary on the entire text of the QurDa¯n, written in
omit those views which were reprehensible to orthodoxy. For
a concise, careful, and somewhat difficult style. Notable is
the Mu!tazilah, on the other hand, Al-kashsha¯f represents the
its lack of tradition-oriented material; virtually no reports are
peak of intellectual achievement in QurDa¯n commentary.
attributed to the early authorities on interpretation; rather,
all comments are directly stated with no concern for their au-
BIBLIOGRAPHY
thority in the past. Generally, al-Zamakhshar¯ı presents first
Al-kashsha¯f!an haqa¯ Diq ghawa¯mid: al-tanz¯ıl has been edited and
what he considers to be the obvious meaning of a verse and
published a number of times, but no particular edition has
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9930
ZAPATISMO AND INDIGENOUS RESISTANCE
emerged as the standard one. No extensive portions have ever
seizure of power. This mode seeks either to maintain the state
been translated, and the usefulness of such translations
structure according to Leninist inspiration or to eliminate it
would be quite limited because of the precise and technical
according to Bakuninian thought and indigenous beliefs and
nature of much of the original. Short passages of the work
convictions surrounding land autonomy. Zapata agreed with
are available in English throughout Helmut Gätje’s The
the anarchist Flores-Magón brothers and favored the dissolu-
Qur Da¯n and Its Exegesis: Selected Texts with Classical and Mod-
tion of the state. The most important document of this peri-
ern Muslim Interpretations, translated and edited by Alford
od (which divides the urban and the villista camps from the
T. Welch (Berkeley, 1976), and in Kenneth Cragg’s The
Mind of the Qur Da¯n: Chapters in Reflection (London, 1973),
land-based Zapatista camp during the Mexican civil war) was
pp. 64–69, where the commentary on QurDa¯n surah 90 is
the “Plan de Ayala,” written by the Zapatista Army of the
translated. The most significant and extended treatment of
South on December 11, 1911. The plan sustains that the
al-Zamakhshar¯ı’s work on the QurDa¯n is to be found in
people must remain armed until the land is concretely trans-
Ignácz Goldziher’s Die richtungen der islamischen Koranaus-
ferred back into the hands of the indigenous peoples.
legung (Leiden, 1920), pp. 117–177. Jane I. Smith’s An His-
torical and Semantic Study of the Term “Isla¯m” as Seen in a
In the 1960s, during the worldwide intellectual move-
Sequence of Qur Da¯n Commentaries (Missoula, Mont., 1975),
ments, the student movements, the inspiration of the Cuban
pp. 89–101, gives a useful summary of al-Zamakhshar¯ı’s
revolution, and the Soviet and Chinese forms of Marxism,
work, provides examples of his method of interpretation, and
the ELN (Army of National Liberation) and other groups de-
locates it within the general historical framework of tafs¯ır. A
veloped in Mexico. This party became one of the few that
number of articles by Lutpi Ibrahim have appeared on
remained active in the 1970s after the student massacre at
al-Zamakhshar¯ı and his theological relationship to
Tlatelolco under the Diaz Ordaz presidency in 1968. When
al-Bayd:a¯w¯ı: “Al-Bayd:a¯w¯ı’s Life and Works,” Islamic Studies
the urban revolutionaries, among them the future subco-
(Karachi) 18 (1979): 311–321; “The Concept of Divine Jus-
mandante Marcos, arrived in Chiapas in the early 1980s with
tice according to al-Zamakhshar¯ı and al-Bayd:a¯w¯ı,” Ham-
the intent to develop an armed Zapatista uprising, they
dard Islamicus 3 (1980): 3–17; “The Relation of Reason and
Revelation in the Theology of al-Zamakhshar¯ı and
found the region in a state of political agitation. The diocese
al-Baid:a¯w¯ı,” Islamic Culture 54 (1980): 63–74; “The Con-
of San Cristóbal formed part of the political action inspired
cept of Ih:ba¯t: and Takf¯ır according to al-Zamakhshar¯ı and
by Liberation Theology, and the Mayan communities were
al-Bayd:a¯w¯ı,” Die Welt des Orient 11 (1980): 117–121; and
clear about the urgent need for liberation in order to contin-
“The Questions of the Superiority of Angels and Prophets
ue to exist as autonomous cultures with their own world-
between al-Zamakhshar¯ı and al-Bayd:a¯w¯ı,” Arabica 28
views and pertinent social structures. The Zapatista revolu-
(1981): 65–75.
tionaries installed themselves in Las Cañadas and learned
A
from the local peoples. The EZLN began to take shape in
NDREW RIPPIN (1987)
accordance with the beliefs and worldviews of the people—
the value of the word and the ethical responsibility of lan-
guage making up a central axis of the movement.
ZAPATISMO AND INDIGENOUS RESIS-
President Carlos Salinas de Gotari eliminated Article 27
TANCE. The EZLN’s (Zapatista Army of National Liber-
from the Mexican constitution (which prohibits the privat-
ation) seizure of five municipalities on January 1, 1994, in
ization of the ejido lands) in 1992, making possible the liqui-
Chiapas follows a tradition of insurrections and armed rebel-
dation of these common lands and thus facilitating the
lions dating back to the arrival of Europeans to the region.
pauperization and eventual cultural and physical disappear-
Examples of these insurrections include the Zoque commu-
ance of the inhabitants. On January 1, 1994, NAFTA
nity rebellion, 1532–1534; Mayan descendants executed a
(North American Free Trade Agreement) took effect for the
Spanish mayor in 1693; the Cancuquero people, in alliance
United States, Canada, and Mexico and with it the Anglo–
with other communities, rose up in 1712; and in 1869–1870
North American exploitation of Chiapas, a state rich in ura-
the Chamulas and Tzotziles rebelled. San Cristóbal de las
nium, petroleum, jungle, and hydroelectric resources. The
Casas, the main city in which the first EZLN uprising played
EZLN opened its campaign at dawn with eighteen thousand
out, is named for Bartolomé de las Casas (sixteenth-century
Mayan men and women—masked and armed with automat-
Spanish archbishop and defender of the thesis that the indig-
ic guns, single-shot rifles, and wooden replicas painted
enous peoples, contrary to the Catholic Church’s position,
black—making known the First Declaration from the Lacan-
indeed possessed souls). The experience of the indigenous
don Jungle against neoliberalism and globalization.
struggle against the Spanish crown and then the Mexican na-
tion-state took on more clear articulations with the leader-
THE WORD. In Balún Canan (1957) the Chiapas author Ro-
ship of Emiliano Zapata, who drew upon Zapotec cultural
sario Castellanos wrote of the ongoing plight of the indige-
traditions, and the modern anticapitalist conceptualizations
nous people of the region:
of Marxism, Leninism, and anarchism during the Mexican
Y entonces, coléricos nos desposeyeron, nos arrebataron lo
Revolution. Zapata brought the indigenous traditions that
que habíamos atesorado: la palabra, que es el arca de la
informed the politics of the ejidos and the autonomy of the
memoria. Desde aquellos días arden y se consumen con el
land together with modern revolutionary articulations of the
leño en la hoguera. Sube el humo en el viento y se deshace.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZAPATISMO AND INDIGENOUS RESISTANCE
9931
Queda la ceniza sin rostro. Para que puedas venir tú y les
they form part of the macronarrative into which every cul-
baste un soplo, solamente un soplo.
ture’s history is made to conform, describing how all the
And then, furiously they dispossessed us, they carried
world’s peoples fit into the history of the Western tradition.
off what we had treasured: the word, which is the ark
The words originate in the language of the dominant narra-
of memory. Ever since those days they smolder and are
tive (Spanish from the sixteenth century to the early nine-
consumed with the logs of the bonfire. The smoke rises
teenth century and English in the era of the American eco-
in the wind and dissolves. Faceless ash remains. So that
nomic system). These are the words of the macronarrative
you can come, and with only a puff, just a puff. (Castel-
that deems the social organization of non-Western peoples
lanos, 1984/1957, p. 9)
as “underdeveloped” or “developing.” The unavoidability of
Globalization, like other words of its kind—modernization,
the terminology becomes another layer in the mission of mo-
pacification, or industrialization—connote neutral if not hu-
dernity, science, and progress—the belief in the superiority
manitarian processes in the world of mass media and con-
of secular society and republican governance. This convic-
sumer culture; people take them for granted without seeing
tion, bolstered by self-professed objectivity, overlooks the
their morphology and ideological weight. Such words appeal
fact that modernity is a historical phenomenon not unlike
to first world consciousness, and people accept them, act
the previous era’s belief in the Catholic Church.
upon them, and live with them as though they were trees that
To see globalization or any other such terms as natural,
express the passage of time. If one attends the words careful-
neutral, or necessary, one accepts the implicit negation that
ly, looks at the meaning attached to each root, prefix, and
such cultural processes of transformation are dual, involving
suffix, and reinserts them into the memory and the narrative
a subject and an object: the one who globalizes, modernizes,
of time, one can reestablish the connection between word
democratizes, and so on and the one that is globalized, mod-
and deed, and one can recover meaning.
ernized, or democratized. They are not horizontal dialogues
Within modernization are assumptions of backward-
between subjects as the colorful image of “global culture”
ness. Within industrialization lies the classification of ineffi-
suggests. One entity carries out the project, and another enti-
ciency and “primitive,” small-scale production. Within the
ty purportedly receives the benefits. The straightforward
idea of normalization is assumed erraticness, abnormality, di-
characterization of subject and object, however, overlooks
versity, and the need to establish patterns in what is unpre-
the histories that demonstrate quite the opposite, that the
dictable through Western paradigms. Calling for stabiliza-
modernizer, for example, benefits more economically from
tion attributes chaos to the object of that stabilization and
the modernization project than does the object of that mod-
the need to make it secure. Pacification deems the people and
ernization.
place in question warlike. Secularization identifies the neces-
sity to eliminate religious thought and the sacrality of the ev-
Globalization is a capitalist project requiring expansion
eryday: sunrise, harvest, slaying animals, and eating. Secular-
in order to grow (key word of the economic vocabulary).
ization also proposes science as truth and unideologically
Growth, acquired by the institution of profit, is the core of
suspect.
globalization. When internal markets and tariffs become a
barrier for the health of accumulation and the movement of
The postmodern era of the world economy has its so-
the capitalist economical machinery, expansion is impera-
cially accepted words, as did the era of modernity and colo-
tive. This expansion goes hand in hand with the justification
nial economy. The moral high ground of the civilization de-
of political and military invasion—a traditional way of creat-
pended on the belief in the savagery and cannibalism of the
ing markets and resource pools with positive industrial and
Other. Christianization assumed paganism, idolatry, and
commercial results.
witchcraft. Supporting colonization assumed the inferiority
of cultures and the inaptitude of targeted “races” for self-
This phenomenon is paradoxical because what is dis-
government and for the management of the resources of the
cussed is the globalization of capital, and capital is an object,
land they inhabit. Inside the mission of population lies the
not a subject. Given that paradox, globalization is not the ex-
assumption that the people of the targeted lands are not
pansion of the will of a subject over an object but the con-
people.
trary, the globalization of an object (capital) over subjects
(the people and cultures of the world). Globalization is the
These words are euphemisms, coded signifiers that say
action of an agent of capital over nature, resources, people,
nicely, according to their contemporary social mores, what
language, ideas, and imagination in order to expand the
may otherwise offend the morality and self-image of the peo-
sphere of influence of that capital to increase the amount of
ple whose cultures promote and support these market-driven
capital in return. It is an operation where humans are agents
processes. This long-standing language strategy belongs to
of an object that oppresses them, that robs them of subjectiv-
the strategies of discourse and rhetoric, particularly writing
ity and agency, and that functions through them. The will
discourse in its character of self-reflective materiality and
of the object loosely follows “the economical laws,” it is the
class-constructed hegemony.
invisible hand. In practice, in a highly racialized, socially di-
When these words are naturalized, they become neces-
vided and gendered society, the rationale for participating—
sary, indisputable, and unavoidable. Embedded in language,
ideologically speaking—is given by the most prestigious and
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ZAPATISMO AND INDIGENOUS RESISTANCE
influential part of society. Women, people of color, and
mander) in the Zapatista army, because the comandante are
other social classes unenfranchised with the international
the Mayan people of Chiapas. The recovery of the word then
corporate economic forces only participate, consciously or
means that this subordinated rank of Marcos is not a rhetori-
unconsciously, as collaborators or assimilated people. The
cal construction to justify his power but instead a word,
project is not in their interest but in the interest of inertia.
which represents a real subordination of an individual to the
Even though some reap more material benefit as agents of
collective.
capital, they are all oppressed by it, all doubly objectified.
The recovery of the word is deeply rooted in the histori-
ZAPATISTA WORLDVIEW. Subcomandante Insurgente Mar-
cal silence and invisibility in which the original people au-
cos wrote in “Como nace la palabra en la montaña” from Re-
tochthonous to the Mayan homelands and the Americas
latos de El Viejo Antonio:
were compelled to remain for five hundred years. The silence
was enacted by European conquerors, their descendants, and
Decía el Viejo Antonio que los viejos más viejos de los dioses
their religious-cultural-governmental structures that are the
enseñaron a los hombres a leer el cielo y el suelo. en esas
foundation for the New World governments and institutions
dos grandes hojas del cuaderno del mundo (dijo el Viejo
that have developed into a dialogical relationship of imita-
Antonio que dijeron los más grandes dioses, los que na-
cieron el mundo), los hombres y mujeres verdaderos pueden
tion, counteridentification, and reform with the worldview
leer la orientación para que su corazón camine. Cuando
and corresponding structures of the conquerors. They have
el cielo calla, cuando el sol y la luna reinan con silencio,
established a religion, which separates the natural and the so-
y cuando el suelo se esconde tras su dureza su quehacer in-
cial from the divine. This religion allows for the brutal ex-
terno, los hombres y las mujeres de maíz guardan la pala-
ploitation of the planet, creating an economic system that
bra y la trabajan pensando. Cuando el techo de la tierra
separates producers from consumers and making room for
se agrieta con nubes, lluvias y viento, cuando la luna y el
profit and poverty, and institutionalizing a political system
sol sólo asoman cada tanto, y cuando la tierra se abre con
that has divided the representatives from the represented, al-
verde y vida, los hombres y mujeres verdaderos nacen de
lotting space for the burial of local holistic worldviews and
nuevo la palabra en la montaña que es su casa y camino.
the fragmentation of communities.
Old Man Antonio used to say that the old ones older
The weight assigned to the truth in the act of recupera-
than the gods taught men to read heaven and the
tion of the word is a frontal challenge to the hegemonic ide-
ground. In those two big pages of the notebook of the
world [Old Man Antonio said that the biggest gods said
ology that sustains itself in the double standard of domina-
this, the ones who gave birth to the world] the true men
tion and justification. It is not enough that the word
and women can read the directions so that their heart
represent reality or that its utterer have honest intentions to
can walk. When heaven becomes quiet, when the sun
do so; only with the practice of horizontal (not hierarchical)
and the moon rule with silence, and when the ground
dialogue can democracy be held accountable.
hides its inner workings behind its hardness, the men
The recovery of the word not only implies the return
and women of the corn hold the word and work think-
ing. When the roof of the earth cracks open with
of the original inhabitants to the scene of the continent but
clouds, rain and wind, when the moon and the sun only
also the return of the autochthonous worldviews, which pres-
appear once in a while, and when the earth opens up
ent new ways of dealing with human liberation in the post-
with green and life, the true men and women bare the
modern world. This implies a new praxis beyond the struc-
word again in the mountains which are their home and
ture of the liberation movements that are born of modernity
their path. (p.131)
and based on a historical trajectory anchored in the Europe-
an, such as Marxism and industrialization.
The recovery of the word is central to the project of democra-
cy, liberty, and justice for the Zapatistas of Chiapas. Chang-
The Zapatista collective (wearing masks in order to em-
ing the world and countering the force of the global economy
phasize the collectivity of the group and to reflect the govern-
that have been destructive to indigenous cultures and their
ment’s rhetoric of hiding meaning, holding weapons, and
integrated worldviews means changing the word. Achieving
taking over five municipalities) forced the dialogic exercise
democracy, one of the central goals of the movement, neces-
of democracy with the formal democratic government of the
sitates mending the relationship between language (oral and
Republic of Mexico, which is complicit in global economics.
written) and meaning. This recuperation establishes a move
In this way the movement recovered the meaning of the
from a liberal (formal) democracy to a participative or au-
word, putting indigenous beliefs about the necessary connec-
thentic democracy as signified by the word itself: demos,
tion between language and meaning at the forefront and
coming from the Greek root meaning “people,” and –cracy,
holding the formal democratic institution accountable to the
meaning “from government.” The search for the true word
word with which it describes itself. The Zapatistas are willing
is the search for collective participation and consensus. The
to remove their masks if the government does the same: the
Zapatista practice mandar-obedeciendo (to command-
Zapatista mask functions as a metaphor for the hiding of the
obeying) better explains this idea: the leader has to be part
true face: “Detrás de nuestras máscaras estamos ustedes (Be-
of the bases and represent them according to their will. Thus
hind our masks are you),” writes Marcos. The mask is a
Subcomandante Marcos has a secondary rank (deputy com-
means for maintaining the memory of the lies behind the of-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZARATHUSHTRA
9933
ficial truths that are based in different forms of privilege. The
ment that has attracted sympathizers from all over the world
purpose of the word is to communicate, to exchange ideas,
in its years of resistance, motivating indigenous movements
to understand, and to create consensus. With the social dis-
the world over to struggle against globalization.
tortion of oppression in any of its forms (class, race, and gen-
der), the word also has been distorted to fulfill the will of the
BIBLIOGRAPHY
privileged groups, creating the need of ideology or false con-
Bonfil Batalla, Guillermo. Méxcio profundo: Una civilización nega-
sciousness to make people collaborate willingly with their
da. Mexico City, 1987.
own oppressors. Dialogue, on the other hand, set within a
Castellanos, Rosario, ed. Balún Canán (1957). Mexico City,
horizontal arrangement, is a tool for democracy where partic-
1984.
ipation is exercised with respect and human dignity.
De Vos, Jan. Vivir en la frontera: La experiencia de los indios de Chi-
apas. Mexico City, 1997.
The recovery of the word becomes an ethical imperative
in the modern and postmodern world, a world that has privi-
EZLN. “First Declaration from the Lacandon Jungle: EZLN’s
Declaration of War.” Chiapas, Mexico, 1993.
leged economic goals and systematically forgotten the prom-
ise of meaning. Proponents of globalization have arranged
EZLN. http://www.ezln.org.
the world in a way that enables them to live relatively unaf-
Marcos, Subcomandante Insugente. Relatos de El Viejo Antonio.
fected by the consequences of the enactments of falsely
San Cristóbal de las Casas, Mexico, 1998.
named operations, operations like democratization or stabili-
Marcos, Subcomandante Insugente. “El mundo: Siete pensamien-
zation. They have established a monologue and constructed
tos en mayo de 2003.” Revista Rebeldía 7 (May 2003).
a dehumanized common sense through euphemism and
Marcos, Subcomandante Insugente. “Otra geografía.” Revista Re-
other distortions. Ironically the proponents of globalization
beldía 5 (May, 2003).
have become the emblematic figures for human perfection,
Rodríguez Lasacano, Sergio. “¿Puede ser verde la teoría? Sí, siem-
spreading the institutionalization of the misuse of words like
pre y cuando la vida no sea gris.” Revista Rebeldía 8 (June
democracy and peace in the targeted path of economic expan-
2003).
sion. The expansion in turn has fractured the integrated
Wienberg, Bill. Homage to Chiapas: The New Indigenous Struggles
worldviews of the indigenous peoples of the locations of eco-
in México. New York, 2000.
nomic homogenization. They have created an equation that
A
imposes a Western particularism as the universal standard:
MADO J. LÁSCAR (2005)
AMANDA NOLACEA HARRIS (2005)
socioeconomic improvement means capitalism, security
means militarism, humanity means ideologically in agree-
ment with the globalizing forces.
ZARATHUSHTRA. Zarathushtra (known in the West
For the original people, the reintegration of meaning
under his Graeco-Latin name of Zoroaster) is seen by all Zo-
and the word is essential for liberation on all fronts, includ-
roastrians and by most modern scholars as the founder or the
ing the cultural, spiritual, economic, and intellectual. Their
prophet of Zoroastrianism, the dominant religion in the Ira-
naked exploitation at the hands of the agents of capitalism
nian world up to the ninth century CE. Since modern schol-
makes the confrontation with meaning inescapable. Their
arship dates the earliest texts of Zoroastrianism (attributed
experiences reveal the incongruous relationship between the
to Zarathushtra himself) to the beginning of the first millen-
Western word and its manifestations. The word has to repre-
nium BCE and there is broad agreement over the fact that
sent reality: killers must be killers, abusers must be abusers,
these texts were not written down before the fifth century
and democracy must be democracy. Original people do not
CE, it is not surprising that the historicity of Zarathushtra has
need to sever meaning from word to live. They, because of
been doubted by several modern scholars. Two different ap-
their place in the structures of globalization, live with the vio-
proaches are available for an introduction to this pivotal per-
lent consequences of the separation of word and meaning.
son in the development of one of the oldest and most influ-
NAFTA came into being on January 1, 1994. At the dawn
ential of all religions. The first is based on the Zoroastrian
the same day the EZLN invaded San Cristóbal de las Casas
traditions concerning his life and mission and the second on
in Chiapas, Mexico, and the four other municipalities. The
the findings of modern scholarship. These two approaches,
NAFTA agreement, they explained, was a sentence to death
which often interlock in both religious and academic writ-
to more than a million Mayan people and their worldviews.
ings, need to be discussed separately here not only to avoid
For the NAFTA project, Chiapas was one of the most impor-
anachronisms but also because modern assumptions about
tant states to be incorporated into this new brand of hegemo-
Zarathushtra’s activities tend to distort the image of the
ny called globalization due to the unusually rich and diverse
prophet in premodern Zoroastrianism itself. Modern schol-
natural resources of the land. These natural resources and the
ars agree on the fact that Zarathushtra can only count as the
Mayan people to work in a new setting of maquiladoras were
author of a tiny portion of the corpus of the Avesta. Howev-
all part of the strategic plan to make southeast Mexico a par-
er, in premodern Zoroastrianism the text of the entire Avesta
ticipant in the global economy. The EZLN understood well
and its commentaries were seen as the revelation brought to
the move and confronted the army, starting a rebel move-
the world by Zarathushtra according to the wish of the su-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9934
ZARATHUSHTRA
preme god Ahura Mazda¯. Therefore the “sources” available
thushtra smashed the shape of the demons and repelled them
for reconstructing his life and activities cannot be immedi-
from the face of the earth.
ately settled.
The Zoroastrian tradition has preserved a lengthy leg-
ZARATHUSHTRA IN ZOROASTRIANISM. The focus here is on
endary biography of the prophet, the value of which is enor-
the image of Zarathushtra in “classical” Zoroastrianism, that
mous for a proper understanding of Zoroastrianism and its
is, the Zoroastrianism of the Pahlavi books (dated to the
sense of history. Every aspect of his life is characterized by
ninth century CE), with additional materials from earlier
miracles and portents. His coming to the world came to be
texts and evidence from non-Zoroastrian sources. If
seen as preordained: his guardian spirit (fravashi) was created
Zarathushtra counts as the “founder” of Zoroastrianism at
millennia before his actual birth. His birth in itself was mi-
all in these sources, it is usually in his capacity of the chosen
raculous in many ways: the various constituent elements of
person who brings Ahura Mazda¯’s revelation to the world.
his human life (body, soul, guardian spirit, “glory”) were all
This revelation is usually referred to as d¯en, a word that has
transmitted by Ahura Mazda¯ and several of his divine helpers
a wide range of meanings but most often simply means “reli-
in a very complicated process, which involved his father and
gion.” This is not a banal detail: most Zoroastrian texts use
mother and various elements from the natural world.
the words “it is revealed in the religion” as an introductory
During the pregnancy of his mother, the demons and
formula to the claim that what is being transmitted is part
evil priests were struck by terror and feelings of impending
of the “original” revelation of Ahura Mazda¯ to Zarathushtra.
disaster for their ways of life. At birth, Zarathushtra laughed,
This revelation, the religion, was prepared by Ahura Mazda¯
and as a boy, he showed every sign of great accomplishments.
even before the work of creation. Small parts of it were re-
The most crucial episodes from his life took place when he
vealed by Ahura Mazda¯ to earlier persons from the mythical
was thirty years old. Having moved to the “land of the Ary-
history of the Iranians as is told explicitly in the Pahlavi
ans,” he entered a river to draw water for the morning rituals.
books and follows naturally from the fact that Ahura Mazda¯
Purifying himself, he encountered a shining figure on the
regularly speaks to such important early humans as the first
banks of the river who introduced himself as Wahman
man (Gayo¯mard), the first human couple (Maˇsya and
(Vohu Manah, “good thought”) and brought him to heaven,
Maˇsya¯na), and the first king (Yima). It is also part of the
before Ahura Mazda¯. There were a total of seven meetings
evolved theology of Zoroastrianism: if Ahura Mazda¯ is good
between Zarathushtra and Ahura Mazda¯. During these,
and the religion is necessary for the benefit of humankind,
Ahura Mazda¯ gave Zarathushtra the revelation and ordered
Ahura Mazda¯ should be protected from the reproach that he
him to spread it in the world.
had left humankind unaware of his intentions up to the time
of Zarathushtra.
This was not an easy task. Zarathushtra had to over-
come the opposition of the wicked priests and their secular
Other traditions, however, mention that all “prophets”
overlords of the religion(s) he meant to replace and was, ini-
before Zarathushtra refused to bring his revelation into the
tially, not very successful in doing this. Success only came
world and that it was only Zarathushtra who took this work
after a lengthy stay at the court of King Wiˇsta¯sp. After a se-
upon himself. The revelation he brought consisted of the
ries of philosophical debates, an episode of treachery leading
whole Avesta (in its own special language) with its commen-
to his arrest and incarceration, and Zarathushtra’s success in
taries (in the vernacular). This is evident especially from later
curing the king’s favorite horse, he finally found an audience
texts (in Pahlavi), which had to account for the fact that the
willing to listen to his words. He recited the revelation for
religion was formulated and that priestly decisions were
the king and his family, and they were the first to convert
based on the Zand, the (exegetical) translation of the Avesta,
outside his own family. From the conversion of Wiˇsta¯sp on-
rather than on the Avestan texts themselves (several of which
ward, the history of Zoroastrianism was to be a history of
had been lost). The Ga¯tha¯s were occasionally attributed to
growth and success, but hostilities continued nonetheless.
Zarathushtra in a more direct sense than the other parts of
According to late traditions, Zarathushtra lived to be an old
the revelation. In the Avesta, Zarathushtra is presented
man but was eventually murdered and received into heaven.
“while singing the Ga¯tha¯s” (Y. 9.1), and the recitation of the
Ga¯tha¯s in the Yasna liturgy is preceded by important intro-
A part of Zarathushtra remained, however: his semen
ductory formulae. But the suggestion by a nameless heretic
is kept in a lake, where it will rest until the period of the sepa-
that one should accept as Zarathushtra’s revelation only the
ration of good and evil begins. When this time arrives, a vir-
Ga¯tha¯s is firmly rejected in the D¯enkard, one of the most im-
gin will bathe in the lake and become pregnant, giving birth
portant Pahlavi texts (D¯enkard 3.7).
to Zarathushtra’s son(s), the Savior(s), who will lead human-
kind in bringing about the Renovation of the world. Thus
As bringer of the revelation, Zarathushtra occupies a
Zarathushtra is represented, in Zoroastrian traditions, in all
pivotal place in the history of the world. From the early texts
periods of world history, from the beginning of creation up
onward, this aspect of his life is stressed regularly. In order
to the desired end.
to emphasize his importance, the world before Zarathushtra
is portrayed as a world where demons roam freely. With the
Many elements from these Zarathushtra legends can be
first utterance of the sacred Ahuna Vairya-prayer, Zara-
found already in the Avesta. His meetings with Ahura Mazda¯
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ZARATHUSHTRA
9935
are alluded to in what is undoubtedly an old text, the confes-
in number, to which modern scholarship has now added a
sion of faith (Fravara¯n¯e, Y. 12). Parts of the Avesta are cast
few prayers and a short ritual prose text, all written in the
in the literary genre of questions and answers between
same archaic dialect. These texts have now been recognized
Zarathushtra (asking the questions) and Ahura Mazda¯ (giv-
as the only possible source of information for the earliest pe-
ing the answers) and thus stress the fact that he was responsi-
riod of Zoroastrianism. They are attributed to Zarathushtra
ble for the whole revelation. Although the Ga¯tha¯s contain lit-
himself by many scholars, but others have voiced doubts
tle if any information relevant for his personal life according
about the historicity of Zarathushtra or about the possibility
to modern opinions, many elements from the Zarathushtra
of gaining accurate knowledge about him from these texts.
legends can be traced back to (often obscure) passages from
the Ga¯tha¯s. Although Zarathushtra played a role in the Zoro-
The corpus of relevant texts is thus small and unfortu-
astrian version of the history of the world that is almost in-
nately difficult. It is not only full of words of disputed or un-
commensurate with human capacities, there is no evidence
known meaning, but especially the difficulty of the poetic
that he was ever seen as something other than human.
Ga¯tha¯s is seen as intentional. Although earlier scholars
thought of these texts as “verse sermons” or solemn declara-
In contemporary Zoroastrianism, pictures of Zara-
tions of new religious insights, it is now generally assumed
thushtra are omnipresent in houses as well as fire-temples
that the poems are to be interpreted as visionary poetry com-
and sanctuaries. It is not certain how old this custom is, but
posed in a ritual setting. The Old Avestan prose text, by con-
the iconography used in the Iranian and Parsi communities
trast, is much less opaque. Since the texts do not refer to his-
cannot be traced to a period before the late eighteenth centu-
torical or geographical settings known from other sources,
ry. Small devotional rituals can be performed in the presence
the possibility of contextualizing these texts is slim. Even
of these pictures: lighting a candle or an oil lamp or decorat-
though there is no shortage of speculation on this matter, it
ing the picture with a garland of flowers. On the sixth day
seems impossible to date the texts with precision or to situate
of the first month of the Zoroastrian calendar, Zoroastrians
them in a geographical environment. The texts mention the
commemorate Zarathushtra’s birth and the beginning of his
names of several persons, all known from the later Zoroastri-
meetings with Ahura Mazda¯.
an tradition, but it is a moot point whether that tradition has
preserved knowledge of these persons or has invented a nar-
In ancient and medieval non-Zoroastrian sources,
rative in which these persons could fit.
Zarathushtra is often mentioned. Usually he is presented as
the founder of the Persian priesthood (the magi) and the
In order to confront these difficulties, most scholars use
founder of the religion of the Persians. From an early period,
two different sets of comparative materials. The first of these
Zoroaster was also annexed in Western traditions. Among
are the later Zoroastrian traditions, which reflect the religion
Greeks and Romans, he came to be known as an early sage,
that grew out of these early texts. The second set of compara-
who invented magic and astrology. The Western traditions
tive texts is offered by the hymns of the R:gveda, which were
on Zoroaster owe little to Zoroastrian ideas. This is true for
composed in a language that resembles Old Avestan closely
antiquity but also for the remarkable popularity of Zoroaster
and are full of set expressions and poetic usages that both tra-
in western European traditions from the Renaissance up to
ditions share.
the late eighteenth century.
There are certain dangers in using either approach to the
ZARATHUSHTRA IN MODERN SCHOLARSHIP. The traditional
exclusion of the other. Both sets of comparanda are, in a
biography of Zarathushtra is of course a myth. This myth
sense, quite far removed from the Old Avestan texts. Using
is of great importance for a proper understanding of Zoroas-
both sets of data in combination seems to be the best option
trianism, but it yields little information on the historical
to guard against anachronisms (by reading later develop-
Zarathushtra. Modern scholars (and indeed most modern
ments into the early texts) and against reading into these
Zoroastrians) do not accept the entire Avesta as the work of
texts Vedic ideas that may never have been present in them.
Zarathushtra, not to mention the vast body of exegetical lit-
The truth is that the Ga¯tha¯s are different from the Vedic
erature in the Zand. When the Avesta and other Zoroastrian
hymns. There are certain similarities in poetic expressions
texts reached Europe in the late eighteenth century, the study
and in the grammar of the texts, but the poems as composi-
of these texts remained under the influence of traditional Zo-
tions are completely different, as are the main components
roastrian understanding only for a short while. The academic
of the contents of the Ga¯tha¯s.
study of Zarathushtra and his message had to disengage itself
more and more from the tradition that grew out of it. In the
Since contexts are unavailable, only rough indications
middle of the nineteenth century the German Orientalist
of dating and localization, based on the content of the texts
Martin Haug demonstrated that a small part of the Yasna
and the archaisms of their language, can be given. There
(sacrifice), the text of the daily high ritual, was written in a
seems to be a broad agreement that the texts (and therefore
different language than the rest of the Avesta; that this lan-
Zarathushtra himself) should be dated around the beginning
guage was more archaic; and that the texts in this more archa-
of the first millennium BCE in an eastern part of the Iranian
ic language were the only texts that could be accepted as
world, perhaps the area known as Bactria-Margiana (present-
Zarathushtra’s own words. These are the Ga¯tha¯s (songs), five
day Afghanistan and Turkmenistan).
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ZARATHUSHTRA
Two names stand out in importance in the Ga¯tha¯s. The
been made, it is most likely that these verses indeed refer to
first of these is the name of the god who is celebrated in these
the notion that the battle between good and evil, and there-
hymns: Ahura Mazda¯, “the Wise Lord.” The second is the
fore the world and “history,” will eventually come to an end.
name of the most important man in these hymns:
This is certainly how it has always been understood in the
Zarathushtra, who occurs regularly as singer of the hymns
tradition.
and as performer of the rituals that the hymns accompanied.
In spite of the many lexical parallels with hymns from
Following an established poetic pattern, the singer of the
the R:gveda, these are all aspects from the Ga¯tha¯s for which
hymns declares that he is going to proclaim certain truths
one would look in vain in the Vedic corpus. The god Ahura
about the gods, the world and reality. In these proclama-
Mazda¯ is as absent from India as the important Indian gods
tions, Ahura Mazda¯ is extolled as the creator of the world,
are from the Ga¯tha¯s. Although ideas on the importance of
dispenser of justice, lord of all that is good, and rightful re-
ritual for the life and well-being of the people are characteris-
cipient of prayer and sacrifice. But he is not alone: there are
tic for both traditions, the pervasive focus on the distinction
his children and his (spiritual) creations, personifying mental
between good and evil, their existence as (the only) two “pri-
attitudes and human virtues, who aid him in the struggle
mal” spirits, and their impact on the lives of humans in this
against evil, which is taking place in front of one’s own eyes.
world—in the afterlife and in the transformation of the
For there are evil beings in this world and in the spiritual
world—is wholly specific for the Ga¯tha¯s. Something resem-
world; although they are worshipped by those of little intel-
bling the Gathic insistence on the primary nature of Ahura
lect, they should not be worshipped, for they cause nothing
Mazda¯ and his sole responsibility for the origins of every-
but harm to humankind and to the world at large. These evil
thing—and especially the idea that history would come to
beings are called da¯evas and they too appear to be ruled by
an end—is likewise difficult to find in early Indian literature.
a separate being, who is chiefly alluded to as the “evil one,”
There are no indications whatsoever that these were ideas
“the deceitful one,” or “the one of evil doctrine” and who
that had grown slowly among the Iranians. For these reasons,
is said to have destroyed existence once (but will not do so
the idea that a single person, Zarathushtra, was responsible
again: [Y. 45.1]; the interpretation of this verse is debated).
for the Ga¯tha¯s and in a real sense the founder of the religion
In several passages, two spirits are referred to who are each
that grew out of them raises fewer historical difficulties than
other’s total opposites and between which humans must
the idea that such a person did not exist. One can question
choose. If one makes the wrong choice, this has conse-
the suitability of the concept of “originality” in the writing
quences for his or her afterlife. Indeed many passages have
of history but not doubt the possibility of real innovations.
a marked focus on the implications of human choices for
All the evidence suggests that the oldest Zoroastrian texts,
their fate in the other world.
which were preserved in a different language among a much
The marked polarity between good and evil in these
larger body of ritual literature, offered a new vision of reality,
texts, focusing chiefly on the options for “righteousness” or
using traditional words and concepts for the (successful)
“deceit,” also splits human society. Even though some schol-
propagation of an innovative message.
ars have doubted the interpretation of the Ga¯tha¯s as contain-
SEE ALSO Amesha Spentas; Avesta; Saoshyant; Zoroastrian-
ing elements from Zarathushtra’s biography, there are many
ism.
passages that hint at an acute crisis, instigated by enemies and
borne by the majority of the people surrounding Zara-
BIBLIOGRAPHY
thushtra. In these passages, various individuals and groups
The literature on the subject is enormous and shows a wide variety
of enemies are mentioned, together with examples of their
of approaches and interpretations. The selection given here
hostilities. This may reflect an actual struggle between com-
assembles some fundamental works and examples of the vari-
peting groups of religious specialists, divided over matters of
ous methods scholars have used to make sense of the data.
ritual and ideas about the gods and reality.
There are many translations of the Old Avestan texts, ranging
from intensely personal interpretations with an almost mysti-
Many passages of the Ga¯tha¯s show that rituals and reli-
cal message to elaborate philological studies. The most recent
gious views mattered not only for this world but also for the
of these certainly show great improvements over earlier at-
afterlife. Those who oppose truth will certainly be held ac-
tempts.
countable for their wrong choice through an ordeal and a
Humbach, Helmut, Josef Elfenbein, and Prods Oktor Skjaervo⁄.
judgment of their souls. A blessed existence is promised the
The Ga¯tha¯s of Zarathushtra and the Other Old Avestan Texts.
righteous ones and a life of woe the wicked.
2 vols. Heidelberg, Germany, 1991.
Insler, Stanley. The Ga¯tha¯s of Zarathustra. Leiden, 1975.
In a number of passages, all rather cryptic, there are allu-
Kellens, Jean, and Eric Pirart. Les textes vieil-avestiques. 3 vols.
sions to the most influential of all Zoroastrian ideas: that the
Wiesbaden, Germany, 1988–1991.
world as humans know it will come to an end in a decisive,
Studies of Zarathushtra
collective transformation according to the wish of its creator.
These include discussions of his historicity and, where accepted,
The most important passage is Y. 30.7–11, which contains
his most likely dates and place.
the famous words “thus may we be those who will make exis-
Boyce, Mary. A History of Zoroastrianism, vol. 1: The Early Period.
tence brilliant” (Y. 30.9). Although other suggestions have
Leiden, 1975.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZAYNAB BINT EAL¯I
9937
Boyce, Mary. Zoroastrianism: Its Antiquity and Constant Vigour.
LIFE. Zaynab was born in Medina a few years after
Costa Mesa, Calif., 1992.
Muh:ammad’s immigration thereto in the early days of
Gnoli, Gherardo. Zoroaster’s Time and Homeland: A Study on the
ShaEba¯n of the year AH 5 (626 or 627 CE). She was the third
Origins of Mazdaism and Related Problems. Naples, 1980.
child born to EAl¯ı and Fa¯t:imah—after H:asan (the first
Gnoli, Gherardo. Zoroaster in History. New York, 2000.
Sh¯ıEah ima¯m) and H:usayn—with about a year’s interval be-
Kellens, Jean. Essays on Zarathustra and on Zoroastrianism. Costa
tween each child. Her birth was followed by that of a sister,
Mesa, Calif., 2000.
Umm Kulthu¯m. Tradition states that Zaynab was named by
Lommel, Herman. Die Religion Zarathustras: Nach dem Awesta
Muh:ammad, who attributed her name to divine inspiration.
dargestellt. Tübingen, Germany, 1930.
Little is known of her early life. Muh:ammad died when
Molé, Marijan. Culte, mythe, et cosmologie dans l’Iran ancien: Le
she was about five, followed by Fa¯t:imah a few months later.
problème zoroastrien et la tradition mazdéenne. Paris, 1963.
She married her paternal cousin EAbd Alla¯h (whose father
Schlerath, Bernfried, ed. Zarathustra. Darmstadt, 1970.
was EAl¯ı’s brother JaEfar al-T:ayya¯r ibn Ab¯ı T:a¯lib, and whose
Skjaervo⁄, Prods Oktor. “The State of Old Avestan Scholarship.”
mother was then EAl¯ı’s wife and hence Zaynab’s own step-
JAOS 117 (1997): 103–114.
mother, Asma¯D bint EUmays). Zaynab is reported to have
Studies of the Image of Zarathustra in Zoroastrian and
had five children with EAbd Alla¯h: EAl¯ı (known as EAl¯ı
Non-Zoroastrian Traditions
al-Zaynab¯ı, whose numerous descendants took pride in trac-
De Jong, Albert. Traditions of the Magi: Zoroastrianism in Greek
ing their lineage to Zaynab), EAwn al-Akbar (killed at Karba-
and Latin Literature. Leiden, 1997.
la), EAbba¯s (no information about him), Muh:ammad (possi-
Molé, Marijan. La légende de Zoroastre selon les textes pehlevis. Paris,
bly killed at Karbala), and one daughter named Umm
1967.
Kulthu¯m (married to her paternal cousin Qa¯sim ibn
Rose, Jenny. The Image of Zoroaster: The Persian Mage through Eu-
Muh:ammad ibn JaEfar ibn Ab¯ı T:a¯lib, after rejecting the suit
ropean Eyes. New York, 2000.
of the Umayyad Yaz¯ıd ibn MuEa¯wiya).
Stausberg, Michael, ed. Faszination Zarathushtra: Zoroaster und
die europäische Religionsgeschichte der Frühen Neuzeit. Berlin,
When Zaynab’s father EAl¯ı became caliph in 656 and
1998.
moved his capital from Medina to Ku¯fah, Zaynab and EAbd
Zoroastrian Works on Zarathustra
Alla¯h accompanied him there. She lived in Ku¯fah through
There are many modern Zoroastrian studies of Zarathustra and
four years of military confrontations with the insurgent gov-
his importance for the Zoroastrian tradition. Most of these
ernor of Syria, MuEa¯wiya ibn Ab¯ı Sufya¯n, and with the Iraqi
appear in Persian or Gujarati. Some representative examples
Kharijite rebels, until EAl¯ı was killed in 661 by one of the
are:
latter. She was then thirty-five years old.
Dhalla, Maneckji Nusservanji. Zoroastrian Theology. New York,
1914.
Zaynab is mentioned a few times in the accounts of
EAl¯ı’s caliphate as a devoted and beloved daughter. More-
Kapadia, Shapurji Aspandiarji. The Teachings of Zoroaster and the
Philosophy of the Parsi Religion. London, 1905.
over, it is reported that EAl¯ı taught her a devotional poem
that she often recited, and that she herself taught QurDa¯n in-
Mehr, Farhang. The Zoroastrian Tradition: An Introduction to the
Ancient Wisdom of Zarathustra. Costa Mesa, Calif., 2003.
terpretation to women in her house in Ku¯fah. It is thus likely
that she was trained by her father (who is considered the
Mistree, Khojeste. Zoroastrianism: An Ethnic Perspective. Bombay,
most learned of sages), and that she herself played a teaching
1982.
role among the women of the early Muslim community.
Nanavutty, Piloo. The Gathas of Zarathustra: Hymns in Praise of
Wisdom. Ahmadabad, 1999.
After EAl¯ı’s death, his son H:asan stepped down from the
Taraporewala, Irach Jehangir Sorabji. The Divine Songs of Zara-
caliphate and MuEa¯wiya became the first Umayyad caliph.
thustra. Bombay, 1951.
H:asan returned to Medina with the family, and was subse-
ALBERT DE JONG (2005)
quently poisoned by MuEa¯wiya in 669. There are reports of
Zaynab’s caring attendance on H:asan during his last few
days.
ZA¯WIYAH SEE KHA¯NAGA¯H
H:asan was followed as head of the Prophet’s family by
his brother H:usayn. In 680, MuEa¯wiya died, having appoint-
ed his son Yaz¯ıd to the caliphate. At that time—according
ZAYNAB BINT EAL¯I (c. AH 5–62; 626/7–682 CE),
to some sources, after consulting with Zaynab—H:usayn re-
daughter of EAl¯ı ibn Ab¯ı T:a¯lib and Fa¯t:imah al-Zahra¯D, was
fused to pledge allegiance to Yaz¯ıd, and set off with his fami-
the first granddaughter of the prophet Muh:ammad. She is
ly and supporters for Mecca and then Ku¯fah to meet up with
best known for her courageous and eloquent role supporting
his Ku¯fan supporters and overthrow Yaz¯ıd. Some of
her brother, the second Sh¯ıEah Ima¯m H:usayn, at the time
H:usayn’s well-wishers tried to dissuade him from going, and
of his martyrdom in the Battle of Karbala, and for protecting
these included Zaynab’s husband EAbd Alla¯h (who had by
his family in the following months of Umayyad impris-
then lost his sight, according to some sources), but when
onment.
H:usayn remained adamant, EAbd Alla¯h sent Zaynab and his
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9938
ZAYNAB BINT EAL¯I
two sons EAwn and Muh:ammad with him (there is conflict-
lamentation poetry composed in Arabic, Persian, Urdu, and
ing evidence regarding whether this Muh:ammad was EAbd
other languages commemorating the Karbala tragedy. She is
Alla¯h’s son from Zaynab or another wife).
portrayed in these variously as an object of pity, a compas-
sionate saint, and a powerful intercessor. On a somewhat
En route to Ku¯fah, H:usayn’s entourage was stopped at
more militant note, she was used in pre-revolution Iran as
Karbala and surrounded by a military unit sent by the Umay-
a model for inspiring political opposition among women—
yad governor of Ku¯fah, EUbayd Alla¯h ibn Ziya¯d. On 10
in the Iranian revolution of 1979, female commandos came
Muh:arram 61 (680), after three days without food or water
to be known as “the commandos of her holiness Zaynab”
in the scorching desert, H:usayn, his supporters, all but one
(Koma¯ndo-ha¯ye Hazrat-e Zaynab).
of the men from his family, and many of the male children
were slaughtered. They were reported to be seventy-two in
Every day, hundreds of Muslim men and women, but
number, including the family members, who numbered
especially women, visit the mausoleums dedicated to Zaynab
eighteen. EAwn and Muh:ammad were among those killed,
in Damascus and Cairo. In fact, some scholars call Zaynab
according to some reports, encouraged by their mother to
the patron saint of Muslim women. At the shrine, visitors
fight in defense of their uncle. Zaynab was then fifty-four
ask for her help (madad), and they beseech her intercession
years old. Her grief-filled speeches are recorded by many his-
(shafa Ea) with God on their behalf for a myriad of petitions,
torians.
such as curing illness, passing school examinations, or find-
ing a good husband or wife for themselves or their children.
After the massacre, the Umayyad army looted H:usayn’s
Many miracles are attributed to her, such as the curing of
camp and set off with his women and children for the court
chronic illness. Mostly Sh¯ıEah visit the Damascus shrine, and
of Ibn Ziya¯d. Upon reaching Ku¯fah, Zaynab, with the other
Egyptian Sunn¯ıs of a S:u¯f¯ı bent visit the Cairo shrine, where
women, was paraded unveiled and shackled through the very
tens of thousands celebrate Zaynab’s birthday (mawlid) for
town where her father had ruled, with the heads of H:usayn
seven days annually.
and his companions raised on spears beside them. Ibn Ziya¯d
then ordered the execution of H:usayn’s only remaining son,
Zaynab is known by several titles. She is called Zaynab
the 23-year-old EAl¯ı Zayn al-EA¯bid¯ın (the third Sh¯ıEah
al-Kubra¯ (the senior Zaynab) to distinguish her from Zaynab
ima¯m); Zaynab protected his life saying Ibn Ziya¯d would
al-S:ughra¯ (the junior Zaynab, the name of her full sister,
have to kill her before he killed EAl¯ı, which shamed him into
Umm Kulthu¯m, and also perhaps of another half-sister).
withdrawing the execution order. A moving oration deliv-
Zaynab is called al-EAq¯ıla (literally, “secluded one,” or
ered by Zaynab in Ku¯fah is recorded in some sources. The
“pearl,” perhaps connected to a suggested etymology of her
prisoners were next sent to the court of the Umayyad caliph
name: zayn + ab, “adornment of father”), as well as Tha¯n¯ı-ye
Yaz¯ıd in Damascus, where one of his Syrian followers asked
Zahra¯D (the second Fa¯t:imah Zahra¯D). In Egypt she is known
for H:usayn’s daughter Fa¯t:imah al-Kubra¯, and once again it
as al-T:a¯hirah (the pure one) and by a number of “mother”
was Zaynab who came to the rescue and protected her honor.
epithets (Umm Ha¯shim, mother of the Prophet’s family;
The family remained in Yaz¯ıd’s prison for a time; the sources
Umm al-Eawa¯jiz, mother of the weak; Umm al-masa¯k¯ın,
do not specify the number of days or months. The first as-
mother of the poor; Umm al-yata¯ma¯, mother of the orphans;
sembly (majlis) of mourning for H:usayn is said to have been
and Umm Mis:r, mother of Egypt). She is also known simply
held by Zaynab in prison. In Damascus, too, she is reported
as al-Sayyida (the Lady), a fitting title for a woman who came
to have delivered a poignant oration.
to be considered a role model for Muslim women, typifying
courage, fortitude, leadership, eloquence, devotion, and
Zaynab and her family were eventually released and es-
faith.
corted back to Medina. After her return to Medina, little is
known of her in the year and a half before her death, except
B
through much later, conflicting reports. According to one re-
IBLIOGRAPHY
The primary source of information on the Karbala tragedy, and
port, she stayed and died there. Another report states that
of Zaynab’s role in it, is the account of the Umayyad author
due to persecution from the governor of Medina, she trav-
Abu¯ Mikhnaf Lu¯t: ibn Yah:ya¯ preserved in the early medieval
eled to Fustat (later Cairo) in Egypt with several other
historical works; Abu¯ Mikhnaf’s original work Maqtal
women from the family of the Prophet; she lived in Fustat
al-H:usayn (The killing of al-H:usayn) is probably lost, and
for over a year, narrating the Karbala tragedy and preaching
the various manuscripts and editions thereof are most likely
the love of the family of the Prophet, and died there. A third
reworked and corrupted versions (see Ursula Sezgin, Abu¯
report states that she went with her husband to his Syrian
Mihnaf: Ein Beitrag zur Historiographie der umaiyadischen
˘
estates in a year of drought and died there. Sources also differ
Zeit, Leiden, 1971, pp. 116–123). Much of the original Abu¯
as to the year of her death. According to most of them, she
Mikhnaf account rendered by al-T:abar¯ı is found in English
died on 15 Rajab
translation in The History of al-T:abar¯ı: An Annotated Trans-
AH 62 (682 CE), when she was fifty-six years
old.
lation, vol. 19, The Caliphate of Yaz¯ıd b. MuEa¯wiyah, trans-
lated by I. K. A. Howard (Albany, N.Y., 1990). Al-Bala¯dhur¯ı
ROLE IN MUSLIM PIETY. Zaynab is best remembered for her
also narrates the Karbala tragedy on Abu¯ Mikhnaf’s authority
role in Karbala. Through the centuries, she has continued to
in Ansa¯b al-Ashra¯f, vol. 2, edited by M. B. al-Mah:mu¯d¯ı (Bei-
hold a prominent place in Muh:arram orations, as well as in
rut, 1977). The text of Zaynab’s Damascus oration is re-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZEALOTS
9939
corded by the early scholar Ah:mad ibn Ab¯ı Ta¯hir Tayfu¯r in
nology. References in the New Testament, the Pseudepigra-
his Kita¯b Bala¯gha¯t al-nisa¯ D, edited by EAbd al-H:am¯ıd
pha, and the rabbinic literature add to the confusion.
Hinda¯w¯ı (Cairo, 1998, pp. 70–73). A book devoted to the
Karbala tragedy that includes the texts of Zaynab’s Ku¯fah
In 6 CE, Judah (Yehudah) the Galilean showed zeal for
and Damascus orations (pp. 56–57, 69–71) is al-Luhu¯f f¯ı
God’s law and land when he led a revolt against the Roman
qatla¯ al-t:ufu¯f (Beirut, 1992) by the later medieval historian
census in Judaea. He and his followers fought to cleanse the
Ibn T:a¯wu¯s al-H:usayn¯ı, who also bases his narrative on Abu¯
land by taking vengeance against Jews who cooperated with
Mikhnaf’s authority.
the Romans. Judah considered such cooperation to be idola-
In European languages, there are no monographs about Zaynab’s
trous recognition of a lord (Caesar) other than God. By such
life. There is one anthropological study of her birthday cele-
vengeance, he and his followers sought to appease God, who
brations in Cairo and the rituals associated with visiting her
would thereby honor their cause against the Romans. The
shrine: Nadia Abu Zahra, The Pure and Powerful: Studies in
revolt failed, but Judah had originated the so-called Fourth
Contemporary Muslim Society (Berkshire, U.K., and Ithaca,
Philosophy (“No Lord but God”) based on the first com-
N.Y., 1997). There are also several articles about various as-
mandment. Judah’s descendents emerged again after all of
pects of Zaynab’s role in Muslim piety, including David
Judaea became a Roman province in 44
Pinault, “Zaynab bint Al¯ı and the Place of the Women of
CE. Their subse-
the Households of the First Ima¯ms in ShiEite Devotional Lit-
quent revolutionary actions against the corrupt and incom-
erature,” in Women in the Medieval Islamic World: Power, Pa-
petent Roman authorities contributed to the outbreak of war
tronage, and Piety, edited by Gavin Hambly (New York,
in 66 CE. Josephus usually refers to Judah’s group as Sicarii,
1998), pp. 69–98; Diane D’Souza, “The Figure of Zaynab
after the sikkah (“dagger”) used in assassinations.
in Sh¯ıE¯ı Devotional Life,” Bulletin of the Henry Martyn Insti-
tute of Islamic Studies 17, no. 1 (1998): pp. 31–53; Andreas
Although Josephus refers to Judah’s faction as a Jewish
D’Souza, “‘Zaynab I Am Coming!’: The Transformative
sect, it is not clear that his group is to be identified with a
Power of Nawh:ah,” Bulletin of the Henry Martyn Institute of
revolutionary faction called the Zealots or indeed that there
Islamic Studies 16, nos. 3 and 4 (1997): 83–94; Anna Ma-
was such an organized group early in the first century. Many
doeuf, “Quand le temps revele l’espace: Les fetes de H:usayn
Jews venerated “zealous action” as a model of piety, using the
et de Zaynab au Caire,” Geographie et Cultures 21 (1997):
biblical figure Phineas as a prototype (Num 25:1–15). Such
71–92; Irene Calzoni, “ShiEite Mausoleums in Syria with
persons endured persecution for the Law or sought to destroy
Particular Reference to Sayyida Zaynab’s Mausoleum,” Con-
those who violated the Law as a means to cleanse the land
vegno sul tema la ShEia nell ’Imapero Ottomano (Rome, 1993):
of defilement and thereby turn back God’s wrath. Individu-
191–201; and Valerie J. Hoffman-Ladd, “Devotion to the
als, such as Simon the “zealot” (a disciple of Jesus: Luke 6:15;
Prophet and His Family in Egyptian Sufism,” International
Journal of Middle Eastern Studies 24 (1992): 615–637.
Acts 1:13), were zealous for God over a variety of legal issues.
Sometimes, as was the case with the Maccabean revolt in
In Arabic, there are several monographs about the life of Zaynab,
167–142 BCE, zeal was a dominant motivation for revolu-
and these also address the issue of her burial place with differ-
tion. However, not all zealots were revolutionaries, and not
ing conclusions. These include: H:asan Mu¯sa¯ S:affa¯r, al-Mar Da
al-EAz:¯ıma: Qira¯ Da fi H:aya¯t al-Sayyida Zaynab bint EAl¯ı (Lon-
all revolutionaries were motivated by zeal. It is not until his
don and Beirut, 2000); Ah:mad Shukr al-H:usayn¯ı, al-Shams
account of the war period that Josephus refers to one of the
al-T:a¯li Ea wa al-Anwa¯r al-Sa¯t:i Ea: EAq¯ılat al-Ima¯ma wa
wartime revolutionary groups formally as “the Zealots.”
al-Wila¯ya al-Sayyida Zaynab al-Kubra¯ (Beirut, 1999);
Amid the growing unrest in the decades leading up to
Muh:ammad H:asanayn al-Sa¯biq¯ı, Marqad al- EAq¯ıla Zaynab
(Beirut, 1979); and EAl¯ı Ah:mad Shalab¯ı, Ibnat al-ZahraD
the war, there was broad resistance to Roman occupation, in-
Bat:alat Karbala¯ D Zaynab rad:iya Alla¯h Eanha¯ (Cairo, 1972).
cluding protests against provocative actions by the procura-
An encyclopedia entry on Zaynab is provided by H:asan
tor Pilate (ruled 26–36 CE), a threatened strike against raising
al-Am¯ın in his A Eya¯n al-Sh¯ı Ea, vol. 7 (Beirut, 1983),
crops for the Romans when the emperor Gaius Caligula
pp. 137–142.
sought to put a statue of Zeus in the Temple (41 CE), riots
B. T
at feast time in Jerusalem in reaction to offenses by Roman
AHERA QUTBUDDIN (2005)
soldiers, official delegations to Rome protesting inept procu-
rators, prophetic actions and oracular pronouncements by
apocalyptic figures, banditry, kidnappings, and assassina-
ZEALOTS. The Zealots were Jewish revolutionaries in
tions. Resistance to Roman rule was widespread and cut
first-century Israel whose religious zeal led them to fight to
across all sectors of society. The war broke out in 66 CE when
the death against Roman domination and to attack or kill
the procurator Florus tried to seize money from the Temple
other Jews who collaborated with the Romans. Scholars dis-
treasury, after which the populace drove Florus out of Jerusa-
agree as to whether the name Zealots designated all revolu-
lem and successfully held off Cestius Gallus, the Legate of
tionary groups of the first century or only one of the factions
Syria, when he arrived to restore Roman order. The Jewish
active during the Roman-Jewish War of 66–70 CE. Josephus
declaration of war came when the lower priests ceased the
Flavius (37–c. 100 CE.), the Jewish general who surrendered
sacrifices to God on behalf of the emperor. Subsequently, the
to the Romans and whose official Roman history of the war
traditional high priests assumed control of the wartime gov-
furnishes the major source, is ambiguous in his use of termi-
ernment and prepared for the Romans to return.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9940
ZEKHUT AVOT
For the war period, Josephus identifies (in addition to
group, whether the wartime government was moderate or
the wartime government) five revolutionary groups, each
revolutionary, and the relative importance of social, econom-
with its own social and geographic origins, motivations,
ic, political, and religious factors as causes of the war.
methods, and goals (Jewish War 7:262–267). Not all the
groups embraced a “zealous” mentality, and they were often
BIBLIOGRAPHY
in conflict with each other except when confronted with the
Borg, Marcus. “The Currency of the Term ‘Zealot.’” Journal of
common Roman enemy. Josephus mentions the Zealots last
Theological Studies, n. s. 22 (October 1973): 504–512. Con-
in order.
cludes that the term did not come into use as a title until the
time of the war.
1. The Sicarii fought for “No Lord but God” under the
messianic leadership of Judah the Galilean’s descen-
Goodman, Martin. The Ruling Class of Judea: The Origins of the
Jewish Revolt against Rome, A. D. 66–70. Cambridge, 1987.
dants. When other revolutionary groups forced them
Assesses the role the Jewish elite class, their successes and fail-
out of Jerusalem in 66 CE, they remained during the rest
ures, and their involvement in the war effort.
of the war on the fortress Masada, where in 74 CE they
chose suicide rather than capture by the Romans.
Hengel, Martin. The Zealots: Investigations into the Jewish Freedom
Movement in the Period from Herod I until 70 A. D. Translat-
2. John of Giscala (Yoh:anan ben Levi), leader of a Galilean
ed by D. Smith. Leiden, 1976. The most thorough depic-
contingent, gained the confidence of the wartime gov-
tion, gleaned from many sources, of the mentality of “zeal.”
ernment, which he then betrayed to the Zealots.
Argues that the Zealots were a unified and organized prewar
sectarian minority that splintered at the time of the war.
3. Simeon bar Giora, from Gerasa in the Decapolis, raised
an army of freed slaves and peasants, then overran Idu-
Horsley, Richard, and John Hanson. Bandits, Prophets, and Messi-
ahs: Popular Movements in the Time of Jesus. Minneapolis,
mea. In 69 CE, he was joined by some nobles and seized
Minn., 1985. Details the nature of the diverse expressions of
most of Jerusalem. A messianic strongman, Simeon led
resistance against Roman rule in first century Israel.
the coalition of revolutionary groups in the defense of
Jerusalem in 70
Rhoads, David M. Israel in Revolution, 6–74 C. E.: A Political His-
CE.
tory Based on the Writings of Josephus. Philadelphia, 1976.
4. The Idumeans, a local militia, helped the Zealots to
Thorough treatment of the positions that the revolutionary
overthrow the provisional government.
movement was disparate and that support for the war was
widespread.
5. The Zealots, primarily priests from Jerusalem and the
Judaean peasantry, declared war by stopping the official
Rhoads, David M. “Zealots.” In The Anchor Bible Dictionary, Vol.
VI, pp. 1043–1054. New York, 1992. Identifies the variety
sacrifices for Caesar. Later, under democratic leadership,
of scholarly positions on diverse issues. Extensive bibliogra-
they occupied the Temple, chose a high priest by lot,
phy appended.
and, in 68 CE, overthrew the wartime government.
Smith, Morton. “Zealots and Sicarii: Their Origins and Relation.”
The war lasted four years. From 66 to 68 CE, the Roman gen-
Harvard Theological Review 64 (January 1971): 1–19. Semi-
eral Vespasian overran the countryside of Galilee and Judaea,
nal article arguing for a disparate and unorganized revolu-
thereby isolating Jerusalem. When he became emperor in 69
tionary movement.
CE, his son Titus assumed the siege of Jerusalem, eventually
Stern, Menachem. “Zealots.” In Encyclopaedia Judaica Yearbook.
destroying the city in 70 CE, burning the Temple, executing
Jerusalem, 1973. A balanced treatment claiming that the Si-
Jewish warriors, and consigning many families to slavery
carii had prewar connections with those who came to be
after a triumphal procession in Rome. Flavius Sylva led
called Zealots and that it is appropriate to speak about a
Roman troops to overcome Jewish holdouts in a few fortress-
Zealot movement and yet appreciate the uniqueness of each
es, including Masada, by 74 CE.
revolutionary group.
The causes of the war were many and complex: incom-
DAVID M. RHOADS (1987 AND 2005)
petent and corrupt Roman governors, deteriorating Roman
policies toward Jews, a determined Jewish opposition to for-
eign domination, economic exploitation of peasants (the war
ZEKHUT AVOT (Ancestral merit). Zekhut avot is a He-
was also a peasant revolt against the Jewish elites), wide-
brew phrase that refers to the merits of the ancestors of Israel.
spread banditry, apocalyptic expectations, the conviction
Biblical teaching frequently presupposes that reward and
that God would honor the Jewish cause, and a zealous com-
punishment have a collective dimension. Many passages are
mitment to cleanse the land of idolatry.
directed to the people of Israel as a whole—for example,
Major scholarly controversies, arising primarily from
Deuteronomy 11:13–17. Some passages suggest that later
the biased and often unreliable accounts of Josephus (in The
generations benefit or suffer as a result of the actions of their
Jewish War, as well as his Jewish Antiquities and The Life),
ancestors, as in Exodus 20:5–6 and 34:7; Deuteronomy 7:8–
have centered on the ancient usage of the term “Zealot,” the
10; and Lamentations 5:7. Other statements that deny or
extent of religious zeal among the revolutionaries and the
downplay transgenerational recompense, such as Ezekiel 14
populace, the nature and makeup of each revolutionary
and 18, balance these judgments. Later rabbinic and medi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZEKHUT AVOT
9941
eval interpretation tended to restrict the penal aspect, limit-
DIACHRONIC FACTORS. Some scholars have detected an evo-
ing it to grievous sins like idolatry and to cases in which the
lution in rabbinic thought regarding the specific merits of the
sons perpetuated the sins of their fathers. Examples include
patriarchs behind the concept of zekhut avot. Thus Urbach
B.T. Makkot 24 and the commentaries of Abraham Ibn Ezra
maintains that statements made after Bar Kokhba’s revolt
(1093–1167) and Nahmanides on Exodus 20. Some biblical
(132–135 CE), were more likely to anchor the zekhut in will-
verses single out the particular benefit derived from the merit
ingness to offer up one’s life in obedience to God, in accor-
of the patriarchs Abraham, Isaac, and Jacob, as in Leviticus
dance with the increasing emphasis on martyrdom in the sec-
26: 42. Several rabbinic debates argued for and against the
ond century. At this stage the binding of Isaac described in
possibility that the attainments of later generations justified
Genesis 22 became the paradigm of zekhut avot. The liturgy
divine solicitude for their forebears.
described in the Talmud refers to the merit of the ashes of
The rabbinic concept of zekhut avot (merits of the fa-
Isaac’s virtual immolation; one passage, commenting on Isa-
thers, with occasional mention of their wives) in the narrow
iah 63:16, imagines Abraham and Jacob declining to inter-
sense of the term derives from the special standing of the
vene on behalf of Israel while Isaac alone offers his merit
original progenitors. Nonetheless, the term is occasionally
(B.T. Shab. 89b). Kasher likewise discerns a movement away
applied to other Jewish figures such as the sons of Jacob, to
from defining Abraham’s merit as faith towards an emphasis
Noah’s merit in preserving humanity, or to any kind of in-
on heroic action, a development interpreted as a reaction
herited merit. Examples of the latter can be found in M Edu-
against the early Christian understanding of Genesis 15:6.
yot 2:9 and Maimonides’ commentary. Some sources speak
It has also been argued that different sources offer differ-
of the merit of descendants justifying the fathers; others dis-
ent accounts of the benefits of zekhut avot for the people of
agree. To the extent that zekhut avot is construed narrowly,
Israel. Goshen-Gottstein observes that biblical sources stress
it is distinguished from universal philosophical concepts of
the value of patriarchal merit in the inheritance of the land
divine justice; it belongs rather to concepts related to the idea
of Israel. This theme, however, is downplayed in the rabbinic
of election. When zekhut avot is assimilated to natural mech-
literature.
anisms of collective or transgenerational deserving, it is more
ZEKHUT AVOT AND COLLECTIVE RESPONSIBILITY. Rabbi
easily regarded as an application of general principles. In this
Avraham Yitsh:aq Kook (1865–1935) developed an influen-
framework one must also consider the negative impact of un-
tial theory regarding the place of zekhut avot in Jewish theol-
worthy parents on their children’s destiny.
ogy. For Kook, zekhut avot finds its place within a metaphys-
Solomon Schechter’s century-old dictum that “. . . the
ical doctrine of social organisms. Inherited spiritual traits
notion of imputed righteousness and imputed sin. . .
affect the Jewish people, as well as non-Jewish social entities
have. . . never attained such significance in Jewish theology
and humanity as a whole. Negative traits also leave their im-
or in Jewish conscience as is generally assumed” remains true.
print on later generations. Faithful to the rabbinic principle
(Schechter, 1909, p. 170) Consequently the rabbinic materi-
that “the measure of beneficence is greater than that of retri-
al has not generated a systematic theological consensus. In
bution,” Kook maintained that the favorable impact far ex-
classic medieval Jewish philosophy, zekhut avot is not central
ceeds the negative (Yoma, 76a). With the Babylonian exile
to the major discussions of providence and theodicy. The ex-
it was judged preferable to loosen the ties between the gener-
plorations of exegetes, nonphilosophical theological thinkers,
ations; this interpretative development is reflected in Ezekiel
and modern academic scholars have shed light on aspects of
18 and B.T. Makkot 24a.
the theme by adopting both synchronic and diachronic ap-
An earlier Hasidic master, Rabbi Judah Alter of Gur
proaches.
(1847–1905), likewise reflected a metaphysical orientation
TERMINATION OF ZEKHUT AVOT. Several amoraim (third-
presented from a social perspective. He insisted that even if
and fourth-century interpreters of the Mishnah) claimed that
one accepts the view that zekhut avot ended, the merit of the
zekhut avot no longer applies, although they differed as to the
seventy grandchildren of Jacob who arrived in Egypt remains
date in the First Temple period when it ceased to operate
operative. That is because the passage of time weakens the
(B.T. Shab. 55a and Leviticus Rabba 36). These views limited
Jewish people’s connection to the forefathers, but not their
appeal to the merits of the fathers; they are better suited to
connection to the more “accessible” merit of the intermedi-
conceptions of zekhut avot rooted in the principle of election
ate generations.
than to universal models of reward and punishment. Medi-
eval commentators noted that the cessation of zekhut avot
SEE ALSO Election; Kook, Avraham Yitsh:aq; Merit, over-
flies in the face of Jewish liturgy, which frequently cites Levit-
view article.
icus 26:42, especially in the selihot (penitential) service. Rabbi
Jacob Tam, who was a twelfth-century French commentator,
BIBLIOGRAPHY
posited that while the merits of the fathers were depleted, the
Solomon Schechter, Some Aspects of Rabbinic Theology (New York,
covenant with them (berit avot) is irrevocable (Tosafot Shab.
1909), Chapter 12 (“The Zachuth of the Fathers: Imputed
55). He thus shifted a crucial employment of the concept
Righteousness and Imputed Sin”), pp. 170–198, remains the
from consideration of merit by itself to the abiding remem-
best survey of rabbinic material on the topic of zekhut avot.
brance of divine promise.
See also A. Marmorstein, The Doctrine of Merits in Old Rab-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9942
ZEME
binic Literature (London, 1920). Among recent scholars, see
bread into the first furrow. On this day, too, a special meal
E. E. Urbach, The Sages (Jerusalem, 1975) 15:7,
was eaten at which the first measure of ale was thrown on
pp. 483–511; R. Kasher, “Miracles, Faith and Merit of the
the earth together with a small piece of meat. In the spring,
Fathers,” (Hebrew) Jerusalem Studies in Jewish Thought 5
when the animals were sent out to pasture for the first time,
(1986):15–23; A. Goshen, “The Covenant with the Fathers
offerings were made, normally eggs, a special gruel, and ale.
and the Inheritance of the Land—Between Biblical Theolo-
The entire household, led by the paterfamilias, joined in the
gy and Rabbinic Thought,” (Hebrew) Daat 35 (1995): 5–28;
sacral meals, for which a piglet or cockerel was occasionally
S. Carmy, “Merits of the Mothers” (Hebrew) Or haMizrah
5665 (Spring 2005). Rabbi Avraham Yitsh:aq Kook’s major
slaughtered.
treatment of the topic can be found in his Iggerot Ha-Re’ayah,
More frequent still were rituals connected with the gath-
§379 (Jerusalem, 1943). It is available in English translation
ering of the harvest in autumn. After the last sheaf had been
in T. Feldman, Rav A. Y. Kook: Selected Letters, pp. 141–161
taken in, bread and salt were buried in the soil in its place,
(Ma’ahleh Adumim, Israel, 1986). For the Rabbi of Gur, see
Sefat Emet, the sermon on Shemot 5645 (=1885) (Jerusalem,
to the accompaniment of a prayer: “Dear earth, as you have
1971).
given, so also do I give to you.” A kind of cultic drama, in
two parts, was then enacted. The first part, in which the fe-
SHALOM CARMY (2005)
male head of the household also generally participated, took
place in the field. A festive meal was eaten, including special
cakes, and, as at all country feasts, ale was drunk. This meal
ZEME. In Baltic religion, earth (Latv., zeme; Lith., zˇeme)
of thanksgiving was made festive by singing and dancing.
is sacralized. On this basis, the Latvian goddess Zeme and
The songs were commonly characterized by bravado directed
the Lithuanian goddess Zˇemy´na (diminutive, Zˇemynele)
at neighboring farmers who had not yet succeeded in harvest-
evolved. Called in Latvian Zemes Ma¯te (“earth mother”), she
ing their crops. After the feast, the participants returned
takes a central place in the religious system of the Baltic peo-
home crowned with garlands made from ears of grain and
ples. Attested by Tacitus, who reports that the ancient Balts
bearing their tools, scythes and rakes, similarly decorated.
venerated a deum matrem, her role is determined by her femi-
The second part of the drama took place at the homestead.
ninity: Like a mother she is connected with the promotion
At the gate, the workers were met by the head of the house-
of fertility. Everything in nature that is born, grows, and dies
hold, who offered them a drink, usually ale, but often vodka
belongs to her. Thus humanity, too, is drawn into this all-
in a later tradition. Afterward, the festivities continued inside
embracing cult, beginning at birth and ending with death.
the house, with more singing and dancing.
Description of Zeme as ma¯te is dependent on which of
This résumé of the fertility cult of the Baltic earth moth-
a variety of mother roles she plays, a variety that can be seen
er shows that it embraced the countryman’s whole life from
particularly clearly in Latvian traditions. Here appear such
the time of his birth, including all aspects of his activities at
descriptions as Lauku ma¯te (“field mother”), Mezˇa ma¯te
work. The practice of customary rites attests to the fact that
(“forest mother”), Kru¯mu ma¯te (“bush mother”), Ogu ma¯te
by following them the individual believed that he secured the
(“berry mother”), and S¯en¸u ma¯te (“mushroom mother”),
patronage of Zeme, the mother goddess. So intensive was
among a number of others. In the main, these are poetic per-
this cult that even until the eighteenth century country peo-
sonifications of aspects of nature without any religious con-
ple first said prayers to the earth and then kissed it both in
notations. The juxtaposition of religious and poetic personi-
the morning, at the beginning of their work, and in the eve-
fications is a well-known occurrence, but this does not deny
ning, when their work was done. In these religious instances,
that in differentiating the variety of functions of Zeme as
the holy earth is the mother of all life. As the extensive collec-
ma¯te, new beings are created. These then become indepen-
tion of nineteenth- and twentieth-century folklore materials
dent and assume the particular specialized function that is
demonstrates, this understanding was never completely lost,
appropriate in a given tradition.
in spite of centuries of Christian missionizing.
The central place of Zeme is revealed especially in cultic
Complementing this positive aspect of the cult of the
practices; together with those of Laima, these are the most
sacred earth, the giving of life, is its negative counterpart, the
fully developed in Baltic religion. There was, for example, a
taking of life, for the rhythm of nature shows that everything
notion that children are created from springs, lakes, trees,
that comes from the earth must at some point return to it.
and hills, all places that are connected with the earth. It is
Zeme, the mother of life, is ruler of everything created on
therefore understandable that at the birth of a child offerings
earth and of everything that takes place there. That is her
were made to Zeme. These offerings were placed either by
positive aspect. Yet experience of life forces the conclusion
trees and stones close to the home or were thrown into the
that the earth is also responsible for the individual’s negative
hearth fire. The offerings were accompanied by prayers: “My
experiences, that is, death and one’s fate thereafter. Thus the
dear earth, my mother, sustain me, feed me.” More wide-
earth goddess adopts simultaneously her other morphologi-
spread still were rituals concerned with encouraging fertility
cal role, that of a chthonic goddess. In this role she rules what
in both crops and animals. Thus, at the commencement of
takes place below the earth, and she is given titles appropriate
work in the fields in spring, the farmer plowed a piece of
to this function. In Latvian she is called Smilˇsu Ma¯te (“sand
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZEN
9943
mother”), a name arising from the custom of burying the
claims nearly fifteen thousand temples, over thirty monaste-
dead in sandy knolls, or she is described directly as Kapu
ries and (six) nunneries, and more than eight million adher-
Ma¯te (“mother of the grave”) or Na¯ves Ma¯te (“death moth-
ents, making it one of the largest of the traditional Japanese
er”). Thus the mother of life, promoter of bounty and fertili-
Buddhist schools. The second largest Zen denomination is
ty, becomes her opposite, the mother of death. Although par-
the Rinzai school, founded by Myo¯an Eisai (1141–1215),
adoxical, this morphological transformation is nonetheless
which is divided into fifteen streams associated with different
understandable, for in the eyes of the Baltic farmer the pro-
head temples and claims about six thousand temples, forty
cesses of birth and death were manifest both in nature and
monasteries and (one) nunnery, and two million adherents.
in his immediate and extended families. The dead were bur-
The largest of the streams is Myo¯shinji temple in Kyoto,
ied in a nearby grave mound, and were thus ever-present as
which claims about half of the total Rinzai temples and
a reminder to the living.
monasteries and over one-third of the adherents. The third
Zen school is the O
¯ baku school, founded by Yinyuan Longqi
In Baltic religion there is no metaphysical ontology con-
(Jpn., Ingen Ryu¯ki, 1592–1673), which has a head temple
trasting the notions of life and death. Instead, these notions
of Manpukuji in the town of Uji outside Kyoto and claims
are simply two aspects of a single goddess. In the sources this
nearly five hundred temples, two monasteries, and under half
is stated metaphorically: Not only may one address petitions
a million adherents. In addition, there are several modern
and give thanks to Zeme as Zemes Ma¯te, but one may have
movements or “brotherhoods” (kyo¯dan) based on Zen medi-
an amicable discussion with her as Na¯ves Ma¯te, offering her
tation or other training techniques that all together claim
substitutes for a dying person—an oak log to decompose or
about one hundred temples and 200,000 adherents.
an ax or a plow to rust away. This final, unique trait of the
Baltic earth goddess is explicable by reference to the farmer’s
The Zen sect was first established in the early medieval
close ties to the land.
period as a controversial form of “New Kamakura Bud-
dhism,” along with the fledgling Pure Land and Nichiren
BIBLIOGRAPHY
cults. Zen was proscribed in the 1190s for a few years, and
Biezais, Haralds. Die Hauptgöttinnen der alten Letten. Uppsala,
for several decades thereafter it was vigorously opposed by
1955. The basic concept of the goddess is discussed on pages
the dominant Tendai sect at Enryakuji temple located on
325–342.
Mount Hiei to the northeast of Kyoto. During the 1240s
Gimbutas, Marija. Die Bestattung in Litauen in der vorgeschichtlic-
and 1250s, major Rinzai and So¯to¯ Zen temples were built
hen Zeit. Tübingen, 1946. The role and functions of the god-
in Kyoto, Kamakura, and Echizen province, and by the be-
dess in Lithuanian burial customs.
ginning of the fourteenth century, Zen had become the lead-
Sˇmits, Pe¯teris. Latvieˇsu tautas tic¯ejumi IV. R¯ıga, 1941. Croyances
ing religious institution in Japan with an ever-expanding net-
populaires Lettonnes IV. Latvian Folk Beliefs.
work of temples and a wide-ranging, nearly all-pervasive
Straubergs, Karlis. Lettisk folktro om de döda. Nordiska Museets
influence on many different levels of society and culture.
Hanlingar, vol. 32. Stockholm, 1949. An extensive compara-
During the late medieval and early modern eras, Zen
tive study, but lacking a critical interpretation of the sources.
underwent various periods of apparent decline and renewal,
New Sources
especially when it stood in competition with diverse forms
Ankrava, Sigma. Vai La¯ˇcpl¯esis bija karalis Artu¯rs? (Was Bearslayer
of Japanese religiosity in other Buddhist, as well as Shinto¯
the King Arthur?: A Study in Comparative Mythology) Riga,
and Confucian, movements during the Tokugawa era
2000. Pp.176–196.
(1600–1868). In the modern period, Zen has spread to be-
Kus¯ıte, Jan¯ına. M¯ıtiskais folklora¯, literatu¯ra¯, ma¯ksla¯. (The Mythi-
come a worldwide phenomenon greatly admired for its
cal in Folklore, Literature, Art) Riga, 1999. Pp. 30–93.
unique features of spiritual practice, including strict monas-
Rudz¯ıte, Anta, ed. Latvieˇsu tautas dz¯ıveszin¸a. Vol. 2. (Latvian
tic discipline and contemplation of pedagogical riddles, or
World Perception. Vol. 2.) Riga, 1990.
ko¯ans, that have a resonance with contemporary spiritual and
intellectual trends in psychotherapy, phenomenology, and
HARALDS BIEZAIS (1987)
environmentalism. At the same time, the Zen sect has re-
Revised Bibliography
ceived criticism both from within and outside of Japan for
contributing to social ills ranging from nationalism and na-
tivism to discrimination against women and outcastes.
ZEN. [This article treats the development of the Zen sect in
FORMATIVE PERIOD (LATE TWELFTH AND THIRTEENTH
Japan. The historical antecedents of this school, the practices and
CENTURIES). The origins of Zen in Japan stem from the
institutions of Chinese Chan Buddhism, are discussed in Chan.]
Nara and early Heian eras, when sitting meditation and some
The Zen Buddhist sect in Japan consists of three main
representative early Chan texts were introduced by monks
schools and several additional smaller movements. The larg-
who had traveled to China, including Saicho¯ (767–822), and
est denomination is the So¯to¯ school, founded by Do¯gen
were practiced or studied for several centuries under the aus-
Kigen (1200–1253), which has two head temples, Eiheiji in
pices of the Tendai sect as one of several styles of training
Fukui prefecture and So¯jiji in Kanagawa prefecture, and
available to novices. Zen began to be established as a sepa-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9944
ZEN
rate, autonomous sect by the end of the twelfth century (cor-
movement, known as the Daruma school. No¯nin was not
responding to the beginning of the Kamakura era) when sev-
considered legitimate because he never traveled to China, but
eral prominent Tendai monks made pilgrimages to the
instead sent two of his disciples to receive transmission from
mainland in search of authentic Buddhism after a hiatus in
Zhuan Deguang (1121–1203) of the Dahui Zonggao lin-
exchange with China that lasted nearly two hundred years.
eage. His movement was prohibited by imperial decree in
These monks, including Eisai and Do¯gen, returned with the
1194, and its temples were destroyed, although some follow-
newly fashioned Song dynasty (960–1279) approach to
ers persisted at Hajakuji, a Tendai temple in remote Echizen
Chan. The style of Song Chan that was brought to Japan in-
province (currently Fukui prefecture) until 1241 when they
cluded an emphasis on monastic institutional structure and
all joined Do¯gen’s upstart So¯to¯ school. No¯nin sought to
rules of conduct, as well as voluminous texts containing biog-
create a pure Zen school free of Tendai esoteric ritualism, but
raphies of eminent monks and records of their sayings and
by abandoning requirements to follow the precepts or prac-
dialogues, in addition to extensive poetic and prose commen-
tice meditation, his approach was accused of antinomian ten-
taries on ko¯an cases.
dencies by both Eisai and Do¯gen, as well as by Tendai
The earliest Zen schools were created either by Japanese
leaders.
monks who went to China and returned to establish impor-
Early Rinzai school. Eisai, who is probably best known
tant temples and lineages or by Chinese monks who came
for introducing tea to Japan, received transmission in the
to Japan and played a crucial role in the rapid development
Huanglong (Jpn., O
¯ ryu¯) lineage of the Linji (Jpn., Rinzai)
of Zen. Monks in the first category, in addition to Eisai and
school of Chan and, like No¯nin, tried to create a pure Zen
Do¯gen, include: Enni Ben’en (1202–1280), who studied at
approach in Japan. However, to distinguish his role from
Mount Jing, the leading temple of the Chinese Chan Five
No¯nin’s and gain acceptance from the mainstream Buddhist
Mountains (Chin., Wushan; Jpn., Gozan) system and be-
institution, in the Ko¯zen gokokuron that was composed in
came abbot of To¯fukuji temple in Kyoto; Shinchi Kakushin
1198 Eisai repudiated the Daruma school’s antinomianism
(1207–1298), who introduced to Japan the most prominent
and argued for the consistency of Zen meditation with estab-
ko¯an collection, the Wumen guan (Jpn., Mumonkan); and
lished Tendai practices. Eisai also emphasized the impor-
Nampo Jo¯min (also known as Daio¯ Kokushi, 1235–1308),
tance of following the Chinese Chan way of administering
who received transmission from the Chinese master Xutang
the mixed precepts (that is, the 250 H¯ınaya¯na and forty-
(1185–1269) and created the lineage that founded Daitokuji
eight Maha¯ya¯na precepts), after several centuries in Japan
temple in Kyoto.
during which only the bodhisattva vows were followed. In
Notable among Chinese monks who came to Japan are:
the two main temples Eisai established with the support of
Lanxi Daolong (Jpn., Rankei Do¯ryu¯, 1213–1278), who was
Ho¯jo¯ Masako (1157–1225)—Kenninji and Jufukuji in Ka-
the founding abbot of Kencho¯ji temple in Kamakura in 1253
makura—there was an eclectic training known as Enmitsu-
with the support of regent Ho¯jo¯ Tokiyori (1226–1263);
zenkai that combined Tendai perfect practice (engyo¯) and es-
Wuan Puning (Jpn., Gottan Run’ei, 1197–1276), who came
otericism (mitsu or mikkyo¯) with Zen-style sitting meditation
at the request of Tokiyori but spent only four years in Japan
(zazen) and disciplinary rules (jukai).
trying to introduce authentic Chinese-style Zen, serving for
a time as abbot of Kenninji temple, which Eisai had founded
The next major development in the spread of Rinzai
in Kyoto in 1202 as the first major Zen monastery in Japan;
Zen involved Enni Ben’en, who like Eisai and Do¯gen started
Daxiu Chengnian (Jpn., Daikyu¯ Sho¯nen, 1214–1289), who
out studying Tendai Buddhism in Japan and traveled to
founded Jo¯chiji temple in Kamakura; and Wuxu Zuyuan
China from 1235 to 1241 to gain transmission from the Five
(Jpn., Mugaku Sogen, 1226–1286), who was the founding
Mountains temple system. On his return, Enni was awarded
abbot of Engakuji temple in Kamakura with the support of
the abbacy of To¯fukuji temple, constructed along the lines
regent Ho¯jo¯ Tokimune (1251–1284).
of a grand Song Chan compound. For the first time in the
three-quarters of a century since Kakua, a major temple was
Even before Eisai spent four years studying Chan during
built exclusively for Zen training with the support of Bud-
his second trip to China, which lasted from 1187 to 1191,
dhist and imperial authorities. However, in the end,
a monk named Kakua (b. 1142) reached the Chinese main-
To¯fukuji also provided facilities for the observance of Shin-
land in 1171 and, on his return, had an audience with Em-
gon and Tendai rituals, in accord with the wishes of its pa-
peror Takakura (1161–1181). In response to a question
tron, Fujiwara Michiie (1192–1252). Since it was located
about the meaning of Zen, Kakua responded by simply play-
near Kenninji, Enni often made daily visits and tried to re-
ing his flute, while the emperor and his retainers looked on
store the authentic Zen practice that had declined somewhat
in puzzlement. This anecdote is contained in the valuable
following the death of Eisai. To¯fukuji was also situated near
historical record of Buddhism in Japan, the Genko¯ shakusho,
Do¯gen’s first temple, Ko¯sho¯ji, in southeast Kyoto. In the fol-
produced by the Zen monk, Kokan Shiren (1278–1345).
lowing years, Shinchi, who traveled to China from 1249 to
Around the time of Kakua’s and Eisai’s travels, an
1254, was frequently summoned to lecture on ko¯ans and re-
anomalous monk not mentioned in Kokan’s record,
lated Zen topics before the imperial court, which further le-
Dainichi No¯nin (d. 1196?), started the first organized Zen
gitimated the Rinzai school.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZEN
9945
Based on the intense interest of Ho¯jo¯ Tokiyori in pro-
quarters. At Eiheiji, Do¯gen turned to another style of litera-
mulgating Zen by building Song-style temples and lending
ture that was included in the Eihei ko¯roku, which consists of
other forms of patronage and support, Zen became firmly
formal sermons delivered in the dharma hall in Sino-
ensconced in Kamakura, which was the temporary capital for
Japanese (kanbun), as prescribed by Chinese Chan monastic
several decades in the thirteenth century. For Tokiyori, Zen
rules texts. During the Echizen/Eiheiji period, Do¯gen
was the ideal ideology for the emerging samurai class because
stressed that enlightenment is available only for male monas-
of its focus on self-control and creative self-expression in a
tics, but he also developed methods for evangelizing and ad-
highly disciplined communal environment. Lanxi and the
ministering precepts to the lay community. According to
other monks who arrived from China tended to emphasize
some reports, Do¯gen visited Ho¯jo¯ Tokiyori in Kamakura for
the importance of monastic discipline governing every aspect
half a year in 1247 to 1248, but he turned down an invita-
of the daily behavior of monks. Because of their Chinese
tion to head a temple there due to misgivings about the mix-
provenance, the Kamakura temples became the most promi-
ing of Zen and the new samurai lifestyle. This would have
nent ones in the Japanese version of the Five Mountains sys-
occurred just a few years before Kencho¯ji was constructed
tem, outranking Kyoto temples, with the exception of
and became a leading Rinzai center under Lanxi.
Nanzenji.
ZEN PRACTICE AND TRAINING. Much of the difference in
Early So¯to¯ school. Whereas numerous prominent Japa-
the styles of theory and practice that has evolved between the
nese and Chinese monks were involved in the establishment
Rinzai and So¯to¯ schools, such as the Rinzai emphasis on ko¯an
of the Rinzai school, the development of the So¯to¯ school was
training and the So¯to¯ emphasis on just-sitting meditation
primarily based on the efforts of Do¯gen, who traveled to
without a focus on ko¯an cases, reflects historical develop-
China from 1223 to 1227 with one of Eisai’s disciples,
ments subsequent to the formative period of Zen in Japan.
Myo¯zen (1184–1225). After an itinerant phase during which
The differences tend to stem especially from the Tokugawa
he traveled around several of the Five Mountains Chan tem-
and early Meiji eras, periods when all forms of Buddhism
ples in search of an authentic teacher, in the summer retreat
had to define themselves in distinctive ways in a competitive
of 1225 Do¯gen gained enlightenment under the tutelage of
religious environment strictly supervised by civil authorities.
Caodong (Jpn., So¯to¯) school master Ju-ching through the ex-
Discrepancies in style should not be imposed retrospectively,
perience of “casting off body-mind” (shinjin datsuraku). On
which might obscure the fact that the two schools are linked
returning to Japan, Do¯gen stayed for a few years at Kenninji
by fundamental similarities in approach.
before opening Ko¯sho¯ji, which was the first Zen temple in
On the level of doctrine, both schools stress the impor-
Japan to have a Chan style monks’ hall for zazen training,
tance of post-enlightenment cultivation, as found in Do¯gen’s
where Do¯gen began delivering sermons and indoctrinating
teaching of shushu¯ itto¯ (oneness of practice and realization)
disciples in Chinese discipline. He preached a message of the
and the doctrine proclaimed by Daito¯ Kokushi (Shu¯ho¯
universality of enlightenment for all those who practice “just
Myo¯cho¯, 1282–1337) of sho¯taicho¯yo¯ (sustained nurturing of
sitting” (shikan taza), including women and laypersons.
the seed of truth). Genuine practice must not end at the time
At the peak of his career in the summer of 1243, Do¯gen
of realization, but should continue after the initial experience
departed from his temple in Kyoto with a small, dedicated
of enlightenment and be integrated with each aspect of daily
band of disciples and moved to Echizen province, where he
life. This practice can take the form of meditation, perform-
established Eiheiji temple. The reasons for the move are ob-
ing daily chores on the monastic compound, collecting alms
scure, but it seems to be connected with several factors that
from the lay community (takuhatsu), participating in the way
occurred in the couple of years previous. These include the
(do¯ or michi) of the arts, communing with nature during a
rapid ascendancy to the To¯fukuji abbacy of Enni after his re-
mountain retreat (yamazato), or residing in a secluded her-
turn from China, which may have intimidated Do¯gen since
mitage on or off the temple grounds.
the massive Rinzai temple dwarfed Ko¯sho¯ji, and the conver-
sion of former Daruma school monks at Hajakuji to Do¯gen’s
Monastic regulations. For both schools, all aspects of
movement, which may have given him an incentive to take
monastery life are governed by the codes of discipline and
up residence in Echizen. Do¯gen’s patron Hatano Yoshishige
ethics, as covered in detail in an extensive body of texts deal-
also owned land in the Echizen region, which was the vicini-
ing with monastic regulations (shingi). These codes were
ty of the sacred mountain Mount Hakusan, long a center of
originally imported from China, most notably the 1103 text,
yamabushi activity affiliated with a branch of the Tendai sect
Chanyuan qinggui (Jpn., Zen’en shingi), which was derivative
centered at Onjo¯ji (also known as Miidera) temple, east of
of early Buddhist Vinaya rules and supposedly based on a
Kyoto and near Lake Biwa.
much shorter source text attributed to the Tang dynasty mas-
ter Baizhang (749–814), known for his injunction, “a day
During a transitional year, until he settled in the sum-
without work is a day without food.” The Chanyuan qinggui
mer of 1244 in his new temple, Do¯gen was extremely cre-
was adapted in Japanese texts and required for all monks by
ative in producing over a third of the fascicles included in
numerous thirteenth-century Rinzai and So¯to¯ leaders, in-
his major text, the Sho¯bo¯genzo¯, which consists of informal
cluding Eisai in 1195, Do¯gen with several texts beginning
sermons delivered in the vernacular (kana) in the abbot’s
in 1237, Lanxi in 1278, and Enni in 1280. The seminal
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9946
ZEN
source of Chan rules was also referenced in shingi texts by
of the Buddha’s enlightenment). During these special occa-
So¯to¯ master Keizan Jo¯kin (1264–1325) in 1325, Rinzai mas-
sions, meditation may be prolonged for up to twenty hours
ter Muso¯ So¯seki (1275–1351) in 1339, and the O
¯ baku shingi
a day, leaving time only for minimal sleeping and eating. In
in 1672.
addition to the traditional seated posture, there is a form of
meditation known as kinhin, which is a walking exercise de-
Whether or not it was literally followed, the spirit of “no
veloped in Japanese Zen.
work, no food” pervades the shingi collections, which include
rules on the observance of precepts and ethical conduct, as
Another main ingredient of Zen practice is the use of
well as on daily activities and annual ceremonies. These
ko¯ans as both a literary device and a tool for contemplative
works depict a communal life of meditation, frugality, man-
training. Diverse styles of commentary were developed dur-
ual labor, and active debate between master and disciple,
ing the medieval period (discussed below), involving the use
with regularly scheduled public assemblies and impromptu
of prose, poetic, and sometimes diagrammatic remarks on
lectures and instruction. They also describe the functions of
the inner meaning of case narratives found in a handful of
abbot, officers, stewards, rank-and-file monks, and novices,
collections preserved from China, such as the Wumen guan,
in addition to the management of kitchens, the dharma hall,
Biyan lu (Jpn., Hekiganroku), and Zongrong lu (Jpn.,
and the larger monastery estate. The shingi rules provide re-
Sho¯yo¯roku). A new ko¯an exercise developed in Japan is the
quirements for the dharma transmission and awarding of
brief face-to-face interview of the disciple by the master. This
seals (inka), as well as commissioning portraits of masters
is known in the Rinzai school as dokusan (literally “individual
(chinso¯) and selecting successors to the abbot. Topics such
study”), which is similar to the So¯to¯ school practice of
as quarreling and discipline, wandering, and the role of
nyu¯shitsu (literally “entering the room [of the abbot]”). Both
women are given careful consideration. Furthermore, the re-
terms refer to private instruction in which the teacher evalu-
lation between a school’s head temple (honji) and branch
ates and motivates the aspiring student to attain a higher
temples (matsuji) is delineated in both the shingi records and
level of understanding.
the laws of the civil society.
Furthermore, nearly all Japanese Zen monasteries and
Zen monasteries in Japan follow the style of the “seven-
temples have performed a myriad of functions related to the
hall compound” (shichi-do¯ garan) originally developed in
spirits of the dead, including funerary rites that bestow a
China. The schema below bears anthropomorphic symbol-
posthumous ordination name (kaimyo¯) to ensure that the de-
ism in that each of the seven buildings is associated with a
ceased attains nirva¯n:a (nehan) in the afterlife. Zen temples
part of the Buddha’s body, so that entering the temple
are also involved in memorial services, as well as the annual
grounds is considered the equivalent of communing directly
Obon or Ghost Festival, held either on July 15 or August
with the Buddha. The halls include on the main axis: the
15 (the ceremony was originally held at the time of the full
mountain gate or entrance associated with the groin, the
moon of the seventh month of the Chinese calendar). It is
Buddha hall for displaying icons and hosting banquets asso-
believed that during this period the spirits of deceased ances-
ciated with the heart, and the dharma hall for sermons before
tors visit the living, and Buddhist rituals play an important
the assembly associated with the head. The right leg is associ-
purification function. Despite an apparent emphasis on uni-
ated with the bathhouse and the right arm with the kitchen,
formity and ritualism, several of the most prominent masters
whereas the left leg is associated with the latrine and the left
of the medieval period were known for a rugged individuality
arm with the monks’ hall.
and eccentricity in their commitment to a life of poverty and
Four additional mainstays of the structure of Zen tem-
reclusion, as well as the creative expression of self-awareness.
ples are: the abbot’s quarters, known as the “ten-foot square
MEDIEVAL PERIOD (TO 1600). Beginning with the rise of
hut” (ho¯jo¯), following a passage in the Vimalak¯ırti Su¯tra in
the new political leadership of the Ashikaga government in
which an informed layman holds forth in a humble abode
1338, which consolidated its power through alliances with
with the ability to outsmart bodhisattvas; the hall to com-
Zen clergy and consciously emulated the Song way of propa-
memorate the local earth deity (do¯jishin) associated with pro-
gating the religion, Zen became a dominant force affecting
tection of the temple grounds; a bell tower that houses a large
both the aristocratic elite in the urban centers and the rural
Buddhist bronze bell rung at the New Year and other festi-
population. Zen contributed to the fine, literary, applied,
vals, as well as purification ceremonies; and a reading room
performing, and martial arts, ranging from calligraphy, poet-
for the study of su¯tras and related Buddhist and literary
ry, gardening, tea ceremony, theater, and sword fighting,
works. The abbot’s quarters is usually located above the
among numerous other forms, and also assimilated and do-
dharma hall, with the earth deity hall and bell tower to the
mesticated many aspects of popular religion and folklore, in-
right, and reading room to the left.
cluding autochthonic gods, demons, and exorcistic rites.
Zazen and ko¯an practice. Life in Zen monasteries is
Furthermore, Zen began its involvement in constructing the
centered on zazen meditation, which is conducted at least
bushido¯ code of honor and loyalty to the warlord by integrat-
four times daily, as well as for longer, more intensive week-
ing and adapting traditional art of war strategies to monastic
long sessions known as sesshin, especially on special occasions
training. No¯ theater, which is often based on plays dealing
such as Rohatsu (December 8 celebration of the anniversary
with ghosts of defeated samurai wrestling with demons in the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZEN
9947
afterlife, and which is written and performed with an uncan-
not rising above a doctrinal understanding of Zen—that is,
nily studied contemplative simplicity, represents a realm of
for failing to embody a genuinely creative Zen approach that
the arts where many of these cultural elements have con-
was evident in some of the leading Rinka temple masters.
verged.
Rinka monasteries. In addition to the Five Mountains
The developments that took place in establishing Zen
temples of the Rinzai school, which were considered the
in the thirteenth century ensured that the Rinzai school
leading rank in the Zen network, another series of temples
would grow mainly in the Kyoto and Kamakura areas with
that included representatives from both the Rinzai and So¯to¯
the support of the shogunate, whereas the So¯to¯ school would
schools was known as Rinka or Sanrin temples; both designa-
spread in the northwestern region, as well as other outlying
tions refer to “forests” (rin) of Zen monks. The term, which
territories, based on proselytizing to an agrarian population.
implies the legions of monasteries in the countryside or hin-
The two schools were separated by other factors in addition
terlands that were outside, and probably resentful of, the do-
to geography and patterns of patronage and participation, yet
main of the shogun, is perhaps applied most accurately to
there were underlying points of connection both institution-
Eiheiji and other So¯to¯ temples. But the term is at least in part
ally and in terms of styles of religious practice disseminated
a misnomer because this group also included prominent Rin-
through a network of temples known as the Rinka mon-
zai temples in Kyoto that enjoyed imperial patronage, espe-
asteries.
cially Daitokuji of the Daio¯-Daito¯ line and Myo¯shinji tem-
ple. Myo¯shinji was impressively developed by Daito¯’s
Five Mountains system. The Rinzai school formed the
disciple, Kanzan Egen (1277–1360), and eventually it broke
main hierarchical institutional structure known as the Five
off to become an independent head temple that surpassed
Mountains system, which was patterned after the Chinese
Daitokuji in the size and scope of its network.
Chan monastery system At its peak it claimed a network of
over three hundred temples centered at Nanzenji in Kyoto
Whereas the Five Mountains temples were known for
under the protection of the military regime (bakufu). The
their poetry, one of the main features of the Rinka temples
third Ashikaga shogun, Yoshimitsu (1358–1408), estab-
was the formation of a curriculum of ko¯an studies that took
lished in 1386 a definitive ranking of five temples each in
on many different dimensions. Daito¯ is particularly notable
Kyoto (Tenryu¯ji, Sho¯kokuji, Kenninji, To¯fukuji, Majuji)
for writing two commentaries on the Biyan lu collection of
and Kamakura (Kencho¯ji, Engakuji, Jufukuji, Jo¯chiji,
100 ko¯an cases by using the style of capping phrases (jakugo),
Jo¯myo¯ji). A head administrative monk (so¯roku) was appoint-
originally developed by Chinese Chan commentators as
ed superintendent or the supreme official ruling over the
ironic remarks that illuminate each line of the case narrative.
system.
In So¯to¯ Zen, there were various styles of commentary known
as sho¯mono, which included formal/public and informal/
The hallmark of the Five Mountains system was the cre-
private styles. One of the main examples of sho¯mono litera-
ation of multiple artistic forms referred to collectively as
ture was the subgenre of kirigami (literally “strips of paper”)
Gozan bunka, with special emphasis on literature, especially
commentaries, in which a master would write down quickly
kanbun poetry, known as the tradition of Gozan bungaku.
an esoteric comment, usually accompanied by a drawing or
Gozan poetry, which usually consists of four-line verses con-
illustration, that was handed to a disciple as a training tool
taining seven characters (kanji) in each line, deals with Bud-
or an emblem of attaining transmission. Given the transitory
dhist doctrines and practice, as well as themes that are more
quality and secretive nature of this style, the kirigami were
general and are used to articulate indirectly an understanding
left uncollected and were lost until recent scholarship redis-
of Zen awareness. One of the main topoi is the contempla-
covered and interpreted numerous examples.
tion of nature as perceived in secluded landscapes or moun-
A prominent example of medieval Zen art is the famed
tain retreats, as in the following verse by one of the lumina-
rock garden at Ryo¯anji temple in Kyoto, which was perhaps
ries of the movement, Muso¯ So¯seki (1275–1351):
designed by the painter So¯ami (1472–1525). A classic of the
Autumn’s colors dropping from branches in masses of
kare-sansui (dry mountains-rivers) style that contains only
falling leaves, Cold clouds bringing rain into the cran-
rocks and sand constructed in patterns but no living form
nies of the mountains: Everyone was born with the
except moss, the Ryo¯anji garden is surrounded by earthen
same sort of eyes—Why do mine keep seeing things as
walls in three directions and faced with the corridor of the
Zen ko¯ans? (Pollack, 1985, p. 37).
ho¯jo¯ (abbot’s quarters) building. In the rectangular space
Muso¯, founder of Tenryu¯ji temple in Kyoto, was immensely
measuring thirty meters from east to west and ten meters
successful and popular with all factions as an abbot who
from north to south, fifteen rocks of various sizes are ar-
gained the attention of Emperor Hanazono and political
ranged on white sand in five groups, each comprising five,
leaders, monks in training, and the general populace. His
two, three, two, and three rocks. The most popular explana-
book Muchu¯ mondo¯ (Dialogues in a dream) explains Zen in
tion of this garden is that the rocks represent a mother tiger
everyday language in response to questions raised by the war-
and her cubs, swimming in the river of the white sand toward
rior Ashikaga Tadayoshi. He was said to have left ten thou-
a fearful dragon. The asymmetric composition achieves a cer-
sand followers at the time of his death. However, Muso¯ was
tain balance and harmony that creates energy and rhythm in
also criticized by rivals such as Daitokuji master Daito¯ for
the midst of subtlety and simplicity.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9948
ZEN
Another important development of the Rinka period
struction projects for bridges, dams, and irrigation canals to
was the way creative Rinzai masters sought to recapture the
help win popular support, Gasan was also a scholastic monk
iconoclasm and eccentricity of early Chinese Chan figures,
who promulgated the dialectical doctrine of the “five ranks”
as epitomized by Ikkyu¯ (1394–1481), who was said to have
(go-i) rooted in Chinese texts.
destroyed his transmission seal for being an empty symbol
One of the legacies of the popularization campaign is
devoid of significance and to have refused to award such a
that some of the most prominent So¯to¯ temples are associated
symbol to any of his disciples. Ikkyu¯ became an acolyte at
with shamanistic and esoteric practices. They are best known
the age of five and excelled at Chinese poetry and calligraphy
to their congregations of lay followers for espousing a syn-
as well as painting. Throughout his life he railed against the
cretic approach to attaining worldly benefits (genze riyaku),
corruption of priests and the meaningless formalities of Zen
such as prosperity, fertility, or safety during travels, rather
monastic life, yet he succeeded to the abbacy of Daitokuji
than for traditional Zen practices of meditation and monas-
and also won widespread acceptance by the common folk for
tic discipline. A prime example is Saijo¯ji temple near the
his inventiveness and independence.
town of Odawara, which was founded by Ryo¯an Emyo¯
One of Ikkyu¯’s noted calligraphies contains the saying,
(1337–1411), who was said to have transformed into a
“Entering the realm of Buddha is easy, entering the realm
winged tengu (the mountain goblin of Japanese lore) to en-
of the demon [ma] is difficult.” On one level, this expression,
hance his powers for protection of the temple grounds.
along with Ikkyu¯’s lifestyle, which included the celebration
Another such example is Myo¯gonji temple in the town
of visits to brothels and the “red thread” of passion, could
of Toyokawa in Aichi prefecture, anomalously affiliated with
be interpreted as endorsing the kind of antinomianism that
Eiheiji rather than So¯jiji, which is also called Toyakawa Inari
was consistently rejected by Zen monastic leaders. However,
because the main icons on the compound are not images of
another implication of the saying is that, for Ikkyu¯, asserting
Buddha but rather the fox deity (Inari), originally a Shinto¯
the priority of purity while occupying a state of transcen-
fertility symbol that became a force spiritually protecting the
dence is a relatively simple task that is not necessarily as de-
Buddhist teachings. Followers who flood these prayer tem-
manding as maintaining a genuinely authentic state of mind
ples (kito¯ jiin) for New Year’s Day or other annual festivals
while being tempted and tested in the midst of impurity. An
may not even be aware that rituals and chants are being per-
underlying theme is that Buddha and demon are not dis-
formed by monks trained at head temples or monasteries,
tinct, but symbolize interior forces of wisdom and delusion
where the primary training is in meditation with the aim of
that are inextricably and dialectically linked as complementa-
overcoming worldly attachments.
ry opposites embraced by a deeper level of nondual aware-
ness.
One of the features of medieval So¯to¯ Zen was the role
played by female monastics at several nunneries who sought
So¯to¯ school assimilationism. Within the So¯to¯ school,
to keep alive the integrity of the tradition of clerical disci-
the fourth generation patriarch Keizan maintained Do¯gen’s
pline espoused by Do¯gen, and who also developed unique
twin emphasis on continuing a commitment to rigorous
rituals for healing and purification. It is unclear, however,
meditation and adhering to monastic regulations, but he also
whether and to what extent Do¯gen himself endorsed the
assimilated many elements of Tendai esotericism, as well as
equality of women, as there are several seemingly contradic-
folklore religiosity in his approach to Zen. Before joining
tory passages in his writings on this topic.
So¯to¯, Keizan had been a follower of the remnants of the
Daruma school. Through Keizan’s efforts, So¯to¯ Zen spread
EARLY MODERN PERIOD (1600–1868). Zen Buddhism
primarily northward from Echizen to the Noto peninsula,
during the Tokugawa era was affected by several trends that
where So¯jiji temple was established. Long a rival with Eiheiji
influenced all Buddhist schools, including the rise of Confu-
for the designation of the school’s head temple—Eiheiji en-
cianism and the return to prominence of Shinto¯ under the
joyed the prestige of the founder’s legacy, but Keizan’s tem-
banner of National Learning (kokugaku) thought. Both ide-
ple could claim more than nine times as many branch
ologies were taught at academies that helped support the rule
sites—So¯jiji was moved at the end of the nineteenth century.
of the shogunate. The danka (loosely “parish”) system in
It was relocated in a neighborhood outside Yokohama in the
which all families were assigned to a Buddhist temple
Kanto region, which had become over the centuries a major
strengthened the numbers of Buddhist affiliates but tended
center of So¯to¯ school activity.
to weaken the spirituality and integrity of Zen monastic life.
It has long been said that Zen apparently entered a prolonged
A key to the success of this lineage was Keizan’s evangel-
period of decline (daraku), but the early modern period was
ical disciple Gasan Jo¯seki (1275–1365), who was abbot of
actually characterized by many important luminary figures
So¯jiji for forty years. Along with his followers, such as
and elements of revitalization.
Tsu¯gen Jakurei (1322–1391), Gasan helped the rapid spread
of So¯to¯ Zen in the countryside areas by taking over many
O
¯ baku school. One of the new developments was the
abandoned Tendai and Shingon temples and assimilating
formation of a third movement, the O
¯ baku school, which
folklore divinities, which were called upon to protect the wel-
was based on the teachings of Chan masters of the Ming
fare of the sacred sites. While greatly concerned with con-
dynasty (1368–1644). The reintroduction of Chinese reli-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZEN
9949
gion and culture was an anomalous event, since the Toku-
Suddenly, he heard the bell from a far off temple. As soon
gawa regime restricted all foreign travel, but Yinyuan and his
as this distant sound entered his ears, it penetrated to the core
followers were able to enter Japan after receiving an invita-
and made all perceptions of the external world fall away. It
tion from So¯fukuji in Kyushu and exert great influence. This
was like the ringing of a magnificent bell resounding in his
school emphasizes the preservation of the su¯tras, as well as
ears.”
the combination of zazen meditation with Pure Land, other-
So¯to¯ scholasticism. The So¯to¯ school underwent a sig-
power (tariki) practices for the veneration of Amida (Skt.,
nificant revival of scholastic studies, producing many new
Amita¯bha) Buddha, and the recitation of the nembutsu
editions and interpretations of the seminal works by and
chant, which is generally thought to stand in contrast with
about Do¯gen’s life and thought. Manzan Do¯haku (1636–
the Zen self-power (jiriki) approach.
1714) was the originator of this movement and was responsi-
Rinzai monks. The Rinzai school of this period fea-
ble for acquiring a new rule of transmission and succession
tured several prominent monks, including Takuan So¯ho¯
for the post of temple superior from the shogun government.
(1573–1645), whose writings synthesize Zen principles of
Tenkei Denson (1648–1735) developed a novel, if idiosyn-
mental cultivation and swordsmanship. This is a form of
cratic, view of Do¯gen’s Sho¯bo¯genzo¯ by favoring the contro-
training in which a warrior must be able to respond to a rival
versial 60-fascicle edition, and Menzan Zuiho¯ (1683–1769)
or threat spontaneously and with an unclouded and imper-
was the premier cataloger and revisionist of the writings and
turbable mind that can be attained through meditation. Ac-
biographies of Do¯gen. The So¯to¯ school also published a
cording to Takuan, controlling the battleground and the
comprehensive 95-fascicle edition of the Sho¯bo¯genzo¯ in 1690,
sense of winning and losing is a matter of mastering the im-
which was reissued in the early nineteenth century, although
pulses of the mind and casting off fetters and delusions.
the authenticity of this version has been questioned by mod-
While Takuan found the Zen mind in the highly specialized
ern scholars.
world of the warrior, another key monk of the day, Bankei
The Tokugawa era also saw several highly creative Zen
Yo¯taku (1622–1693), stressed the role of the mind mani-
spirits, including the lay practitioner and humanist thinker
fested in ordinary activity, such as walking, standing, sitting,
Suzuki Sho¯san (1579–1655), who practiced an unorthodox
and lying down, which are all exemplary of the imperishable
style of meditation that owed to both samurai culture and
“unborn” Zen state of awareness.
Buddhist chanting rituals; the great haiku poet Basho¯ (1644–
The most important monk of the Tokugawa era was
1694), who followed a Zen lifestyle as a lay disciple that in-
Hakuin Ekaku (1686–1768), who single-handedly reformed
fluenced the inspiration and manner of his verse; and
Rinzai school practice in a way that has persisted for over
Ryo¯kan (1758–1831), a So¯to¯ monk affectionately called the
three centuries. Hakuin was known for both his appropria-
Great Fool (Daigu) for the childlike innocence expressed in
tion of the strict training style of the Chinese masters of the
deceptively simple poems that celebrated the Zen values of
Tang and Song periods and his appeal to the common folk,
poverty and nonattachment. Like other early modern Zen
who found him a charismatic spiritual leader. Hakuin per-
leaders who paid obeisance to Chan and early medieval Zen
fected a new system of ko¯an study by cataloging and rating
heroes and icons, Ryo¯kan expressed his gratitude for Do¯gen
the challenging quality of several hundred cases available in
in some of his poetry.
the primary collections, as well as creating one of the most
MODERN PERIOD (1868–PRESENT). Zen Buddhism in the
famous riddles, “We know the sound of two hands clapping,
Meiji era (1868–1912) was greatly affected by the response
what is the sound of one hand?” Hakuin gave form to a train-
of Japanese society to modernization and westernization that
ing method that integrates the techniques of practice sessions
resulted in the emerging of a nationalistic, pro-Shinto¯ stance
(sesshin) and master-disciple pedagogy (dokusan), along with
and the suppression or modification of traditional Buddhist
public sermons (teisho¯) and capping phrase (jakugo) com-
institutions in several campaigns. These included the perse-
mentary provided by the master.
cution of haibustu kishaku, which led to the destruction of
Buddhist iconography, the new regulations of shinbutsu
Hakuin also emphasized the role of intense mystical ex-
bunri, or the separation of Buddhist temples from Shinto¯
perience in developing Zen awareness. The experience begins
shrines that had long been amalgamated; and the legislation
with the Great Doubt, in which all perceptions are called
of nikujiki saitai, forcing marriages and meat-eating upon
into question and stripped away of conventional attitudes.
Buddhist clergy and nearly ending centuries of celibacy and
The Great Doubt may seem to lead to a nihilistic state of per-
pacifism.
petual anxiety, and this condition is identified by Hakuin as
the Zen Sickness, which can affect enlightened and unen-
Reactions to modernity. One reaction to the disturb-
lightened alike. However, the goal of the spiritual path is to
ing trends was embodied by O
¯ tori Sesso¯ (1814–1904), a
move beyond debilitating anxiety and attain a more ad-
So¯to¯ monk who worked for the Ministry of Doctrine to
vanced level of insight through experiences that are sudden
modernize Buddhism and eliminate the dissonance between
and dramatic. Hakuin had several instances of subitaneous
traditional monasticism and secularized, industrialized soci-
awakening; for example, it is recorded in his biography,
ety. O
¯ tori was also active in creating linkages between monks
“One night, he sat up in complete absorption until dawn.
and laypersons, and in 1891, the So¯to¯ sect produced an ab-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9950
ZEN
breviated version of Do¯gen’s Sho¯bo¯genzo¯ as a source of guid-
SOCIAL CRITICISMS OF ZEN. At the same time, since the
ance for lay practitioners. This very short text, the Shusho¯gi,
1970s a social criticism of Zen’s role in relation to political
does not even mention the need for zazen but instead em-
and cultural affairs has been taken up by commentators in
phasizes a life of gratitude and penitence. Several lay or
Japan and the West. Ichikawa Hakugen (1902–1986) was
kyo¯dan organizations became established as autonomous
a Rinzai monk writing during the Vietnam War era.
movements.
Ichikawa reflected on the role of Japan as an aggressor against
China in World War II and argued that leaders of Zen, in-
By the end of the nineteenth century, Zen had begun
cluding Kyoto school thinkers who treated the theme of na-
to emerge out of the cocoon of the Asia/Pacific cultural con-
tional polity in their works during the 1930s, when they were
text to become a religious phenomenon that was spreading
under considerable political pressure, needed to accept re-
worldwide. Several factors influenced this development. One
sponsibility for contributing to prewar nationalism and im-
factor was that immigrant communities in Hawai‘i, the
perialism. A movement that began within the So¯to¯ school in
American West Coast, and Brazil were serviced by missiona-
1985 known as Critical Buddhism (Hihan Bukkyo¯) has de-
ries and international outreach components of Zen temple
manded that Zen temples reform the practice of distributing
institutions, especially for funerals and memorials.
posthumous ordination names because it discriminates
Another factor was that non-Japanese were introduced
against the outcaste (burakumin) community. In a related
to and became fascinated with the philosophy and practice
development, So¯to¯ nuns have criticized the misogynist aspect
of Zen. A key turning point was the 1893 World Parliament
of Zen rules and customs as part of a broader gender criticism
of Religions in Chicago, an interreligious congress that was
of Japanese Buddhism.
attended by the widely traveled Shaku So¯en (1859–1919),
A wave of books published in the West beginning in the
a disciple of the eminent Rinzai monk, Imakita Ko¯sen
1990s, including Brian Victoria’s Zen at War (1997), James
(1816–1892), who was abbot of Engakuji temple in Kama-
W. Heisig and John C. Maraldo’s Rude Awakenings (1995),
kura. The parliament was also attended by the young D. T.
Jamie Hubbard and Paul L. Swanson’s Pruning the Bodhi
Suzuki (1870–1966), who served as So¯en’s interpreter.
Tree (1997), Christopher Ives’s Zen Awakening and Society
Suzuki went on to stay for long periods in the United States
(1992), and Bernard Faure’s Chan Insights and Oversights
and have a lengthy career as the main exponent of Zen Bud-
(1993), has called attention to apparent limitations in the
dhism in the West. He published dozens of books in English
Zen view of transcendence. In striving to rise above the petti-
on various dimensions of Zen in relation to Japanese culture
ness of worldly strife and conflict, Zen may overlook—and
as seen from comparative theoretical perspectives. He also
therefore implicitly sanction—problematic issues in everyday
greatly influenced the famous 1956 essay by Alan Watts
society. Some elements of this critique were anticipated in
(1915–1973) on different styles of the appropriation of Zen
the famous novel Temple of the Golden Pavilion (Kinkakuji,
practice in the West, “Beat Zen, Square Zen, and Zen.” Fa-
1956) by Yukio Mishima (1925–1970), which is based on
mous American Beat poets were indebted to Suzuki, whose
the true story of an acolyte who burned down the most ele-
role was inherited by Masao Abe (b. 1915), who specialized
gant temple in Kyoto. In that sense, the charge of antinomi-
in interfaith dialogue involving various Western religious tra-
anism leveled at the fledgling Zen movements at the end of
ditions.
the twelfth century has resurfaced in a contemporary
context.
In the post–World War II period, historical accounts of
Chan and Zen were significantly improved through the
SEE ALSO Buddhism, articles on Buddhism in Japan, Bud-
scholarship of Yanagida Seizan (b. 1922), a professor of
dhism in the West; Bushido¯; Do¯gen; Eisai; Gozan Zen;
Kyoto University, who was associated with scholars at Ko-
Ikkyu¯ So¯jun; Muso¯ So¯seki; Suzuki, D. T.
mazawa University in Tokyo, which specialized in So¯to¯
studies. Yanagida established an institute for international
studies of Zen, as well as mentoring a number of influential
BIBLIOGRAPHY
Western scholars.
To cite some representative examples of the voluminous literature
on Zen in Japanese, important reference works include Zen-
In addition to the efforts of Suzuki, Yanagida, and Abe,
gaku daijiten (Tokyo, 1978); O
¯ baku bunka jinmei jiten, ed-
among others the spread of international interest in Zen was
ited by O
¯ tsuki Mikio, Kato¯ Sho¯shun, and Hayashi Yukimit-
enhanced by the comparative philosophy of the Kyoto school
su (Kyoto, 1988); and Zengo jiten, compiled by Koga
led by Nishida Kitaro¯ (1870–1945) and his main follower,
Hidehiko (Kyoto, 1991). Also, Ko¯za Zen, edited by Nishi-
Nishitani Keiji (1900–1990). Their works explicating the
tani Keiji (Tokyo, 1974) is an important collection of essays,
and two historical studies by Tekenuki Gensho¯ are Nihon
notion of “absolute nothingness” (zettai mu) as the key to
shushu¯shi (Tokyo, 1989) and Nihon Zenshu¯shi no kenkyu¯
understanding the Zen experience of enlightenment have
(Tokyo, 1993). Collections of original sources include Nihon
been analyzed in relation to leading Western philosophers
no Zen goroku, 20 vols. (Tokyo, 1977), and two collections
from ancient to modern times. The significance of Zen
edited by Yanagida Seizan, Zengaku so¯sho, 13 vols. (Kyoto,
thought is now frequently examined in conjunction with the
1973–1980), and Zen no goroku, 17 vols. (Tokyo, 1969–
main trends of Western thought.
1981).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZEUS
9951
Information on Zen demographics is included in T. Griffith
urai culture is discussed in Takuan So¯ho¯, The Unfettered
Foulk, “The Zen Institution in Modern Japan,” and in Ken-
Mind: Writings of the Zen Master to the Sword Master, trans-
neth Kraft, ed., Zen Tradition and Transition: A Sourcebook
lated by William Scott Wilson (New York, 1988), and Wins-
by Contemporary Zen Masters and Scholars (New York, 1988),
ton L. King, Zen and The Way of the Sword: Arming the Sam-
pp. 157–177. Standard historical studies in English include
urai Psyche (New York, 1993). Translations of Hakuin’s
Heinrich Dumoulin, Zen Buddhism: A History, Vol. 2:
writings are contained in Philip B. Yampolsky, Zen Master
Japan, translated by James W. Heisig and Paul Knitter (New
Hakuin: Selected Writings (New York, 1971), and Norman
York, 1989), and Daigan Matsunaga and Alicia Matsunaga,
Waddell, Essential Teachings of Zen Master Hakuin (New
Foundation of Japanese Buddhism, Vol. 2: The Mass Move-
York, 1994). William M. Bodiford’s article treats changes in
ment (Los Angeles, 1978). Cultural criticism of Zen is ex-
the transmission process in the So¯to¯ school, “Dharma Trans-
plored in Bernard Faure, The Rhetoric of Immediacy: A Cul-
mission in So¯to¯ Zen: Manzan Do¯haku’s Reform Move-
tural Critique of Chan/Zen Buddhism (Princeton, 1991).
ment,” Monumenta Nipponica 46, no. 4 (1991): 423–451.
A translation of Ryo¯kan is found in Great Fool: Zen Master
Illustrated materials on the early history of the Rinzai school are
Ryo¯kan: Poems, Letters, and Other Writings, translated by
contained in a partially bilingual catalogue prepared for an
Ryu¯ichi Abe and Peter Haskel (Honolulu, 1999).
exhibit at the Tokyo National Museum of Art on Kamakura
Zen no genryu¯ (The Art of Zen Buddhism; Tokyo, 2003). An
On changes in Meiji era Zen, see Richard Jaffe, Neither Monk Nor
analysis of the interactions among early Zen movements is
Layman: Clerical Marriage in Modern Japanese Buddhism
discussed in Bernard Faure, “The Daruma-shu¯, Do¯gen, and
(Princeton, 2001), and Steven Heine, “Abbreviation or Ab-
So¯to¯ Zen,” Monumenta Nipponica 42, no. 1 (1987): 25–55.
erration? The Role of the Shusho¯gi in Modern So¯to¯ Zen Bud-
Works on Do¯gen include Hee-Jin Kim, Do¯gen Kigen—
dhism,” in Buddhism and the Modern World: Adaptations of
Mystical Realist (Tucson, Ariz., 1975); Carl Bielefeldt,
an Ancient Tradition (New York, 2003). The advent of Zen
Do¯gen’s Manuals of Zen Meditation (Berkeley, 1988); and
in the West is discussed in Rick Fields, How the Swans Came
Steven Heine, Do¯gen and the Ko¯an Tradition: A Tale of Two
to the Lake: A Narrative History of Buddhism in America, rev.
Sho¯bo¯genzo¯ Texts (Albany, N.Y., 1994). A selection of
ed. (New York, 1986). The outlook of modern Zen in a
Do¯gen’s writings in translation is found in Kazuaki
comparative religious context is expressed in Masao Abe,
Tanahashi, ed., Moon in a Dewdrop: Writings of Zen Master
Buddhism and Interfaith Dialogue: Part One of a Two-Volume
Do¯gen, translated by Robert Aitken et al. (San Francisco,
Sequel to Zen and Western Thought (Honolulu, 1995). For
1985).
Kyoto school philosophy, see James W. Heisig, Philosophers
of Nothingness: An Essay on the Kyoto School (Honolulu,
Institutional practices are discussed in Martin Collcutt, Five
2002), and Michiko Yusa, Zen and Philosophy: An Intellectual
Mountains: The Rinzai Zen Monastic Institution in Medieval
Biography of Nishida Kitaro¯ (Honolulu, 2002).
Japan (Cambridge, Mass., 1981). Intellectual practices of
Zen are discussed in T. P. Kasulis, Zen Action/Zen Person
On social criticism, see Ichikawa Hakugen, Bukkyo¯sha no
(Honolulu, 1980); Miura Isshu¯ and Ruth Fuller Sasaki, Zen
senso¯-sekinin (Tokyo, 1970), and a special (tokusho¯) issue of
Dust: The History of Ko¯an Study in Rinzai (Lin-chi) Zen (New
the journal Bukkyo¯ 14, no. 5 (1994). Some of the recent
York, 1966); Robert Aitken, trans. and ed., The Gateless Bar-
works on a social criticism of Zen in English include Brian
rier: The Wu-men kuan (Mumonkan) (New York, 1991); and
A. Victoria, Zen at War (New York, 1997); James W. Heisig
Ishikawa Rikizan, “Transmission of Kirigami (Secret Initia-
and John C. Maraldo, eds., Rude Awakenings: Zen, the Kyoto
tion Documents): A So¯to¯ Practice in Medieval Japan,” in
School, and the Question of Nationalism (Honolulu, 1995);
The Ko¯an: Texts and Contexts in Zen Buddhism, edited by Ste-
Jamie Hubbard and Paul L. Swanson, eds., Pruning the Bodhi
ven Heine and Dale S. Wright (New York, 2000),
Tree: The Storm over Critical Buddhism (Honolulu, 1997);
pp. 233–243. Syncretic practices are discussed in a book ded-
Christopher Ives, Zen Awakening and Society (Honolulu,
icated to the 500th anniversary of Saijo¯ji, a So¯to¯ temple,
1992); and Bernard Faure, Chan Insights and Oversights: An
Daiyu¯zan: Saijo¯ji kaiso¯ roppyakunen ho¯zan (Kanagawa-ken,
Epistemological Critique of the Chan Tradition (Princeton,
Japan, 1994), and Karen Smyers, The Fox and the Jewel:
1993). Also, a translation of Mishima’s novel Kinkakuji
Shared and Private Meanings in Contemporary Japanese Inari
(Tokyo, 1956) is by Ivan Morris, The Temple of the Golden
Worship (Honolulu, 1998).
Pavilion (New York, 1959; reprint, 1994).
The poem by Muso¯ is cited from David Pollack, Zen Poems of the
STEVEN HEINE (2005)
Five Mountains (New York, 1985). Muchu¯ mondo¯ is translat-
ed by Thomas Cleary in Dream Conversations (New York,
1994). Other works on this period of Rinzai Zen include Jo-
seph Parker, Zen Buddhist Landscape Arts of Early Muromachi
ZEUS, the son of Kronos and Rhea, is the main divinity
Japan (1336–1573) (Albany, N.Y., 1999); Kenneth Kraft,
of the Greek pantheon. Besides Hestia, he is the only god
Eloquent Zen: Daito¯ and Early Japanese Zen (Honolulu,
in the Greek pantheon with an undisputed Indo-European
1993); and Sonja Arntzen, Ikkyu¯ and the Crazy Cloud Anthol-
provenance, to judge from his name: it derives from the root
ogy: A Zen Poet of Medieval Japan (Tokyo, 1987). For an ex-
*diéu- (day; Latin dies, meaning “[clear] sky”) and has close
amination of the So¯to¯ school, see William M. Bodiford, So¯to¯
parallels in the Latin Iu-piter or the Ancient Indian (R:gveda)
Zen in Medieval Japan (Honolulu, 1993).
Dyaus (pitar). The Homeric and later epithet pater (father)
An analysis of the development of the O
¯ baku school is in Helen
closely corresponds to the Latin or early Indian way his name
Baroni, O
¯ baku Zen: The Emergence of the Third Sect of Zen
is expanded: his mythical and religious role as father must
in Tokugawa Japan (Honolulu, 1998). Zen’s relation to sam-
be already Indo-European. Despite the frequent Homeric
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9952
ZEUS
formula “Zeus, father of men and gods,” however, Zeus is
According to the succession myth in the Hesiodeic Theogony,
father not in a theogonical sense, but, as the Homeric variant
Zeus deposed his father Kronos—who in turn had deposed
Zeus ánax (Lord Zeus) shows, in the sense of having the
and castrated his father Uranus, and who had swallowed all
power of a father in a strict patriarchal system. This explains
his children to prevent them from deposing him. Baby Zeus
why all the Olympian gods are either his siblings (Poseidon,
escaped only because his mother Rhea fed Kronos a swaddled
Hera, Demeter) or his children by different mothers (Athe-
stone in place of the infant. After his accession to power,
na, Apollo, Artemis, Hermes, Dionysos, Aphrodite, Ares,
Zeus fought the giants and the monster Typhon who at-
Hephaistos). This role—which implies unrestricted power
tacked his reign, and he disposed the actual order of things
over all members of the family, but also its check through
by attributing to each divinity his or her respective sphere:
father-like benignity—continues as the fundamental role of
to his brothers Poseidon and Hades/Plouton, he allotted
Zeus throughout antiquity and finds its expression in the
two-thirds of the cosmos—to Poseidon the sea, and to Hades
standard iconography of Zeus as a bearded and powerful
the netherworld; to his sisters Hera (who was also his wife)
middle-aged man.
and Demeter and to his many divine children he gave their
MAIN FUNCTIONS. In Greece, however, the Indo-European
respective domains in the world of the humans (mankind
role of Zeus as the god of the bright sky is transformed into
had been preexistent to Zeus’s reign). The main outline of
the role of Zeus as the weather god, whose paramount place
this myth is known also in the Homeric poems that either
of worship is a mountaintop; cult worship in such a peak
precede or follow Hesiod’s Theogony closely; thus, early
sanctuary is specific to him. Among the many mountains
Greek narrative poetry, and through it, early Greek society,
connected with Zeus, many are reflected only in an epithet
shared this fundamental myth. It makes Zeus the ruler
that does not necessarily imply the existence of a peak sanctu-
(“king”: anax or, after Homer, basileus) over both the other
ary, since few such sanctuaries are excavated. Those attested
gods (whom he overrules by sheer force, if necessary) and the
in literature are mainly connected with rain rituals (Zeus Hy-
world of man: the order of things as they are now is the order
etios or Ombrios), although the sanctuary on the Arcadian
of Zeus.
Mount Lykaion had a much wider function: it preserves
Closely related succession myths are attested from Hit-
traces of earlier initiatory rituals, and it turned into the feder-
tite Anatolia and from Mesopotamia. In Hittite mythology,
al sanctuary of all Arcadians, just as the sanctuary of Jupiter
the succession passed through Anu (Sky), who was deposed
Latiaris on the top of the Mons Sacer, the “Sacred Moun-
and castrated by Kumarbi, finally to Teshub, the storm god,
tain,” was the federal sanctuary of the cities of archaic La-
who corresponds to Zeus; other myths tell of the attacks of
tium. As Zeus “the Gatherer of Clouds” (nephelêgeretas, a
Kumarbi and his followers on Teshub’s reign, which corre-
common Homeric epithet), he was generally believed to
sponds to the Greek myths of how young Zeus had to defend
cause rain, both in serious expressions (“Zeus rains”) and in
his rule against Typhon and the Titans. Myths from Meso-
the comic parody of Aristophanes (Clouds 373). With the
potamia present a similar, though more varied structure; the
god of clouds comes the god of thunder (hupsibremétês, or
Babylonian Enuma elish moves from a primeval pair, Apsu
“He Who Thunders High Up”) and of lightning (terpsik-
and Tiamat, to the reign of Marduk, the city god of Babylon
éraunos, or “He Who Enjoys Lightning”). A spot struck by
and in many respects a Zeus-like figure. A later version of
lightning and thus touched by the god is inaccessible for hu-
the Typhoeus myth (preserved in Apollodorus’s Bibliotheke
mans (ábaton) and often sacred to Zeus Kataibates (“He
1.6.3) locates part of it on Syrian Mount Kasion (Phoen.,
Who Comes Down”). As the Master of Lightning, Zeus has
Sapon), the seat of a peak cult of Baal Saphon, who the
the Cyclopes at his command, the divine blacksmiths who
Greeks named Zeus Kasios; Baal shares traits also with
fabricate for him the lightning as his main weapon. As the
Marduk. The Greek concept of Zeus the kingly ruler of the
Master of Tempest, he also is supposed to give signs to mor-
present world is as unthinkable without Oriental influence
tals through thunder and lightning, and to strike evildoers,
as is the figure of Zeus the Master of Storms.
as he struck the giants and the monstrous Typhon at the be-
ginning of his reign.
In many instances, human affairs follow the plan of
This entire complex finds expression in the myth that
Zeus (for example, the Trojan War, or the return of Odys-
Zeus has his (palatial) home on Mount Olympus, together
seus in Homeric poetry), despite apparent setbacks. He
with all the gods of his household. Olympus had been trans-
might help to bring things to perfection, if asked in a prayer
formed from a real mountain into a mythical place even be-
to do so (Zeus Teleios, “He Who Perfects”), and he might
fore Homeric poetry. Homer described it as a place that “nei-
signal his will, either asked for or not, in dreams, augural
ther winds assail nor rains drench nor snow covers, but
signs, or thunder and lightning, but also but by provoking
cloudless clarity and brilliant light surround it” (Odyssey
ominous human utterances (pheme). In cult, this function is
6.43). The myth, in turn, generated cult on one of the several
expressed in rare epithets such as Phanter (He Who Signals),
peaks of the mountain (Hagios Antonios) that is archaeologi-
Terastios (He of the Omina), and Phemios or Kledonios (He
cally attested for the Classical period.
Who Gives Oracular Sayings).
But for the early archaic Greeks, and conceivably for the
CULTS. Zeus has few major polis festivals, and only a few
Mycenaeans, Zeus was a much more fundamental divinity.
month names attest an important early festival of Zeus: the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZEUS
9953
Bronze Age month Diwos (attested in Knossos on Crete) to
ties; the common festival took place at a spot well-removed
which the Macedonian, Aetolian, and Thessalian month
from a single polis and was under the protection of a superior
name Dios corresponds; the Attic month Maimakterion
god. The analysis of the sacrifices points to an origin in initi-
which derives from the minor festival of a rather shadowy
ation rituals of young warriors. The sanctuary contained an
Zeus Maimaktes (presumably a storm god); the Cretan
archaic temple of Hera and a large temple of Zeus, built in
month [V]elchanios which belongs to a typically Cretan
the 460s BCE; its cult state, an enthroned Zeus, was a major
(Zeus) Velchanos who perhaps originally was an indepen-
work of the Athenian sculptor Phidias and evoked wonder
dent storm god. Of some interest among city festivals are also
and admiration throughout antiquity.
the sacrifice of a bull of Zeus Polieus in Kos and the festival
Inside the polis, Zeus has his own specific province and
of Zeus Sosipolis in Magnesia on the Maeander, both attest-
cares for the smaller units whose lawful unification forms the
ed by sacrificial prescriptions preserved by Hellenistic in-
polis. His own domain is the agora: as Zeus Agoraios, he pre-
scriptions; these texts show the pomp with which Hellenistic
sides over the just political dealings of the community; in this
cities celebrated the god whose cult expressed their identity
function, he can be counted among the main divinities of
and their hopes for the future. In both cases, the texts empha-
a city, including Hestia Prytaneia and Athena Poliouchos, or
size the choice and importance of the sacrificial animal as the
Polias. On the level of smaller units, he is one of the patrons
center of Zeus’s cult.
of phratries (Zeus Phratrios or Zeus Patr[o]ios), sometimes
The Diasia, “the greatest Athenian festival of Zeus”
together with Athena Phratria or Patr[o]ia (see Plato, Euthy-
(Thucydides 1.126.6), had a much less auspicious character.
demus 302d); or of clans (Zeus Patr[o]ios). In this function,
The festival was celebrated in honor of Zeus Meilichios, who
he also protects the single households. As Zeus Herkeios (He
took the form of a huge bearded snake. The cult place was
in the Yard), he receives sacrifices on an altar in the court-
outside the town, and the cult contained either animal sacri-
yard, which had to be in every Athenian family home (Aris-
fices or bloodless cakes; sacrificial animals were entirely
totle, Constitution of Athens 55); as Zeus Ephestios (He on
burnt. This meant that the festival did not culminate in a
the Hearth), sacrifices were offered on the hearth of a house.
common banquet that released the tension of the sacrifice.
There are functions of Zeus on the level of the family
Instead, there is evidence of common meals in small family
that easily are extended both to individuals and to the polis.
circles and of presents given to the children—in this phase
Since property is indispensable for the constitution of a
of the ritual, the community has disintegrated and nuclear
household, Zeus is also Zeus Ktesios, the protector of proper-
families have become highly visible. Such a mood fits the
ty. As such, he receives cults from families, from cities, and
date of the festival, Anthesterion 23 (February/March); the
from individuals. In many places, Zeus Ktesios has the ap-
main event of the month had been the Anthesteria, which
pearance of a snake—property is bound to the ground, at
had a similar, but even more marked character of uncanny
least in the still-agrarian conception of ancient Greece, and
disintegration: on its first day, every participant was drink-
its protectors belong to the earth (see Ploutos [“Riches”],
ing, and ghosts were roaming the city. Phenomenologically,
whose mother is Demeter, and Plouton [“The Rich One”]
both festivals belong to a New Year-like transition at the turn
one of the many names of the god of the netherworld). The
from winter to spring.
same holds true for Zeus Meilichios (The Gentle One). On
Thus, although Zeus’s polis festivals were not very wide-
the level of the individual, Xenophon attests Zeus
Meilichios’s efficiency in providing funds (Anabasis 7.8.1),
spread, he was from early times prominent as a Panhellenic
and in many communities, Zeus Melichios protects families
deity who transcends the single polis (as he is the only Olym-
or clans. In Athens he receives the polis festival of the Diasia;
pic divinity who, in the Homeric poems, sides with neither
there and elsewhere, he also has the form of a snake. And fi-
side in the war). The Iliad mentions the oracular sanctuary
nally, one might add Zeus Philios, protector of friendship be-
of Dodona in northwestern Greece that was dedicated to
tween individuals (as among an entire polis).
Zeus Naios, and its strange, barefoot priests who slept on the
ground (Iliad 16.233–5, Odyssey 19.296–301); later, priest-
The Zeus cults of Crete fit only partially into this pic-
esses derived the oracles from the sound of a holy oak, the
ture. Myth places both his birth and his grave in Crete: ac-
flight of doves, and the sound of a bronze basin. Questions
cording to Hesiod, in order to save him from Kronos, Rhea
from and answers to the many private worshipers were writ-
gave birth to Zeus, then entrusted the baby to Gaia, who hid
ten on lead tablets that are preserved in considerable number.
it in a cave near Lyktos, on Mount Aigaion (Hesiod, Theogo-
But Zeus’s main Greek sanctuary was in Olympia, in the
ny 468ff.). Later authors replaced Gaia by the Kouretes—
southwestern Peloponnese, with its games that were held
armed demons, whose noisy dance kept Kronos away—and
every four years. The games began with an impressive sacri-
name other mountains, usually Mount Ida or Mount Dikte.
fice to Zeus Olympios on an ash altar whose growing height
This complex of myths reflects cult in caves that partly go
made it an impressive sight; a Panhellenic contest followed
back to Minoan times, and armed dances by young Cretan
whose main events were a foot race and a chariot race. Their
warriors, like those attested in the famous hymn for Zeus
foundation (in the year 776 BCE, according to tradition)
from Palaikastro (sanctuary of Zeus Diktaios), which belong
marked the end of the isolation of the Dark Age communi-
in the context of initiatory rituals of young warriors; in the
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9954
ZHANG DAOLING
actual oaths of Cretan ephebes, Zeus plays an important role.
life (changsheng) who put his disciples to tests, vanquished
In this function, Zeus exceptionally can be young: the
demons, and prepared the elixir of immortality. He is said
Palaikastro hymn calls him koûros (young man); the statue
to have received in 142 CE a revelation from Taishang Laojun
in the sanctuary of Zeus Diktaios was beardless, and coins
the deified Laozi, who bestowed on him the title of Celestial
from Knossos show a beardless (Zeus) Welchanos. There cer-
Master (tianshi). The god gave him the “Doctrine of the Or-
tainly are Minoan (and presumably Mycenaean) elements
thodox One [Resting on] the Authority of the Alliance”
present in the complex, but it would be wrong to separate
(zhengyi mengwei dao), revealing that the demoniac Six
Cretan Zeus too radically from the rest of the Greek evi-
Heavens had been abolished and their reign replaced by a
dence; both the cults of Mount Lykaios and of Olympia con-
golden age governed by the Three Heavens. The people were
tain initiatory features.
to honor no gods other than those of the Alliance, the mas-
THEOLOGICAL REFLECTIONS. In Homer’s epics (much more
ters were to eschew all payment, and blood sacrifices were
than in actual cult), Zeus had reached a nearly overpowering
to be banished.
position. During the Classical and Hellenistic ages, religious
Subsequently, Zhang Daoling gathered together many
thinkers developed this into a sort of “Zeus monotheism.”
disciples in Sichuan and launched a campaign for the reform
By the time of Aeschylus (525–456 BCE), Zeus had begun
of the religious practices of a people described as having
to move away from simple human knowledge (“Zeus, who-
lapsed into degeneracy. He started a health cult and wrote
ever you are . . . ,” Agamemnon 160) to a nearly universal
several books; however, his works are now lost and conse-
function (“Zeus is ether, Zeus is earth, Zeus is sky, Zeus is
quently nearly nothing is known about his doctrines. He is
everything and more than that,” Fragment 105); and Sopho-
said to have established the basis of a theocratic state divided
cles (c. 496–406 BCE) sees Zeus’s hand in all human affairs
into twenty-four parishes corresponding to the twenty-four
(“Nothing of this which would not be Zeus,” Women of
breaths of the year (one every fifteen days). This was later al-
Trachis 1278). The main document of this monotheism is
tered to twenty-eight, to correspond to the divisions of the
the hymn to Zeus by the Stoic philosopher Kleanthes
Chinese zodiac. The followers of the sect were obliged to pay
(d. 232/231 BCE), where Zeus, mythical image of the Stoic
a tax of five pecks of rice, whence came the description of
logos, becomes the commander over the entire cosmos (“no
the sect as the Way of Five Pecks of Rice (Wudoumi Dao).
deed is done on earth . . . without your office, nor in the
Zhang Daoling is considered the founder of the Daoist
divine ethereal vault of heaven, nor at sea”) and its “universal
sect of the Celestial Masters (Tianshi Dao). His eldest son,
law,” while at the same time he is the guarantor of goodness
Zhang Heng, succeeded him, and Zhang Heng in turn was
and benign protector of man (“protect mankind from its
succeeded by his son, Zhang Lu. Under Zhang Lu’s leader-
pitiful incompetence”). This marks the high point of a devel-
ship the movement rose in rebellion against the Han. The
opment—other gods, though briefly mentioned, become in-
Way of the Celestial Masters was the first organized Daoist
significant beside universal Zeus.
movement and has continued down to the present day in
SEE ALSO Greek Religion; Hades; Hera.
Taiwan through a succession of Daoist masters who are alleg-
edly lineal descendants of Zhang Daoling. Many texts in the
BIBLIOGRAPHY
Daozang (the Daoist canon) derive from this religious move-
Arafat, Karim. Classical Zeus. A Study in Art and Literature. Ox-
ment, whose tendency is liturgical, demonological, and more
ford, 1990.
or less shamanistic.
Bianchi, Ugo. Dios Aisa. Destino, Nomini e Divinità nell’epos, nelle
Teogonie e nel Culto dei Greci. Rome, 1953.
SEE ALSO Daoism, overview article and article on The Dao-
Cook, Albert B. Zeus. A Study in Ancient Religion. 3 vols. Cam-
ist Religious Community; Laozi.
bridge, U.K., 1914; reprint, 1926, 1940.
Kérenyi, Karl. Zeus and Hera. Archetypal Image of Father, Hus-
BIBLIOGRAPHY
band, and Wife. London, 1975.
Imbault-Huart, Camille. “La légende du premier pape des taoïstes
Lolyd-Jones, Hugh. The Justice of Zeus. Sather Classical Lectures
et l’histoire de la famille pontificale des Tchang.” Journal as-
41. Berkeley, Calif., 1971; reprint, 1983.
iatique 2 (1844); 389-461.
Parke, H. W. The Oracles of Zeus. Oxford, 1967.
Welch, Holmes. “The Chang tien-shih and Taoism in China.”
Schwabl, Hans, and Erika Simon. “Zeus.” Pauly-Wissowa 10A
Journal of Oriental Studies 4 (1957-1958): 188-212.
(1972): 253–376; suppl. 15 (1978): 993–1481.
ISABELLE ROBINET (1987)
Tiverios, M. “Zeus.” Lexicon Inconographicum Mythologiae Classi-
cae (LIMC) 8 (1997): 310–470.
Verbruggen, Henri. Le Zeus crétois. Paris, 1981.
FRITZ GRAF (2005)
ZHANG JUE (d. 184 CE), founder of the Yellow Turban
sect. Zhang Jue was heir to the doctrines of Yu Ji, a sorcerer
and healer who preached and practiced in Shandong and
ZHANG DAOLING, semilegendary figure of the sec-
who was probably the author of the Taiping qingling shu
ond century CE, depicted in hagiographies as a master of long
(Book of Great Peace, or Book of Great Equality), a text now
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZHANG LU
9955
lost. Having received a revelation that the “blue heaven” of
ZHANG LU (fl. 184–220), grandson of Zhang Daoling,
the Han dynasty was to be replaced by a “yellow heaven”
founder of the sect of the Celestial Masters, and the sect’s
(yellow is the color of the Center) in the first (jiazi) year of
third Celestial Master. In 184 CE Zhang Lu led the sect in
the next new cycle of sixty years (i.e., 184 CE), around the
rebellion against the Han dynasty and established an inde-
year 175 Zhang Jue dispatched eight apostles to convert the
pendent state in Hanzhong, in the west, which he governed
people of the central and eastern provinces of China. They
for thirty years. In 215 he surrendered to the Han general
preached doctrines closely related to those of the Five Pecks
Cao Cao and was rewarded with honors that included a fief-
of Rice sect in Sichuan. Like the leader of the latter sect,
dom. After the founding of the Wei dynasty in 220 by Cao
Zhang Lu, Zhang Jue healed the sick by group confession
Cao’s son, Zhang Lu lived some years at the Wei court. It
(sins were believed to be the cause of sickness), organized col-
may be said that both the existence of the sect as an organized
lective worship under a quasi-military church hierarchy, and
church and its official recognition by the government were
used sexual techniques to achieve sanctity.
due to his efforts. The Celestial Masters sect became the first
Zhang Jue’s followers were called Yellow Turbans
institutionalized Daoist movement, distinguished on this
(Huangjin) from the yellow kerchiefs they wore on their
point from the other popular beliefs and messianic move-
heads in token of their expectation of the “yellow heaven.”
ments of the time, and especially from the Daoist seekers
They worshiped Huang-Lao and were intent on inaugurat-
after long life, who were unorganized and scattered. The
ing a golden age—the age of Great Peace—and a utopian
movement of the Celestial Masters spread to North China
state based on egalitarian ideas, as opposed to the Confucian
by the end of the third century and, by the end of the fourth
ideas of social hierarchy. They regularly retired to oratories
century, to all of China. It counted among its adherents
(“pure chambers,” jingshi) where they healed the sick by con-
many powerful families.
fession of sins and recitation of sacred scriptures. The follow-
ers of the sect were governed by moral codes and divided into
The church was divided into twenty-four dioceses (later
thirty-six fang (a word that means both “regions” and “magic
twenty-eight), corresponding to the twenty-four breaths of
recipes”), local communities headed by “generals.” The
the year (one every fifteen days) and, later, to the twenty-
“three Zhangs,” Zhang Jue and his two brothers, Liang and
eight divisions of the Chinese zodiac. The hierarchy of the
Bao, were respectively generals of Heaven, Earth, and Man,
church and its way of addressing the powers on high were
symbolizing their embodiment of the all-embracing triad.
modeled on imperial and bureaucratic usages. The church
set up wayside inns all over the state where food and shelter
Over a ten-year period, Zhang Jue enjoyed great success.
were available to travelers at no charge. Each household of
He had several hundred thousand followers in eight prov-
followers contributed a tax of five pecks of rice, whence the
inces by the time he initiated the Yellow Turban rebellion
name of the sect, the Way of Five Pecks of Rice (Wudoumi
in 184. Although Zhang Jue and his brothers were caught
Dao).
and executed in the same year, they left behind a great num-
ber of communities of believers, and as late as 205 the Yellow
The focal center of each diocese was the oratory, presid-
Turbans still posed a military problem for the government.
ed over by “libationers” (jijiu), a married hereditary priest-
The Yellow Turban uprisings in eastern and northern China,
hood. These priests mediated between the faithful and the
taken together with Zhang Lu’s uprisings in the west, weak-
divine and knew as well how to ward off demons. The peti-
ened the Han dynasty and contributed to its fall.
tions of the faithful, transmitted by the rising smoke of in-
cense and by the spirits exteriorized from the priest’s body,
SEE ALSO Daoism, overview article and article on The Dao-
were borne to the Three Heavens. Letters could be sent to
ist Religious Community; Millenarianism, article on Chi-
the Three Officials of Heaven, Earth, and Water (san guan).
nese Millenarian Movements; Taiping; Zhang Lu.
One copy, placed on a mountain, rose to Heaven, another
was buried in the ground for the Earth official, and a third
BIBLIOGRAPHY
was cast into the river for the Official of Water. Other rituals
Eichhorn, Werner. “Bemerkungen zum Aufstand des Chang Chio
involve talismans drawn by priests; these were burned, their
und zum Staate des Chang Lu.” Mitteilungen des Instituts für
ashes were mixed with water, and the talismanic holy water
Orientforschung 3 (1955): 291–327.
was then drunk by believers. The sung liturgies were based
Fukui Kojun. Dokyo no kisoteki kenkyu. Tokyo, 1952. See pages
on religious texts, in particular on the Dao de jing. The
62–92.
Xiang’er, a commentary on the Dao de jing attributed to
Levy, Howard S. “Yellow Turban Religion and Rebellion at the
Zhang Lu, was used as a kind of catechism in the instruction
End of the Han.” Journal of the American Oriental Society 76
of the faithful. Morals and law were combined: diseases were
(October-December 1956): 214–227.
believed to be caused by evil deeds, and hence the sick were
healed by rites of expiation, ceremonials, confessions, and
Michaud, Paul. “The Yellow Turbans.” Monumenta Serica 17
punishment. The misdeeds of the faithful, such as theft and
(1958): 47–127.
drinking, also fell under the jurisdiction of the sect. Road re-
ISABELLE ROBINET (1987)
pair or imprisonment was the usual punishment.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9956
ZHANG XUECHENG
The year was marked by a religious calendar. At the
pointments in local academies, commissions to compile local
equinoxes, offerings were made to the god of the earth and
and family histories, and research and writing sponsored by
the god of the soil, and healing talismans were distributed
patrons (notably Bi Yuan, 1730–97).
to the sect’s followers. At the solstices, sacrifices were made
for the salvation of the souls of the dead. Communal feasts
Zhang articulated his vision of the human past in his
(chu) were offered during the first, seventh, and tenth
local history of Hezhou (1775; only fragments are extant),
months, and also on religious occasions such as an initiation
his Jiaochou tongyi (Philosophy of Bibliography, 1779), and
or the consecration of an oratory. At each new moon a com-
especially in his monograph-length essay Yuandao (The
munal sexual ritual was celebrated, the Union of the Breaths
Analysis of the Way, 1789). He saw all moral conventions,
(heqi), which Buddhist sources describe as a licentious orgy,
institutions, traditions of learning, and genres of writing as
but which some texts still extant show to be a ceremony of
taking form in an early state of the human condition in
highly stylized erotic choreography of religious and cosmic
which there was no distinction between public (official) and
significance.
private aspects of life, when all kinds of writing were natural-
ly beautiful or useful according to their function, anonymous
The sect of the Celestial Masters is still in existence, and
and unmarred by personal vanity. This ideal state of affairs
its leaders claim direct descent from Zhang Daoling and
ended some centuries before Confucius. Thereafter, “officials
Zhang Lu. Many of the present rituals, sacrifices, and festi-
were no longer teachers,” and there was no longer a “unity
vals derive from rituals of the Celestial Masters of the third
of government (zhi) and doctrine (jiao)”—Zhang’s idiom
century.
(following the Song polymath Ouyang Xiu, 1007–1072) for
S
saying that the primal unity of the human spirit was sun-
EE ALSO Daoism, overview article and article on The Dao-
ist Religious Community.
dered forever, in an alienation of intellect from action. Intel-
lectual history since that time has been a dialectical process
of always incomplete vision of the truth, ages of philosophy,
BIBLIOGRAPHY
of scholarship, and of literary art succeeding each other end-
Eichhorn, Werner. “Bemerkungen zum Aufstand des Chang Chio
lessly, each age blind to the values it fails to realize. Zhang
und zum Staate des Chang Lu.” Mitteilungen des Instituts für
Orientforschung 3 (1955): 291–327.
crystalizes his vision in the famous one-line evaluation of the
Confucian Classics, opening his collected essays, Wenshi
Fukui Kojun. Dokyo no kisoteki kenkyu. Tokyo, 1952. See pages
tongyi (General Principles of Literary and Historical Criti-
62–92.
cism): “The Six Classics are all history.” By this he means
Stein, Rolf A. “Remarques sur les mouvements du taoïsme politi-
that they are not authored books that formulate the dao of
co-religieux au deuxième siècle ap. J. C.” T’oung pao 50
human society, but are exemplifications of this dao, being
(1963): 1–78.
documents, residues of the functioning of the ancient society
Xiong Deji. “Taiping jing de zuozhi he sixiang ji qi yu Huangjin
and state, an age when “the dao and its embodiments were
he Tianshidao de guanxi.” Lishi yanjiu 4 (1962): 8–25.
one” (dao qi heyi). This dao cannot be reduced to “empty
ISABELLE ROBINET (1987)
words” (kong yan) and formulas; it must be grasped intuitive-
ly through the study of institutions and human acts, which
the historian must present just as they were, without bias.
ZHANG XUECHENG (1738–1801), Chinese histori-
In this aspect of his thought Zhang is close to the Ming
an and philosopher. A native of Shaoxing (Kuaiji district),
dynasty Confucian moralist Wang Shouren (Wang Yang-
Zhejiang Province, and son of a district magistrate, Zhang
ming, 1472–1529); but unlike Wang he never himself had
went to Beijing as a student in 1762, and in the next ten
a religious drive toward self-cultivation. Zhang had several
years became acquainted with many of the leading writers of
Buddhist friends, whom he teased good-naturedly, but he
the day. Among his associates and mentors were, notably,
was open-mindedly willing to own that Buddhism might be
Zhu Yun (1729–81), whom he acknowledged as his master,
saying something true and valuable in its own way. He could
and the philosopher and philologue Dai Zhen (1724–77),
hardly be called a Daoist, but his vision of intellectual history
whom Zhang admired for his philosophical essays but criti-
owes not a little to Zhuangzi. He had strong conservative
cized strongly for his opposition to the ideas of the Song
prejudices about the status of women, expressed in several
dynasty Confucian moralist Zhu Xi (1130–1200). As a
vigorous essays attacking the poet Yuan Mei (1716–1798).
youth Zhang developed a keen interest in the art and theory
Zhang was impatient with the philological scholarship fash-
of historical writing, admiring the Tang dynasty historiogra-
ionable in his time, his thinking being more akin to the so-
pher Liu Zhiji (661–721). As early as 1770 he had begun to
called Tongcheng circle of literary men. He much admired
formulate a theory of the development of civilization based
the early Qing historian Huang Zongxi (1610–1695) and
on the Han court librarian Liu Xin’s theories of the history
other Zhejiang authors, and is sometimes classed as a “mem-
of types of writing. In 1778 he passed the examinations for
ber” of an “Eastern Zhejiang school” of historical learning.
the highest civil service degree (jinshi), but he never took of-
fice, and supported himself usually through teaching ap-
SEE ALSO Wang Yangming.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZHANG ZAI
9957
BIBLIOGRAPHY
Like Zhou Dunyi (1017–1073), the first major Neo-
Demiéville, Paul. “ Chang Hsüeh-ch’eng and His Historiogra-
Confucian teacher, Zhang Zai based much of his philosophy
phy.” In Historians of China and Japan, edited by W. G.
upon the Yijing. For Zhang Zai, the taiji, or Great Ultimate,
Beasley and E. G. Pulleyblank, pp. 167–185. Oxford, 1961.
refers to the source of all existence, which he takes to be qi,
Nivison, David S. The Life and Thought of Chang Hsüeh-ch’eng,
the material or vital force of existence itself. Thus taiji is
1738–1801. Stanford, 1966. Includes an annotated bibliog-
identified with qi and yin and yang, the symbols of polar op-
raphy of important Chinese and Japanese sources.
posites in Chinese thought, as well as with the Five Elements
Yü Ying-shih. Lun Dai Zhen yu Zhang Xuecheng. Hong Kong,
(wuxing), the basis of an early cosmological theory of the na-
1976. An English edition of this work is forthcoming.
ture of change. Although later modified by other thinkers,
this qi-based monism continued to play an important role
New Sources
Mann, Susan. “Women in the Life of Zhang Xuecheng.” In Chi-
in Neo-Confucian metaphysics.
nese Language, Thought, Culture: Nivison and His Critics, ed-
Zhang Zai’s thought had far-reaching religious implica-
ited by Philip J. Ivanhoe. LaSalle, Ill., 1996.
tions as well. While Neo-Confucianism has often been
Nivison, David S. “The Philosophy of Zhang Xuecheng.” In The
thought to be primarily a rationalistic system whose major
Ways of Confucianism: Investigations in Chinese Philosophy. La
influence was intellectual, a more recent reassessment of the
Salle, Ill., 1996.
tradition suggests that Neo-Confucianism also contains a
Wong, Young-tsu. “Discovery or Invention: Modern Interpreta-
profound religious dimension. The focus of this religious
tion of Zhgang Xuecheng (1738–1801).” Historiography East
perspective is the central role assigned to the figure of the
and West, 1 (September 2003), 178–203.
sage (sheng) and to the goal of sagehood. To become a sage
became increasingly important as the goal of Neo-Confucian
DAVID S. NIVISON (1987)
Revised Bibliography
learning and self-cultivation.
When Neo-Confucianism is considered in this context,
Zhang Zai’s philosophical system is fully religious. In Zhang
ZHANG ZAI (1021–1077), also known as Zhang Heng-
Zai’s most celebrated work, the Ximing (Western inscrip-
qu, the second major Neo-Confucian thinker in the tradi-
tion), the monistic metaphysical structure of qi is enlarged
tional lineage of Neo-Confucian teachers. Zhang Zai was a
to include a poetic vision of the unity and interdependence
native of Chang’an in modern Shaanxi. His study of what
of the universe and its multifaceted phenomena:
became central Neo-Confucian texts began at the age of
Heaven is my father and Earth is my mother, and even
twenty-one when he corresponded with and then met Fan
such a small creature as I finds an intimate place in their
Zhongyan (989–1052), a prominent Confucian official. Fan
midst.
suggested that Zhang Zai begin his study with the Zhongyong
Therefore that which extends throughout the universe I
(Doctrine of the mean). This advice led Zhang Zai to study
regard as my body and that which directs the universe I
Confucianism, but like many Neo-Confucians he also stud-
consider as my nature.
ied Buddhism and Daoism, particularly their religious prac-
tices such as meditation. Eventually, however, he rejected
All people are my brothers and sisters, and all things are
my companions. (de Bary and Bloom, 1999, p. 683)
their philosophies and returned to Confucian classics. Zhang
Zai was appointed to office in 1057 and became widely rec-
Some have called this passage the foundation of Neo-
ognized as one of the major interpreters of Confucian teach-
Confucian ethics. Others have expanded its meaning to in-
ings. He eventually resigned from office over disagreement
clude not only ethics but a religious dimension that ultimate-
with the reform measures of Wang Anshi (1021–1086), a
ly comprehends the religious goal of sagehood.
figure of major political influence during the Song dynasty.
Later Neo-Confucians primarily valued Zhang Zai’s
Zhang was appointed once again, only to retire and die on
doctrine of the sage “forming one body with the universe.”
the trip home from the capital in 1077.
This doctrine represents both the Neo-Confucian contiguity
For Zhang Zai, the focus of his return to Confucian
with its classical Confucian heritage and an enlargement of
teachings was his interest in two of the classics, the Yi Jing
the Neo-Confucian system. At the center of Zhang Zai’s
(Book of changes) and the Zhongyong, works that served as
teaching is the idea of ren, humaneness or human-
the foundation of his philosophical and religious thought.
heartedness, in many ways the salient teaching of the classical
Zhang Zai’s prominent position in the lineage of Neo-
Confucian tradition. This basic quality, which was for Con-
Confucian teachers, a position in part the result of the lin-
fucius and Mencius the bond between human society and
eage drawn up by the great synthesizer of Neo-
the ways of Heaven (tian) and hence fundamental to the un-
Confucianism, Zhu Xi (1130–1200), derives from the inter-
derlying moral structure of the universe, was expanded by
pretive stance he developed toward these works and from his
Zhang Zai to encompass the universe itself, since for the sage
position as teacher to both Zheng Hao (1032–1085) and
to form “one body with the universe” suggests the comple-
Zheng Yi (1033–1077), two of the most prominent figures
mentarity and fundamental identify of microcosm and mac-
in the development of Neo-Confucian thought.
rocosm. The doctrine illustrates as well Zhang Zai’s belief in
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9958
ZHENREN
the fundamental goodness and purpose of the universe and
“perfect person” or “true person” (most Sinologists now
in the potential of the individual to realize the ideal of the
translate it “Perfected”). Zhuangzi’s “real person” is one who
sage.
does not oppose the human and the natural, who knows how
In the teaching of “forming one body with the uni-
to accept both defeat and victory, joy and sorrow, life and
verse,” Zhang Zai also claimed to distinguish Confucianism
death without being affected by them. Ordinary people, ac-
clearly from Buddhism and Daoism. For him the universe
cording to Zhuangzi, “wallow in their passions because they
and its processes have a real existence. In turn, human life
are out of touch with the workings of Heaven. The ‘real per-
is looked upon as intrinsically valuable and ultimately the
son’ of ancient times knew neither to love life nor to hate
very foundation for the realization of sagehood. For Zhang
death. . .He took pleasure in what he received; he forgot
Zai, such a view is clearly distinguishable from Daoism and
what he gave back. This is what it means not to throw away
Buddhism, both of which require a radical departure from
the Dao with the heart, not to use what is human to help
the universe as it is given in order to fulfill the soteriological
out what is heavenly. This is what is called a ‘real person’”
quest. In Zhang Zai’s terms, Daoism and Buddhism both
(chap. 6). The “real person” is thus one who possesses what
emphasize escape from the world, while Confucianism finds
is for Zhuangzi the highest form of knowledge, the knowl-
fulfillment and ultimate identity precisely within the changes
edge that enables him to “make all things equal” and so ren-
found in this world, a world of qi rather than of emptiness.
ders him invulnerable to the vicissitudes of human life.
The sage accepts the ultimate reality of qi and its inherent
Zhuangzi uses a range of terms to refer to this ideal per-
goodness, he acknowledges the infusion of ren throughout
son, among them “divine person” (shenren), “accomplished
the very structure of the universe itself, and thus he can fulfill
person” (zhijen), and “saintly person” (shengren). The last
the ideal of the sage, “forming one body with the universe.”
term in particular, being the standard term in the Laozi, ap-
pears much more frequently than “real person.” But the term
SEE ALSO Confucianism; Qi; Ren and Yi; Taiji.
saintly person had the disadvantage, at a time when the battle
between the different schools of philosophy had reached its
BIBLIOGRAPHY
pitch, of referring also to the Confucian ideal person. In the
The thought of Zhang Zai is introduced with a translation of the
Laozi itself, in fact, it refers indifferently to the ruler of men
Western Inscription as well as of his other major work, Cor-
and the person who, even if he does not rule, is worthy of
recting Youthful Ignorance, in A Source Book in Chinese Philos-
ruling. By Zhuangzi’s time the feudal system of the Zhou
ophy, translated by Wing-tsit Chan (Princeton, 1963),
dynasty (c. 1150 to 256 BCE) was in its final agony, and inter-
pp. 495–517, and Sources of Chinese Tradition from Earliest
state relationships were characterized by ruse and violence.
times to 1600, 2d ed., compiled by Wm. Theodore de Bary
and Irene Bloom (New York, 1999), vol. 1, pp. 682–689.
This political context forced philosophers to choose between
Selections from Zhang Zai’s writings are included in the
“man” and “nature,” between politics and integrity, and the
major anthology of Song dynasty Neo-Confucianism com-
term saintly person came increasingly to serve only as the des-
piled by Zhu Xi and Lü Zu-qian, translated into English by
ignation of the Confucian (that is, political) ideal. In its place
Wing-tsit Chan as Reflections on Things at Hand (New York,
the Daoists put the “real person.” This person does not yet,
1967). Discussions of Zhang Zai’s thought may be found in
by definition, refuse all contact with human society and poli-
Fung Yu-lan’s A History of Chinese Philosophy, 2d ed., vol. 2,
tics, but if he should happen to “get involved,” he will not
The Period of Classical Learning, translated by Derk Bodde
allow himself to “feel involved.”
(Princeton, 1953), pp. 477–498, and in Carsun Chang’s The
Development of Neo-Confucian Thought, vol. 1 (New York,
In chapter 21 of the Zhuangzi we thus read of Sun Shu
1957), pp. 159–183. More detailed discussions of specific
Ao, who had “thrice been named prime minister without
problems in the thought of Zhang Zai may be found in Siu-
considering it glorious and thrice been dismissed without
chi Huang’s “The Moral Point of View of Chang Tsai,” Phi-
looking distressed.” Someone asks Sun Shu Ao whether he
losophy East and West 21 (April 1971): 141–156, and Chun-i
has some special way of “using his heart.” “Why should I be
T’ang’s “Chang Tsai’s Theory of Mind and Its Metaphysical
any better than anyone else?” he responds. “When [the nom-
Basis,” Philosophy East and West 6 (1956): 113–136. For gen-
ination] came, I could not refuse it; when it left, I could not
eral discussions see Xinzhong Yao, An Introduction to Confu-
keep it. Neither getting it nor losing it had anything to do
cianism (Cambridge, 2000) pp. 98–104; John H. Berthrong,
with me.” Such a man, comments Zhuangzi through the
Transformations of the Confucian Way (Boulder, Colo.,
mouth of none other than Confucius, is “a real person of
1998), pp. 6–114. and Rodney L. Taylor, The Illustrated En-
cyclopoedia of Confucianism, 2 vols (New York, 2003),
old.”
pp. 107–108.
This phrase, “a real person of old,” shows that the con-
cept of the “real person” is associated from the very first with
RODNEY L. TAYLOR (1987 AND 2005)
the notion of a golden age in times past, a paradise lost. On
the individual level, it is linked with the preservation of one’s
original purity and integrity; “The way of whiteness and pu-
ZHENREN. The term zhenren (“real person”) is first en-
rity consists exclusively in keeping one’s spirit. If you keep
countered in parts of the Zhuangzi that are thought to date
your spirit and do not lose it, you will become one with your
from the third century BCE. Zhenren may also be translated
spirit” (Zhuangzi, chap. 15).
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ZHENREN
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Zhuangzi makes no explicit reference to the techniques
He also regularly heals sick clients with “purple pills and red
that enable one to maintain one’s purity and “keep” one’s
drugs,” and the local people first recognize in him a “real per-
spirit, but they are implicit in the vocabulary used to describe
son” when he saves thousands from an epidemic with his
the “real persons of old.” The reference to these techniques
medicine. Later, before leaving for one of the “isles of the im-
is even clearer in another third-century BCE text, the Lushi
mortals” in the Eastern Sea, he creates a stream with miracu-
chunqiu (Annals of Mr. Lu): “One who daily renews his sem-
lous healing powers for the local people, who, after his depar-
inal energy and gets rid entirely of perverse energies, and [so]
ture, set up dozens of sanctuaries for his worship. The third
lives out his heaven [-appointed] years, is called a ‘real per-
“real person,” Zhuhuang, is himself first cured of an ailment
son.’” The reference is all the more interesting in that the
by a “Daoist” (daoshi) living on a mountain and is then given
next line reads: “The saint-kings of the past perfected their
a book called Laojun huangting jing (The Yellow court classic
persons, and the empire then perfected itself. They regulated
of Lord Lao). When he finally returns home eighty years
their bodies, and the empire was regulated.” To solve the cri-
later, “his white hair had all turned black.”
sis of the body politic, says this author, we must find individ-
In his Lunheng (Critical disquisitions), Wang Chong
uals who, like the saints of old, concentrate on the vital ener-
(27–97 CE) refers to the belief that Laozi became a “real per-
gies of their own bodies.
son” by “nourishing his spermatic essence and being chary
A long dissertation on the Daoist ideal in chapter 7 of
of his energy” (chap. 7). A commentary from the second cen-
the Huainanzi by Liu An (c. 180–122 BCE) adds little of sub-
tury CE on the Laozi, the Heshang gong, confirms that the
stance to Zhuangzi’s conception of the “real person.” Liu
“real person” is one who “cultivates the Dao within his body
An’s language, however, is more explicitly physiological and
by being chary of his energy and by nourishing his spirits”
cosmological: the essence of the “saintly person” or “real per-
(chap. 54). The first glimpse of what all this means comes
son”—the terms remain interchangeable—is “one with the
from the oldest extant version of The Yellow Court Classic,
root of Great Purity, and he wanders in the realm of no-
which alludes to the “Real-Person Infant Elixir” inside the
form. . .He makes ghosts and gods to do his bidding.” In
body.
chapter 14 we learn that the “real person” has such cosmic
The Laojun zhong jing (Classic on the center of the per-
powers because he has “never become distinct from the Great
son, second century CE) identifies the “Real-Person Infant
One.” By “closing up his four gates”—the eyes, ears, mouth,
Elixir” as the “father and mother of the Dao, [those who]
and heart—and keeping his vital forces from being wasted
give birth to the infant” (1.6b). He (or she) is also called the
on the outside, he “regulates what is within and knows noth-
“master of the real self, who is constantly instructing me in
ing of what is without” (chap. 7).
the techniques of eternal life, the way of gods and immortals”
The Huainanzi is no more specific about how to be-
(1.7b). This internal “real person” also appears in the Tai-
come a “real person” than the Zhuangzi. But Liu An’s “real
shang lingbao wu-fu xu (Preface to the five symbols of the nu-
person” is obviously far less concerned with the world of pol-
minous treasure of the Most High), a work of the fourth cen-
itics and society than the “real person” of Zhuangzi, and he
tury. The main technique for obtaining immortality de-
is correspondingly more concerned with his interior world
scribed in this text involves absorption of the energies of the
of spirits, souls, and oneness. Within the scope of that world,
heavens of the five directions. The energies of the center are
moreover, he has attained what can only be called superhu-
used to nourish the “real person” whose name is Infant Elix-
man powers. These powers are precisely those later ascribed
ir, and who dwells in the Yellow Court.
to exorcists and Daoist priests.
Every adept thus contains within his or her body a “real
A wide range of techniques leading not just to supernat-
person” in embryo. It is the adept’s “real self,” and if it is
ural powers but to immortality are described in the Liexian
properly fed and instructed, it will grow up to replace entire-
zhuan (Biographies of the immortals, second century CE).
ly the “old self.” For this nourishment and instruction it re-
The “way of the immortals” might involve a diet of pine
lies on what Zhuangzi called “real persons of the past”: in
seeds or sap, of mushrooms, or simply of clouds; it might
the text of The Five Symbols, for example, it is the Real Person
mean the ingestion of a variety of elixirs or mineral drugs,
of Bell Mountain who reveals to the legendary Emperor Yu
the “circulation of energy and the transmutation of the
the “oral instructions for the way to eternal life” (1.6a).
body,” the elimination of the five cereals from one’s diet, or
When a hermit later explores a cave in which Yu had buried
“nourishing one’s energy.” “Nourishing one’s energy” usual-
a set of the five symbols called “real writs,” he discovers it
ly refers to an art of intercourse in which the semen, rather
to be a “residence full of real persons” (1.9a). The most im-
than being allowed to flow out of the body, is “returned” by
portant of the myriads of “real persons” who come thus to
way of the spinal column to “repair the brain.” In the Liexian
inhabit Daoist caves and heavens is Laozi himself, who is in
zhuan this technique is specifically attributed to Laozi, who
fact already the real self the adept will become.
is one of only three immortals in this text to be called a “real
In general, the religious content of the term real person,
person.”
implicit already in the Zhuangzi, becomes entirely explicit by
The second, Master Fuju, makes a living as a wandering
the fourth and fifth centuries: he or she is the revealer of sa-
mirror-polisher in the region of Wu (southeastern China).
cred texts. The revelations on Mount Mao (Maoshan), for
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ZHENYAN
example, which date to the years 364 to 370 and which form
Kaltenmark, Max, trans. Le Lie-sien tchouan, biographies légen-
the scriptural basis for the Maoshan tradition, are almost all
daires des immortels taoïstes de l’antiquité. Beijing, 1953; re-
attributed to zhenren, many of whom are female. The Ling-
print, Paris, 1987. Contains superb notes on each of the sev-
bao canon of the late fourth/early fifth century also contains
enty biographies of the immortals.
texts ascribed to real persons. But an even more important
Schipper, Kristofer. Le corps taoïste. Paris, 1982. Translated by
development is their appearance on the ritual arena, where
Karen Duval as The Taoist Body. Berkeley, 1993. Contains
“flags of the real persons” are hung up to mark the Gate of
good introductions to and partial translations of the Huang-
All Real Persons. According to a text attributed to Lu Xiujing
t’ing ching (chap. 6) and the Laojün zhong jing (chap. 8).
(406–477), this gate represents the divinized spirits of the sa-
The Tang Changes
cred mountains and rivers of China. The gods of the Five
Benn, Charles David. “Taoism as Ideology in the Reign of Emper-
Sacred Peaks, in particular, are referred to as real persons, a
or Hsüan-tsung (712–755),” Ph.D. diss., University of
usage that was continued in the Tang dynasty (618–907 CE),
Michigan, Ann Arbor, 1977.
when Sima Chengzhen convinced Emperor Xuanzong
Benn, Charles David. The Cavern-Mystery Transmission: A Taoist
(r. 713–756) to replace the worship of the blood-eating gods
Ordination Rite of A.D. 711. Honolulu, 1991.
of these mountains with the vegetarian real persons of Daoist
JOHN LAGERWEY (1987 AND 2005)
worship. The same emperor in fact considered himself a
zhenren and had his statue set up next to that of his divine
ancestor, Laozi, to illustrate his semi-divine status. He also
conferred the title real person on four Daoist philosophers,
ZHENYAN Buddhism is a form of Vajraya¯na Buddhism
among them Zhuangzi.
that flourished in China from the seventh to the twelfth cen-
tury. The term zhenyan is a translation of the Sanskrit word
By the Song dynasty (960–1279), living Daoists were
mantra and literally means “real word.” The school is also
also being called “real persons.” The title of the massive Yuan
called Mijiao (esoteric teaching) to distinguish it both from
collection of Daoist hagiographies, the Lishi zhenxian tidao
all other forms of Buddhism, which are regarded as exoteric,
tongjian (Comprehensive mirror of the real persons and im-
and from Indo-Tibetan Vajraya¯na. The Chinese translation
mortals who have embodied the Dao through the ages),
of mantra by the word zhenyan underscores the importance
shows that real person and immortal had become synonymous
of a realized ontology. Zhen designates the real, apprehended
terms that could be combined to refer to any Daoist of some
through words, meditation, and action: it is reality realized.
renown. Among the most famous were the seven disciples of
the founder of the Quanzhen movement, known collectively
Although the term zhenyan is conventionally used to
as the Seven Real Persons.
designate sectarian lineages during the Tang (618–907) and
Song (960–1278) dynasties, it may also indicate Tantric pre-
SEE ALSO Alchemy, article on Chinese Alchemy; Daoism,
cursors of the organized lineages and the continued presence
overview article; Laozi; Priesthood, article on Daoist Priest-
of Zhenyan elements in other sects and in popular cults.
hood; Zhuangzi.
HISTORY. Buddhism spread across Asia on two levels: clerics
with a theological bent missionized the literate elite while
BIBLIOGRAPHY
healers and wonder-workers ministered to the peasants. Early
Translations
proto-Tantric materials in China appear at both levels, al-
Erkes, Eduard, trans. Ho-shang kung’s Commentary on Lao tse. As-
cona, Switzerland, 1950.
though their application is largely associated with wonder-
workers. Zhu Lüyan translated the first text containing
Forke, Alfred, trans. Lun-hêng (1907–1911). 2d ed. 2 vols. New
dha¯ran:¯ıs, the Modengqie jing (T.D. no. 1300), in 230
York, 1962.
CE, yet
there is little evidence that it aroused interest at the Wu court
Lau, D. C., trans. Tao-te ching (1963). Reprint, New York, 1976.
in the South. Fotudeng (d. 348) worked among the people
Le Blanc, Charles, Rémi Mathieu, et al., trans. Huainan zi. Paris,
and served the rough latter Zhao emperors Shi Luo (r. 330–
2003. Complete translation with excellent introductions to
333) and Shi Hu (r. 333–348) with a repertoire of mantras
each chapter.
and dha¯ran:¯ıs. Like later Zhenyan masters, he used ritual to
Ware, James Roland, trans. Alchemy, Medicine, Religion in the
bring rain, to make military prognostications, to heal, and
China of A. D. 320: The Nei P’ien of Ko Hung (1967). Re-
to influence politics.
print, New York, 1981.
Watson, Burton, trans. The Complete Works of Chuang Tzu. New
During the Six Dynasties period (221–584), the magi-
York, 1968.
cal use of mantra and dha¯ran:¯ı found greater acceptance in
Wilhelm, Richard, trans. Frühling und Herbst des Lü Bu We
North China while other Buddhist traditions dominated the
(1928). Reprint, Düsseldorf, Germany, 1971. A translation
literary culture of the South. The unification of China under
of the Lushi chunqiu
the Sui (584–618) and Tang dynasties wedded the interests,
Translations with Studies
culture, and family lines of the barbarian North with those
Chan, Alan K. L. Two Visions of the Way: A Study of the Wang Pi
of the Han South. Meanwhile in India, Tantric ritual,
and the Ho-shang Kung Commentaries on the Lao-Tzu. Alba-
spurned earlier as heterodox by the Buddhist establishment,
ny, N.Y., 1991.
was being codified and blended with Maha¯ya¯na theology, re-
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ZHENYAN
9961
sulting in the formation of the Vajraya¯na. During the first
TEXTS. Zhenyan teachings are drawn from two major texts,
century of Tang rule other Buddhist schools held sway, and
the Maha¯vairocana Su¯tra and the Sarvatatha¯gatatattva-
Daoists were patronized by emperors who made much of the
sam:graha. The Maha¯vairocana Su¯tra was probably written in
fact that they bore the surname (Li) of the sage Laozi.
North India during the seventh century. The text begins
Tantric teachings remained eclipsed until the arrival of
with a theological prolegomenon describing Maha¯vairocana
S´ubha¯karasim:ha (Shanwuwei) in 716 and his translation of
Buddha’s palace at the summit of the cosmos (Akanis:t:ha
the Maha¯vairocana Su¯tra (T.D. no. 848). Vajrabodhi
Heaven). The palace and the cosmos are manifestations of
(Jin’gangzhi) and his disciple Amoghavajra (Bukong) arrived
Maha¯vairocana’s wondrous transformation power (adhis:-
in 720 and produced two selective translations of the
t:ha¯na), which is based on the realization of ultimate uncon-
Sarvatatha¯gatatattvasam:graha (T.D. no. 866, 865). For the
ditioned reality (´su¯nyata¯; emptiness). The unconditioned
next fifty years the wonder-working abilities of these a¯ca¯ryas
and the cosmos manifested through transformative power are
(teachers) and the prestige of their newly imported teachings
presented as a man:d:ala, first as an exterior man:d:ala, then as
bolstered the school until, under Amoghavajra and Emperor
the man:d:ala realized ritually in the heart of the practitioner.
Daizong (r. 762–779), Zhenyan replaced Daoism as the
The massive Commentary (T.D. no. 1796), giving S´ubha¯-
dominant religious force among the elite.
karasim:ha’s oral explanations as recorded by Yixing, is indis-
pensable. Another arrangement of the Commentary by Zhiy-
During the Tang there were two closely related Zhen-
an and Wengu was influential in Tiantai circles.
yan lineages. S´ubha¯karasim:ha and his disciple Yixing con-
centrated on the Maha¯vairocana Su¯tra and its Commentary
There are three versions of the Sarvatatha¯gatatattva-
(T.D. no. 1796) and on the Susiddhika¯ra Su¯tra (T.D. no.
sam:graha, those of Vajrabodhi (T.D. no. 866), of
893). Vajrabodhi, Amoghavajra, and Amoghavajra’s disci-
Amoghavajra (T.D. no. 865), and the complete version of
ples Hanguang, Huiguo, and others concentrated on the
Shihu (T.D. no. 882), which dates from the Song. Those of
Sarvatatha¯gatatattvasam:graha and also incorporated teach-
Vajrabodhi and Amoghavajra are highly abridged selections
ings associated with the Maha¯vairocana Su¯tra. Thus, each
from the text. The Saravatatha¯gatatattvasam:graha, apparent-
lineage had a characteristic textual emphasis. Only the best
ly written in South India, also begins in the Akanis:t:ha Heav-
disciples were initiated into both. Amoghavajra’s synthesis
en and presents a series of man:d:alas based on a fivefold
was the most influential, although the lineage and teachings
visionary structure through which the bodhisattva Sarva¯r-
of S´ubha¯karasim:ha continued to be transmitted. Both lin-
thasiddha realizes his identity with Maha¯vairocana as the un-
eages had links to non-Esoteric sects; that of S´ubha¯karasim:ha
conditioned dharmaka¯ya. Thus, he also realizes his identity
has great influence in Tiantai, while that of Vajrabodhi de-
with all of the Buddha’s wondrous transformations, which
veloped links to Huayan. A similar situation developed in
form the conditioned world. Amoghavajra’s Shibahui zhigui
Japan as the Shingon and Tendai Esoteric lineages (To¯mitsu
(T.D. no. 869) is important in understanding the Tattvas-
and Taimitsu, respectively) interacted with each other and
am:graha.
with other sects. Following Amoghavajra’s death in 774 his
A third text important to the Zhenyan school is the
disciples continued to perform rituals in the Imperial Chap-
Susiddhika¯ra Su¯tra (T.D. no. 893), a ritual compendium
el, at the Green Dragon and Da Xingshan temples in
translated by S´ubha¯karasim:ha and closely associated with the
Chang’an, and at the Golden Pavilion on Mount Wutai. At
Maha¯vairocana Su¯tra. During the ninth century some lin-
the beginning of the ninth century Japanese clerics such as
eages regarded the Susiddhika¯ra Su¯tra as the synthetic con-
Saicho¯ (767–822), the founder of Tendai, and Ku¯kai (774–
junction of the Maha¯vairocana Su¯tra and the Sarvatatha¯ga-
835), founder of Shingon and disciple of Huiguo, studied
tatattvasam:graha, calling Zhenyan the “Triple Great Dhar-
the teachings in China. Zhenyan continued to be popular at
ma.” Some of Amoghavajra’s disciples referred to the total
the court and spread among the upper classes in the prov-
Zhenyan teaching as “the Manuals of Siddhi, the Eighteen
inces. It suffered during the Huichang persecution of 845
Assemblies [of the Sarvatatha¯gatatattvasam:graha], and the
but was not completely extinguished.
Maha¯karun:a¯garbha Man:d:ala [of the Maha¯vairocana Su¯tra]”
Zhenyan showed renewed vitality during the Song
(T.D. 50.294b).
dynasty owing to a final wave of missionaries from India.
TEACHINGS. The basic teachings of Zhenyan are common
Shihu, Fatian, and Faxian presided over an Esoteric revival,
to both textual traditions. Zhenyan teaches the ritual realiza-
translating new scriptures and producing complete transla-
tion of the paradoxical identity of nirva¯n:a and sam:sa¯ra, of
tions of earlier works, such as Shihu’s 1002 CE version of the
the unconditioned and the world, of Buddha and humans.
Sarvatatha¯gatatattvasam:graha (T.D. no. 882). Zhenyan ritu-
This conjunction is a primary organizing motif in the major
al elements continued to penetrate other Buddhist sects and
texts and in Chinese commentary and ritual adaptions.
when its lineages died these elements continued in the other
sects and in popular traditions. Esoteric Buddhism had two
The Three Mysteries. Zhenyan proclaims the goal of
further revivals. The first was under the impact of Lamaism
enlightenment in this world, in this body, not in some dis-
during the Yuan (1206–1368), the second during the nine-
tant land aeons hence. According to the Maha¯vairocana
teenth century with the reintroduction of the school from
Su¯tra, “the complete Zhenyan altar is first established in your
Japan.
own body. . . . [Maha¯vairocana] is in this body” (T.D.
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ZHENYAN
18.36c). This immanental realization and a closely guarded
to expel invading armies. The same rite has an inner mean-
initiatory structure distinguish Zhenyan from exoteric Bud-
ing: one’s defilements are incinerated and enlightenment at-
dhism. Enlightment is actualized in ritual through the three
tained. Ritual activity in the world, which is performed for
mysteries (Chin., sanmi; Skt., triguhya) of body, speech, and
the salvation of beings, is paradoxically an exercise in one’s
mind. The practitioner realizes that his body, speech, and
own enlightenment. The second typology of siddhi, which
consciousness in meditation are identical with those of
may reflect Tiantai or even Daoist influence, posits three le-
Maha¯vairocana. The Three Mysteries therefore allow the
vels of siddhi: superior, middling, and inferior. Superior sidd-
practitioner to realize that bodhi, the thought of enlighten-
hi is said to lead to transcendence and emptiness. Middling
ment, exists within us. Enlightenment is accomplished
siddhi leads to the various heavenly realms, while inferior sid-
through a ritual realization of the enlightened state guided
dhi leads to command of illusion. We are further told that
by iconographic, mantric, and meditational conventions.
inferior siddhi may yield superior attainment and vice versa
(T.D. 18.614a–614c).
A key to realizing the Three Mysteries is meditation on
the Sanskrit seed syllable A. The Maha¯vairocana Su¯tra says,
BUDDHOLOGY. Zhenyan teaching on the nature and func-
“What is the Zhenyan Dharma? It is [the teaching of] the
tion of the Buddha is similar to that of other Vajraya¯na tradi-
letter A” (T.D. 18.10a). A, the first letter in the Sanskrit al-
tions. Zhenyan posits two theories concerning the Buddha’s
phabet, is also a negative prefix. Thus, it represents the con-
bodies. The first is the triple-body theory. The dharmaka¯ya,
junction of the conditioned and the unconditioned, of
or body of dharma, represents the unconditioned thought of
sam:sa¯ra and nirva¯n:a, and is the symbol of Maha¯vairocana
enlightenment in itself; sam:bhogaka¯ya, or body of bliss, rep-
and of bodhi. Through ritual and meditation this seed is
resents the wondrous powers achieved through compassion-
nurtured in the heart, and the meditator becomes
ate deeds; nirma¯n:aka¯ya is the form taken by a Buddha to
Maha¯vairocana.
apply those powers in aid of suffering beings. The three bo-
dies thus parallel the triade bodhi, compassion, and skill in
Bodhisattva path. In Maha¯ya¯na Buddhism the path to-
means. In Zhenyan ritual, the three bodies are realized simul-
ward Buddhahood is the arduous one of the bodhisattva. It
taneously. Enlightenment and salvific activity form a con-
begins with the arousal of the thought of enlightenment
junction in compassion. The consecration ritual (abhis:eka)
(bodhicitta) and passes through ten stages over a period of
is therefore the paradigm of all ritual, for in it the disciple
three great kalpas (aeons). Zhenyan collapses the path into
is consecrated as sam:bhogaka¯ya. Bodhi (dharmaka¯ya) and skill
a ritual process; the three kalpas are interpreted not as units
and means (nirma¯n:aka¯ya) are joined in compassion
of time but as defilements to be eliminated. “If one tran-
(sam:bhogaka¯ya). The second theory distinguishes three wheel
scends the three kalpas in one’s lifetime, then in one life one
bodies (san lunshen, tricakraka¯ya). The first wheel,
attains Buddhahood. Why should time be discussed?” (T.D.
svabha¯vacakraka¯ya, is Buddhahood in itself. It manifests it-
39.600c). From the Esoteric perspective, the last stage of the
self in beneficent or horrific forms. Beneficent manifesta-
path is contained in the first. Thus, there are two interpreta-
tions such as Avalokite´svara (Guanyin) practice compassion
tions of the statement in the Maha¯vairocana Su¯tra that
and, according to Amoghavajra, are equivalent to the
“bodhi is the cause, compassion (karun:a¯) the root, skill in
sam:bhogaka¯ya. Horrific manifestations such as the vidya¯ra¯jas
means (upa¯ya) the outcome” (T.D. 18.1b–1c). The exoteric
Trilokyavijaya and Acala, utilize skill in means to chastise
view indicates the development of the bodhisattva through
and discipline beings. The Three Wheels are ultimately one.
time. From the Esoteric viewpoint, all three—bodhi, com-
Much of Zhenyan ritual is devoted to the third wheel.
passion, and skill in means, the beginning, middle, and end
of the path—are accomplished ritually as a piece. They are
The two man:d:alas. Unlike most Vajraya¯na traditions,
a whole, as are roots, trunk, and branches of a tree. Zhenyan
Zhenyan focuses on a pair of man:d:alas, the Womb Man:d:ala,
collapses the beginning and end of the path: the disciple and
drawn primarily from the Maha¯vairocana Su¯tra, and the Di-
the Buddha are really identical.
amond Man:d:ala, drawn from the Sarvatatha¯gatatattva-
sam:graha. The Womb Man:d:ala of Great Compassion
The goal: siddhi. Success in Zhenyan ritual is called
(Maha¯karuna¯-garbhodbha¯va Man:d:ala) is a graphic represen-
siddhi (accomplishment; Chin., chengjiu). There are two
tation of the cosmos as the wondrous transformations, born
major typologies of siddhi. The first is found in the
of compassion and based on bodhi, of Maha¯vairocana. The
Maha¯vairocana Su¯tra and is associated with the lineage of
term garbha has two meanings. It is bodhi, the embryo of en-
Amoghavajra; the second is propounded in the Susiddhika¯ra
lightenment present in all beings, as well as the womb of
Su¯tra and in S´ubha¯karasim:ha’s Commentary. According to
compassion and skill in means in which the embryo grows.
the Maha¯vairocana Su¯tra, mundane, or outer siddhi (laukika-
The man:d:ala has three courts. The first is an eight-petaled
siddhi) is overtly aimed at the application of wondrous trans-
lotus on which Maha¯vairocanais enthroned amid four bud-
formative powers (skill in means) to aid in the salvation of
dhas and four bodhisattvas. This court represents the seed of
beings. Supermundane, or inner, siddhi (lokottarasiddhi) is
bodhi, of enlightened wisdom present in the cosmos. An in-
aimed at the achievement of enlightenment. All Zhenyan rit-
termediate court is dominated by beneficent manifestations
ual has both components. Burnt offerings (homa), for exam-
that embody compassion, such as Avalokite´svara, Mañju´sr¯ı,
ple, involve placing things in a fire and might be performed
and Ks:itigarbha. The Court of the Outer Vajras represents
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Ma¯havairocana’s skill in means as manifested through the
butions. Maha¯vairocana, formerly associated with the color
vidya¯ra¯jas and the Hindu gods in the traditional Buddhist
blue and the element ether, was now associated with yellow
six destinies (gati). Thus the man:d:ala embodies the triade
and earth, the traditional attributes of the Chinese sovereign
bodhi, compassion, and skill in means.
and those chosen by the Tang rulers. It is even possible that
the paired cosmograms, the Hetu and the Luoshu, influenced
The Diamond Man:d:ala is actually a selection of nine
Zhenyan’s pair of man:d:alas.
man:d:alas from the many presented in the Sarvatatha¯ga-
tatattvasam:graha. The central man:d:ala, the Vajradha¯tu
Another Chinese development was Amoghavajra’s pro-
Maha¯man:d:ala, is the most important since the others are de-
motion of Vajraya¯na as the best method both for the attain-
rived from it. The Vajradha¯tu Maha¯man:d:ala represents the
ment of enlightenment and for the protection of the state.
fivefold wisdom that is the basis of enlightenment. The
Such a teaching appealed to the mid-Tang emperors, for it
man:d:ala has three courts. The first is the Akanis:t:ha Palace
joined lofty theological pursuits with practical application,
of Maha¯vairocana, who is enthroned on a lunar disk and sur-
and after the An Lushan rebellion the emperor needed all the
rounded by four Buddhas representative of aspects of his wis-
aid he could get. A series of rites was developed for the pro-
dom. Surrounding the palace are the Buddhas of the past,
tection of the state, for the prolongation of the emperor’s life,
present, and future (the bhadrakalpa), whose compassion
for the salvation of the imperial ancestors, and for the propa-
causes the enlightenment of beings. The outer perimeter of
gation of rain. The emperor was hailed as a cakravartin, the
the man:d:ala is populated by twenty Hindu divinities who
universal worldly ruler and counterpart of the Buddha. The
act as protectors of the Dharma. Each of the other man:d:alas
state was portrayed as a Buddha land.
described in the Sarvatatha¯gatatattvasam:graha focuses on a
particular aspect of the whole.
The promotion of the state cult focused on deities who
Both the Womb Man:d:ala and the Diamond Man:d:ala
were compassionately active in the world. The vidya¯ra¯jas, or
are external projections of a reality that must be realized in-
protectors, were important, as were Avalokite´svara and
ternally through the Three Mysteries. Each man:d:ala and
Ks:itigarbha, both of whom figured prominently in rites for
each of the two texts has a separate initiatory tradition
dead imperial ancestors. Mañju´sr¯ı and Samantabhadra, rep-
through which the disciple ritually realizes the reality of
resenting wisdom and the fulfillment of vows, were frequent-
Maha¯vairocana in the center of the cosmos.
ly paired, as for instance, at the Golden Pavilion on Mount
Z
Wutai and in Taiyuan, the imperial clan seat.
HENYAN AS CHINESE VAJRAYA¯NA. The Zhenyan a¯ca¯ryas
lived in a great cosmopolitan city, Chang’an, a milieu in
THE LEGACY OF ZHENYAN. Although sectarian Zhenyan dis-
which Confucian, Buddhist, and Daoist, and even Muslim
appeared after the Song dynasty, it had widespread influence
and Nestorian ideas were freely exchanged. Many of Zheny-
on Chinese Buddhism. The use of mantra and dha¯ran:¯ı per-
an’s distinctive teachings were articulated for this audience.
meated other Buddhist groups, including some Pure Land
Zhenyan’s preoccupation with two man:d:alas is a distinctive-
and Chan sects. Tales of wonder-working a¯ca¯ryas added to
ly Chinese adaption of Vajraya¯na teachings. Since the two
popular lore. Zhenyan and Daoism influenced each other.
textual lineages came to be regarded as a pair, the man:d:alas
During the Six Dynasties, Tantric rituals such as consecra-
drawn from them also constitute a pair. Just as each man:d:ala
tion (abhis:eka) and pseudo-Sanskrit mantras were already in
expresses the conjunction of conditioned and unconditioned
use in Daoist circles. Zhenyan ritual structures, used in rites
reality, so too, during the late eighth century, did the pair
for imperial ancestors, and even some of the divinities, such
became a graphic shorthand for that conjunction. Through
as Dizang (Ks:itigarbha), were emulated in Daoist Esoteric
a reinterpretation of Chinese philosophical categories the
rites dating from the Song. These ancestor rites have re-
Womb Man:d:ala was said to represent Maha¯vairocana’s nu-
mained an economic mainstay for both the Daoists and the
minous reality (li), bodhi as universally present in the Bud-
Buddhists. The tremendous increase in the popularity of
dha’s compassionate activities. The Diamond Man:d:ala rep-
Guanyin during the Tang and Song is also attributable in
resented the enlightened mind in itself, wisdom (zhi). There
part to Zhenyan. Guanyin, in one form or another, is in-
is evidence that this synthesis was taught by Amoghavajra’s
voked in many of Zhenyan’s public rites. Thus, even after
disciple Huiguo, and it may even have been initiated by
Amoghavajra.
its demise as a recognizable sect, Zhenyan continued to shape
Chinese tradition. Finally, it transformed Japanese Bud-
Another distinctive innovation is the selection of nine
dhism through the teachings of such clerics as Saicho¯ and
man:d:alas from the Sarvatatha¯gatatattvasam:graha and their
Ku¯kai, who formally introduced the sect to Japan.
arrangement in a three by three square. The configuration
is clearly based on the Luoshu, one of a pair of ancient Chi-
SEE ALSO Amoghavajra; Avalokite´svara; Bodhisattva Path;
nese cosmograms representing the earthly realm. This cos-
Buddhas and Bodhisattvas; Buddhism, Schools of; Karun:a¯;
mogram was the basis of an imperially sponsored Daoist cult
Ks:itigarbha; Maha¯siddhas; Maha¯vairocana; Man:d:alas, article
of Taiyi (surpassing unity), in which the sovereign of the uni-
on Buddhist Man:d:alas; Mañju´sr¯ı; Nirva¯n:a; Prajña¯; Saicho¯;
verse circulated through a court of nine thrones. Moreover,
Shingonshu¯; Soteriology; S´ubha¯karasim:ha; Upa¯ya; Vajra-
Amoghavajra changed the man:d:ala’s traditional Indian attri-
bodhi.
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ZHIYAN
BIBLIOGRAPHY
and sophisticated historical and doctrinal reasoning. Mat-
sunaga Yu¯kei’s Mikkyo¯ no rekishi (Kyoto, 1969) is compre-
Works in Western Languages
hensive, readable, and views Esoteric Buddhism in the con-
The only work available in a Western language that is devoted ex-
text of the Tantric systems of India and Tibet. Although old,
clusively to Zhenyan is Chou I-liang’s monograph-length ar-
somewhat hard to find, conservative, and written in Classical
ticle “Tantrism in China,” Harvard Journal of Asiatic Studies
Chinese, Omura Seigai’s Mikkyo¯ hattatsushi, 5 vols. (1918;
8 (March 1945): 241–332, an annotated translation of the
reprint, Tokyo, 1972) is by far the best textual history of
standard biographies of S´ubha¯karasim:ha, Vajrabodhi, and
Zhenyan. Finally, I would still recommend two old works by
Amoghavajra. Amoghavajra’s role in the court with particu-
Toganoo Shoun. His Himitsu bukkyo¯shi (Kyoto, 1933),
lar reference to the Golden Pavilion on Mount Wutai and
which was reprinted as vol. 9 of Gendai bukkyo¯ meicho
the cult of Mañju´sr¯ı is discussed in Raoul Birnbaum’s Studies
zenshu¯, edited by Nakamura Hajime, Masutani Fumio, and
on the Mysteries of Mañju´sr¯ı (Boulder, Colo., 1983). The
Joseph M. Kitagawa (Tokyo, 1964), provides excellent his-
Japanese monk Ennin gives us an eyewitness account of
torical coverage, and his Mandara no kenkyu¯ (Kyoto, 1936),
Zhenyan just before the persecution of 845 in his diary,
which chronicles the development and use of man:d:alas in
translated by Edwin O. Reischauer as Ennin’s Diary: The Re-
Esoteric Buddhism beginning in India, has yet to be sur-
cord of a Pilgrimage to China in Search of the Law (New York,
passed. Most Japanese works still hold that Tantra emerged
1955). Fotudeng’s exploits are recounted by Arthur F.
in Buddhism at the time of its first textual appearance, that
Wright in “Fo-t’u-têng: A Biography,” Harvard Journal of
is in the seventh century. Alex Wayman has recently put for-
Asiatic Studies 11 (1948): 321–371. There are several studies
ward persuasive arguments for dating some Buddhist Tantric
of Shingon, the Japanese offspring of Zhenyan, that cover
texts some three to four centuries earlier in “The Early Histo-
material in Zhenyan history and texts. These studies present
ry of the Buddhist Tantras, Especially the Guhyasama¯ja Tan-
valuable material but must be used with caution, as they ad-
tra,” in his The Buddhist Tantras: Light on Indo-Tibetan Es-
vance Shingon interpretations of Zhenyan; these interpreta-
oterism (New York, 1973).
tions are not always faithful to those of the Zhenyan masters.
In English, see Yoshito S. Hakeda’s Ku¯kai: Major Works
New Sources
(New York, 1972) and Minoru Kiyota’s Shingon Buddhism
Abe, R. The Weaving of Mantra: Kukai and the Construction of Eso-
(Los Angeles, 1978).
teric Buddhist Discourse. New York, 1999.
Brown, R. L. Ganesh: Studies of an Asian God. Albany, N.Y., 1991.
On the man:d:alas, Beatrice Lane Suzuki’s article on the Womb
Man:d:ala, “Shingon School of Maha¯ya¯na Buddhism: II, The
Chen, Jinhua. “The Construction of Early Tendai Esoteri Bud-
Mandara,” Eastern Buddhist 7 (May 1936): 1–38, is helpful.
dhism: The Japanese Provenance of Saicho’s Transmission
Anesaki Masaharu’s “Buddhist Cosmotheism and the Sym-
Documents and Three Esoteric Buddhist Apocrypha Attri-
bolism of Its Art,” in his Buddhist Art in Relation to Buddhist
buted to Subhakarasimha.” Journal of the International Asso-
Ideals (1915; reprint, New York, 1978), is brief but insight-
ciation of Buddhist Studies 21, no. 1 (1998): 21–76.
ful. More difficult to find are two works in French by the
Lopez, Donald S., Jr., ed. Buddhism in Practice. Princeton, 1995.
Shingon priest Tajima Ryu¯jun: Les deux grands man:d:alas et
Meisig, M. Die “China-Lehre” des Saktismus: Mahacinacara-
la doctrine de l’ésotérisme Shingon (Paris, 1959) and Étude sur
Tantra. Wiesbaden, 1988.
le Maha¯vairocana-su¯tra (Paris, 1936). The best full-color il-
Orzech, Charles D. “Seeing Zhenyan Buddhism: Traditional
lustrations appear in Pierre Rambach’s The Sacred Message of
Scholarship and the Vajrayana in China.” History of Religions
Tantric Buddhism, translated by Barbara Bray (New York,
29 (1989): 87–114.
1979).
Watt, Paul B. “Tantric Buddhism in China.” In Buddhist Spiritu-
Works in Asian Languages
ality, edited by Takeuchi Yoshinori, pp. 397–404. New
There is as little secondary material on the Zhenyan school in Chi-
York, 1993.
nese as there is an overabundance of it in Japanese. Chinese
Yamamoto, C., and International Academy of Indian Culture.
scholarship on Buddhism has suffered through a period of
Mahavairocana-sutra: Translated into English from Ta-p’i lu
relative decline in interest during the nineteenth and early
che na ch’eng-fo shen-pien chia-ch’ih ching, the Chinese Version
twentieth century and then through a period of outright su-
of Subhakarasimha and I-hsing, A.D. 725. New Delhi, 1990.
pression during the second half of the twentieth century.
CHARLES D. ORZECH (1987)
Scholarship on Buddhism, Daoism, and other religious tra-
Revised Bibliography
ditions is beginning to revive, but for the moment one must
make do with a few works that present a decidedly Marxist
reading of Zhenyan in particular and of Chinese Buddhism
ZHIYAN (602–668), second patriarch of the Huayan
in general. The most extensive and informative work is Guo
Ming’s treatment of Esoteric Buddhism in his Sui-Tang fo-
school of Buddhism in China. Born in the town of Tianshui
jiao (Ji’nan, 1980), pp. 573–610. More heavy-handed Marx-
near Chang’an, the capital of the Tang dynasty, Zhiyan was
ist interpretations are Gao Guanru’s entry on Esoteric Bud-
the son of an official in Shenzhou province. When Zhiyan
dhism in Zhongguo fojiao, vol. 1 (Beijing, 1980),
was twelve years old his family was visited by the first patri-
pp. 312–318, and Fan Wenlan’s Tangdai fojiao (Beijing,
arch of the Huayan school, Dushun, who claimed that Zhiy-
1979), pp. 36–46.
an was his son and should be returned to him. This declara-
There is a wide range of secondary works in Japanese, but nearly
tion was taken by Zhiyan’s parents to mean that Zhiyan was
all treat Zhenyan from the perspective of Shingon. The best
to become a Buddhist monk, and they thus entrusted him
of these, however, are distinguished by careful scholarship
to Dushun.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZHIYI
9965
Ordained in 615, Zhiyan studied Buddhism, mainly the
BIBLIOGRAPHY
thought of the She dasheng lun (Maha¯ya¯nasam:graha) and,
Kamata Shigeo. Chugoku kengonshisoshi no kenkyu. Tokyo, 1965.
later, the thought of the Huayan jing (Maha¯vaipulya-
Pages 79–106 discuss Zhiyan’s importance to the Huayan
buddhagan:d:avyu¯ha Su¯tra), under many famous Buddhists.
tradition.
During this period he also mastered Sanskrit. His reading of
Kimura Kiyotaka. Shoki chugoku kegonshiso no kenkyu. Tokyo,
the Huayan jing shu (Commentary on the Huayan jing) by
1977. This work, a comprehensive study of early Huayan
Huiguang, the founder of the Nandao branch of the Dilun
Buddhism, focuses on Zhiyan’s thought.
school, greatly contributed to his religious development.
KIMURA KIYOTAKA (1987)
Shortly after this he met a monk who taught him to consider
the meaning [of] the Huayan teaching of liuxiang (“six as-
pects” of reality). At the age of twenty-seven, having followed
this monk’s teaching, he is said to have realized the truth of
ZHIYI (538–597), third patriarch of the influential
the “One Vehicle.” Thereafter, he wrote his commentary on
Tiantai school of Chinese Buddhism. This man is often re-
the Huayan jing, the Souxuan ji. By pursuing this religious
garded as having united Chinese Buddhism into a coherent
path Zhiyan became the leader of the Huayan school at the
whole by resolving doctrinal and practical strains that had
Zhixiang Si on Mount Zhongnan. Although Zhiyan did not
plagued Buddhism virtually from the time of its introduction
seek social influence, honor, and wealth, he did engage in so-
into China. His literary output was prodigious: about one
cial activity when, late in his life, he became a private teacher
thousand pages of the Taisho¯ edition of the Chinese Bud-
of Xian, the king of Pei. This occurred while he was staying
dhist canon are devoted to his extant works, a sum that
at the Yunhua Si in Chang’an.
would correspond to about nine thousand pages in unan-
notated English translation.
Zhiyan’s greatest influence was in the development and
systematization of Huayan doctrine. His work was to pave
More important, however, than the sheer volume of his
the way for Fazang’s subsequent completion of Huayan
works is their synthesizing nature. Zhiyi was born at a time
thought. Zhiyan created the method of classifying the Bud-
when Chinese Buddhism was beginning to move from un-
dhist teachings into five grades, arranged according to the
questioning fidelity to Indian Maha¯ya¯na doctrines and prac-
subtlety of the doctrines, and founded the teaching of fajie
tices toward a more mature synthesis of Indic and Chinese
yuanqi (“dependent origination of the True Realm”). These
religious values. Zhiyi was not the only man of his era to con-
doctrines were given their final form by Fazang, one of his
tribute to this synthesis: it is well known, for instance, that
disciples. However, Zhiyan had his own character, one dif-
he borrowed heavily from the “three southern and seven
ferent from both those of his teachers and of his disciples.
northern” teachers in constructing his own system of doctri-
For example, he placed high emphasis on Tanqian’s Wang-
nal classification (panjiao). However, Zhiyi’s scheme of doc-
shifei lun, a work that praised what it termed wuxin (“the
trinal classification proved to be more comprehensive and in-
mind beyond functions”), a mental state based upon the
fluential than those of his predecessors and contemporaries,
thought of Zhuangzi, and esteemed Xinxing’s Sect of
in part because of his success at incorporating religious prac-
the Three Stages, which was generally treated as heretical.
tice as well as doctrine into his great synthesis. In short, he
Zhiyan’s extant works are as follows:
is credited with having united practice with doctrine and
doctrine with practice, whereas his predecessors had attempt-
1. Souxuan ji (T.D. no. 1732)
ed only to arrange the various doctrines in the su¯tras into an
2. Yisheng shixuan men (T.D. no. 1868)
understandable and consistent whole. His role in uniting
these two tendencies in Chinese Buddhism has often been
3. Wushiyao wenda (T.D. no. 1869)
compared to the political achievement of his patron Sui
Wendi, the first emperor of the Sui dynasty, who succeeded
4. Huayan jing kongmu zhang (T.D. no. 1870)
in uniting the north and south of China for the first time
5. Jin’gang jing lüeshu (T.D. no. 1704)
in some three and a half centuries. The analogy is apt in that
Buddhist historiography commonly views the north of
Zhiyan had two disciples of special importance for the tradi-
China before the Sui as having been oriented toward the
tion. The first, Fazang (643–712), went on to become the
practical side of Buddhism, just as its leaders were men of
great systematizer and so-called third “patriarch” of Huayan
action, often non-Chinese in ancestry, while the South then
Buddhism in China. Through his efforts, Huayan became
tended toward the theoretical or doctrinal side, its leaders
one of the prestigious and lavishly patronized traditions of
and upper classes being aristocrats and Chinese scholar-
the Tang dynasty (618–907). The other, Uisang (625–702),
officials. Thus in uniting doctrine and practice, Zhiyi united
returned to his native Korean state of Silla and was instru-
southern and northern religious cultures in a way compara-
mental in establishing Huayan as one of the most important
ble to the feat of his imperial patron. In his own words, these
Buddhist traditions there.
two aspects of Buddhism must be considered analogous to
the “two wings of a bird” or the “two wheels of a cart,” each
SEE ALSO Fazang; Huayan; U
˘ isang.
valueless without the other. Zhiyi, therefore, was a kind of
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9966
ZHIYI
nodal point in the development of Chinese Buddhism, em-
tices, each of which had its own adherents, could be the
bracing in his synthesis virtually all that went before, and in-
product of a historically continuous revelation, beginning
fluencing virtually all that came after.
with the Buddha’s preaching of the Avatam:saka Su¯tra and
culminating in the message of the Lotus and Nirva¯n:a Su¯tras,
In terms of formal lineage Zhiyi stands third in the line
Zhiyi was able successfully to integrate them all into a single,
of Tiantai patriarchs, following the semilegendary Huiwen
coherent system. His great synthesis made it possible for the
and the historically attested Huisi. However, Zhiyi is gener-
many branches of Chinese Buddhism to be regarded by their
ally regarded as the de facto founder of the Tiantai school,
adherents as aspects of a loosely integrated, self-consistent
named for the mountain where Zhiyi built his most impor-
whole.
tant monastery. Because it was associated so closely with the
rulers of the Sui, Tiantai suffered an eclipse with the rise of
A related and highly influential teaching of Zhiyi is the
the Tang dynasty (618–907 CE), whose rulers were eager to
doctrine of the Three Truths: Empty, Provisional, and—
dissociate themselves from the ideological underpinnings of
Zhiyi’s addition—Middle. This may be regarded as a Chi-
Sui rule. The school was revived a century and a half later
nese emendation, or even improvement, on the pivotal Indi-
by the monk Zhanran (711–782), one of whose disciples
an Maha¯ya¯na concept of the Two Truths, first expounded
transmitted the Tiantai teachings to the Japanese monk
by Na¯ga¯rjuna. While the Indians discerned two levels of
Saicho¯ (767–822). Saicho¯ in turn introduced the lineage to
meaning in the su¯tras (i.e., in the Buddha’s pronounce-
Japan, where it soon became the dominant tradition. Its cen-
ments) and regarded the Empty (´su¯nya) as superior to the
ter, Mount Hiei near Kyoto, became the training ground for
Provisional, Zhiyi and the Chinese Buddhist tradition after
most of the key figures in the development of Kamakura
him were uncomfortable with this Indian equation of ulti-
Buddhism. The Tiantai lineage continues to the present day,
mate truth and emptiness. To them, such a formulation
with active branches in Taiwan and especially Japan, al-
seemed too nihilistic. Zhiyi was able to find passages in
though nothing is known about the situation in China
Na¯ga¯rjuna’s works that justified the addition of a third
proper.
Truth, namely the Middle, which he also styled the Perfect
Among Zhiyi’s works the two most prominent are the
Teaching. This third level of truth became characteristic of
Fahua xuanyi (Profound meaning of the Lotus Su¯tra) and the
the fundamental orientation of Chinese Buddhism, affirm-
Mohe zhiguan (The great calming and contemplation, or The
ing as it does that ultimate reality (or truth) is not to be
practice of meditation according to the Maha¯ya¯na). The for-
found apart from mundane reality (or truth), that the world
mer is his principal work on doctrine, the latter his principal
as it is is already identical to the Absolute. The corollary of
work on practice, but Zhiyi was careful to relate each aspect
this doctrine is the assertion that all beings have the buddha
to the other in both works. He applied a tripartite analysis
nature, that is, that without exception all beings have the ca-
to both doctrine and practice, which he classified as sudden,
pacity for buddhahood. Scarcely any school or teacher in
gradual, or variable. The “sudden” doctrine (or teaching) re-
East Asian Buddhism has deviated from these two related
fers to the Avatam:saka Su¯tra, understood by Zhiyi and some
teachings, and their influence upon Chan and Zen was par-
of his predecessors as the text expounded by the Buddha to
ticularly significant. While Zhiyi cannot be said to have orig-
a mostly uncomprehending audience immediately after his
inated them—he was always careful to provide scriptural ci-
enlightenment. It is referred to as “sudden” because it pur-
tations for his doctrines, and other Chinese monks were
ports to reveal the Buddha’s direct experience of enlighten-
exploring similar notions before him—he argued them with
ment just as it is, without making any concessions to the
greater eloquence and made them an essential part of his in-
need of its audience for a more “gradual” exposition of the
calculably influential summation of Buddhist doctrine and
nature of the experience. “Gradual” doctrines (or teachings)
practice.
refer to the succeeding four stages of the Buddha’s teaching,
during which he was said to have gradually trained his listen-
SEE ALSO Tiantai.
ers, in su¯tra after su¯tra of deepening truth, for the final reve-
lation of the Lotus and Nirva¯n:a Su¯tras, commonly believed
to be the last discourses of the Buddha. “Sudden meditation”
BIBLIOGRAPHY
is the kind of meditation expounded in the Mohe zhiguan,
Ch’en, Kenneth. Buddhism in China: A Historical Survey. Prince-
in which preliminary practices are dispensed with and “ulti-
ton, 1964. The most readable and comprehensive survey
mate reality is taken as the object of meditation from the very
available on Chinese Buddhism. One chapter is devoted to
Tiantai and discusses Zhiyi.
beginning.” Gradual meditation, like the gradual teaching,
moves step by step toward the goal. Finally, by “variable”
Hurvitz, Leon N. Zhiyi (538–597): An Introduction to the Life and
Zhiyi meant certain texts and practices that could function
Ideas of a Chinese Buddhist Monk. Brussels, 1962. A wealth
as either sudden or gradual, depending upon the level of reli-
of biographical information. However, the sections on
gious attainment of the practitioner.
Zhiyi’s teachings must be used with caution, as the “five peri-
ods and eight teachings” delineated here have recently been
The strength of Zhiyi’s system lies in its comprehensive-
found to represent not Zhiyi’s thought, but that of a much
ness. By showing how a variety of disparate texts and prac-
later Korean Tiantai monk.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZHOU DUNYI
9967
New Sources
and forms the foundation of the two major symbols of the
Donner, Neal, and Daniel B. Stevenson. The Great Calming and
Yi jing (Book of changes): qian, the heavenly principle, and
Contemplation: A Study and Annotated Translation of the First
kun, the earthly principle, themselves again symbols of male
Chapter of Zhiyi’s “Mo-ho chih-kuan.” Honolulu, 1993.
and female. Humankind in Zhou Dunyi’s system receives
Penkower, Linda. “In the Beginning. . . Guanding (561–632)
the highest, most rarefied form of the Five Elements, and
and the Creation of Early Tiantai.” Journal of the Internation-
thus is seen as capable of playing a critical role in the life of
al Association of Buddhist Studies 23, no. 2 (2000): 245–296.
the universe. On this point the system finds its characteristi-
Swanson, Paul L. Foundations of T’ien-T’ai Philosophy: The Flow-
cally Confucian focus, for in humankind lies the foundation
ering of the Two Truths Theory in Chinese Buddhism. Berke-
for understanding the universe as a whole. Particularly in the
ley, 1989.
ideal form as a sage, the human being is the central figure
Swanson, Paul L. “Understanding Zhiyi: Through a Glass, Dark-
in the universe. In this way, a metaphysical framework is es-
ly?” Journal of the International Association of Buddhist Studies
tablished that incorporates the Confucian emphasis upon the
17, no. 2 (1994): 337–360.
unique relation of humankind and heaven (tian) that forms
the basic moral structure of the universe.
Swanson, Paul L. “What’s Going On Here? Zhiyi’s Use (and
Abuse) of Scripture.” Journal of the International Association
One of the most frequently debated points of Zhou
of Buddhist Studies 20, no. 1 (1997): 1–30.
Dunyi’s thought is the first sentence of his Explanation of the
NEAL DONNER (1987)
Diagram of the Great Ultimate. The sentence reads “The Ul-
Revised Bibliography
timate of Non-being and also the Great Ultimate!” (Chan,
1963, p. 463). The wuji, or Ultimate of Non-being, is often
cited as evidence of Daoist influence, for it first occurs in the
Dao de jing. To simply identify its source does not, however,
ZHOU DUNYI (1017–1073), also known as Zhou
explain what particular meaning it has for Zhou Dunyi.
Lianxi, was the first major neo-Confucian thinker generally
From Zhou’s point of view the entire universe, all being it-
credited with formulating a Confucian cosmology and meta-
self, is ultimately derived from the Great Ultimate. By sug-
physics. Zhou Dunyi was a native of Daozhou in modern
gesting that the Great Ultimate is also the Ultimate of Non-
Hunan province in China. Zhou held a series of modest offi-
being, Zhou affirms the all-inclusive nature of the source of
cial positions throughout his career but because he refused
things. The measure of its all-inclusiveness is that even its
to participate in the official civil service examinations, he was
own opposite is included: there is nothing that is excluded
limited in the positions he could occupy and never achieved
from the Great Ultimate. This interpretation of the Great
high level appointments with their accompanying status and
Ultimate also has a very practical side to it, for by suggesting
recognition. He briefly served as tutor to both Cheng Hao
that the Great Ultimate includes the Ultimate of Non-being,
(1032–1085) and Cheng Yi (1033–1107), the brothers who
Zhou Dunyi emphasizes the degree to which Confucianism
were to become major exponents of what later became
already includes Buddhist and Daoist symbols. Thus, what
known as the two principal schools of neo-Confucianism.
the Buddhists refer to as emptiness (kong) or the Daoists as
Apart from his interactions with the Cheng brothers, he was
voidness (xu) is, according to Zhou, already subsumed in the
generally not a well known figure until Zhu Xi (1130–1200)
Great Ultimate. This is not to be understood as some kind
later raised his status to one of the founding figures of the
of syncretism, but instead as a reaffirmation of the Confucian
neo-Confucian movement. It seems to have been primarily
claim for the ontological priority of the Great Ultimate and
for his role in the development of a neo-Confucian cosmolo-
thus of the Confucian affirmation of life itself as the ultimate
gy and metaphysics that Zhou Dunyi was considered by Zhu
ground for the achievement of sagehood.
Xi to be the first teacher in the traditional lineage of neo-
Confucians. Zhou Dunyi’s major exposition of this cosmolo-
There are other areas of Daoist influence in Zhou’s
gy and metaphysics, an interest new to the Confucian school,
thought beyond that evinced in his interpretation of the
is found in his two major works, the Taijitu shuo (An expla-
Great Ultimate. At the center of his practices and teachings
nation of the diagram of the Great Ultimate) and the Tong-
are the ideas of quietude or tranquillity (jing) and desireless-
shu (Penetrating the book of changes).
ness (wuyu). The sage is defined by Zhou Dunyi as one who
is able to achieve a state of profound quietude and who is
At the center of Zhou Dunyi’s system of thought lies
without desires. Zhu Xi felt that such ideas if carried to excess
what is called the Diagram of the Great Ultimate, which may
could lead dangerously close to the ways of the Buddhists
have been transmitted to him by a Daoist priest. For Zhou,
and the Daoists. It may be because of this reservation that
the Great Ultimate (taiji) is seen as the source of all things
Zhu Xi chose to emphasize the metaphysical structure of
in the universe, that which lies both within and behind all
Zhou Dunyi’s thought and qualified Zhou’s views by insist-
things. In its capacity for tranquillity it gives rise to yin, the
ing upon the need for serious study rather than the cultiva-
symbol of the mysterious and the female in Chinese thought.
tion of states of quietude and desirelessness.
In its capacity for activity it gives rise to yang, the symbol of
the rational and the male. It is the source of the basic patterns
The religious significance of Zhou Dunyi’s thought for
or phases of change known as the Five Elements (wuxing)
the development of neo-Confucianism is found in part in the
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ZHUANGZI
degree to which he isolates the Great Ultimate as a symbol
his disciples; a “Primitivistic” Daoist author with ideas akin
of ultimate meaning. The significance of this symbol persists
to those of the Dao de jing, who responded to the challenge
throughout the course of the neo-Confucian tradition and
of the followers’ individualist thinker Yang Zhu; and the
reaffirms the central Confucian idea of the ultimate impor-
“Syncretic” Daoist authors who likely compiled the original
tance of life. But Zhou Dunyi’s own life serves as a neo-
recension of the text. The received version in thirty-three
Confucian religious model as well. In Zhou Dunyi we have
chapters was established by the commentator Guo Xiang
someone who told his disciples that the whole purpose of
(d. 312 CE), who revised a fifty-two chapter original recen-
learning is to achieve the goal of sagehood, and someone who
sion first listed in imperial bibliographies circa 110 CE by re-
in his own life displayed a seriousness and a humility that
moving material he thought was superstitious and generally
speak directly to the authenticity of the neo-Confucian reli-
not of philosophical interest. This received Guo version is
gious perspective. When asked at one point why he refrained
traditionally divided into three sections: “Inner Chapters”
from cutting the grass outside his window, Zhou said that
(1–7), “Outer Chapters” (8–22), and “Miscellaneous Chap-
the grass’s feeling and his own were the same. This has sug-
ters” (23–33). This division is longstanding and is likely to
gested to most readers Zhou Dunyi’s extraordinary respect
have been part of the original recension.
for and love of all forms of life, not to the detriment of the
The Zhuangzi has become renowned for a series of origi-
unique role of humankind, but rather as the extension and
nal insights into human nature and the nature of the cosmos,
enlargement of humankind’s own focus. It also suggests
and many of these are found in the “Inner Chapters.” These
Zhou Dunyi’s own religious sense of the continuity of all life
insights are communicated in a variety of literary styles: di-
and its common root in the Great Ultimate.
dactic narratives, poetry, and very short prose essays. Like its
S
famous companion, the Dao de jing, the Zhuangzi is ground-
EE ALSO Zhu Xi.
ed in the complementary ideas of Dao and De. Dao, the
B
“Way,” is an ineffable monistic principle that infuses and
IBLIOGRAPHY
Introductory essays on Zhou Dunyi with a partial translation of
guides the spontaneous processes of all phenomena; De,
his major writings are found in the two major sourcebooks
“Inner Power,” is the manifestation of this Way within all
on Chinese thought: A Source Book in Chinese Philosophy,
phenomena. Despite sharing these foundational ideas, these
translated by Wing-tsit Chan (Princeton, 1963),
two Daoist works discuss them very differently. The Dao de
pp. 460–480, and Sources of Chinese Tradition, From Earliest
jing often presents the characteristics and features of the Way
Times to 1600, 2d ed., edited by Wm. Theodore de Bary and
in a discursive style (e.g.; DDJ 1: “The Way that can be told
Irene Bloom (New York, 1999), vol. 1, pp. 669–678. Both
of is not the Constant Way”). On the other hand, the
contain selections from An Explanation of the Diagram of the
Zhuangzi often approaches the Way indirectly through nar-
Great Ultimate and Penetrating the Book of Changes. Zhou
ratives and poetry. Witness the following rumination on
Dunyi’s writings are included in part in a thirteenth-century
epistemological relativity that ends with a vivid pointing to
anthology of neo-Confucianism compiled by Zhu Hsi and
Lü Zuqian, translated into English by Wing-tsit Chan as Re-
the Way:
flections on Things at Hand (New York, 1967). Discussions
What is It is also Other, what is Other is also It. There
of specific aspects of Zhou Dunyi’s thought may be found
they say, “this is true and that is false” from one point
in Fung Yu-lan’s A History of Chinese Philosophy, 2d ed.,
of view; here we say, “this is true and that is false” from
translated by Derk Bodde (Princeton, 1953), vol. 2,
another point of view. Are there really It and Other? Or
pp. 434–451; and Carsun Chang’s The Development of Neo-
really no It and Other? Where neither It nor Other
Confucian Thought, 2 vols. (New York, 1957–1962), vol. 1,
finds its opposite is called the axis of the Way. When
pp. 137–158. General studies including material on Zhou
the axis is found at the center of the circle there is no
Dunyi are Xinghong Yao, An Introduction to Confucianism
limit to responding with either, on the one hand no
(Cambridge, UK, 2000), pp 98–104; John H. Berthrong,
limit to what is it, on the other no limit to what is
Transformations of the Confucian Way (Boulder, Colo.,
not. . . . (chapter 2)
1998), pp. 86–114.
This questioning of the certainty of knowledge from any
RODNEY L. TAYLOR (1987 AND 2005)
normal human viewpoint is another hallmark of the “Inner
Chapters,” as is the considerable degree of humor and irony
with which the most profound insights into the cosmos are
ZHUANGZI. Zhuangzi is both the name of the second
presented. This is true as well for Zhuangzi’s presentation of
foundational text of the Daoist philosophical and religious
Inner Power, which is done through narratives in which the
tradition and the name of the putative author of this text
paragons of its cultivation are skilled tradesmen and the out-
after whom the book was titled, who, according to early his-
casts of society. This flaunting of societal prejudices is anoth-
torical sources, flourished between about 369 and 286
er way in which Zhuangzi challenges entrenched beliefs and
BCE.
While what we know of the philosophy of Zhuangzi comes
demonstrates the breathtaking freedom from fixed conven-
primarily from this work, it is important to realize that the
tions that has delighted readers for two millennia.
Zhuangzi text is not the work of a single author. At the very
The Zhuangzi of the “Inner Chapters” is also known for
least there are five authorial voices: the historical Zhuangzi;
a thorough questioning of the canons, methods, and value
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ZHUANGZI
9969
of discursive logic as practiced by contemporary thinkers in
Zhuangzi’s questioning of logic and his skepticism and rela-
the traditions of the Mohists, Confucians, and Terminolog-
tivism are based upon this shift from fixed cognition to flow-
ists (ming jia). He skewers the presumed objectivity of their
ing cognition, from self-centered perspective to “Way-
categories, arguing that names are purely arbitrary and reveal
centered” perspective. His epistemological critique is thus
no inherent truths about the things that are named. Further-
applied to knowledge derived from fixed cognition. Flowing
more, no matter how sophisticated the logic involved, no ar-
cognition is exempted from this critique because it is this
gument can establish objective truths because all knowing re-
continually changing “Way-centered” perspective from
mains confined to the standpoint of the knower:
which the critique is made.
how do I know that what I call knowing is not igno-
These complementary mystical experiences (merging
rance? How do I know that what I call ignorance is not
with the Great Pervader and pervading and unifying all
knowing? . . . Gibbons are sought by baboons as
things through flowing cognition) are critical for under-
mates, elaphures like the company of deer, loaches play
standing other important philosophical themes for which the
with fish. Maoqiang and Lady Li were beautiful in the
Zhuangzi is renowned. Political involvements are useless en-
eyes of men but when the fish saw them they plunged
tanglements that only inhibit the opportunity to realize these
into the deep, and when the birds saw them they flew
experiences. Naturalness and spontaneity arise directly from
away. Which of these four knows what is truly beautiful
the flowing cognition that is free of attachment to any one
in the world? (chapter 2)
limited perspective. When sages act from this cognitive mode
Inspired by such ideas, comparative philosophers have en-
they can spontaneously respond without self-consciousness
gaged in spirited debate about whether Zhuangzi is a skeptic,
to whatever situation in which they find themselves. This
a relativist, or a perspectivist. Scholars of religion further
freedom from attachment to any individual perspective also
maintain that Zhuangzi’s philosophical relativism does not
leads to the freedom from fear of death and acceptance of
apply to the higher level of cognition he calls “great knowl-
it as part of the natural processes of life that is another of the
edge,” which is attained through the “inner cultivation”
hallmarks of this work.
practices that lead to mystical gnosis. These practices involve
THE DISCIPLES OF ZHUANGZI. With writings as profound
sitting quietly and systematically circulating the breath until
and vibrant as these, the historical Zhuangzi must have had
mind and body become tranquil and the contents of con-
quite a devoted group of followers. It is to them that we owe
sciousness gradually empty. Taken to its ultimate levels, this
both the transmission of his ideas beyond his lifetime and
practice leads to a direct experience of the Way. In the “Inner
at least six chapters of new material, much of it consisting
Chapters” Zhuangzi epitomizes this meditative practice as
of narratives written in the style of the “Inner Chapters” but
“the fasting of the mind” and as “sitting and forgetting:” “I
generally not demonstrating the same creativity and rhetori-
let organs and members drop away, dismiss hearing and eye-
cal skill. Zhuangzi is a figure in about one quarter of these
sight, part from the body and expel knowledge, and merge
narratives, which were probably based on stories told by his
with the Great Pervader. This is what I mean by ‘just sit and
immediate disciples and written down after his death. The
forget’” (chapter 6).
chapters in this section, 17–22, are almost completely devoid
Yet for Zhuangzi this experience of “merging with the
of the philosophical essays, jottings, or even the diatribes we
Great Pervader” (the Way), although profound, is relatively
find in the first third of the book, yet they contain some of
easy compared to the challenges of bringing this gnosis into
its most famous narratives.
the everyday world: “to stop making footprints is easy but
Unlike the “Inner Chapters,” which contain no refer-
it is difficult to walk without touching the ground” (chapter
ences to Laozi the man and to the text of the Dao de jing,
4). This type of ungrounded “walking” has a significant epis-
many of these disciple chapters use ideas and quotations
temological dimension: a distinctive mode of cognition that
from the Dao de jing. Thus they were most likely written
Zhuangzi refers to as “flowing” (yin-shi: literally “to affirm
after this work began circulating widely in China circa 260
by following along”) in contrast to the “fixed” mode of cog-
BCE. To the extent that they recast material from the “Inner
nition (wei-shi: literally “to affirm by forcing”) that is bound
Chapters” in new narrative frameworks and frequently see
to one individual perspective (chapter 2).
it in light of ideas from the Dao de jing, these chapters repre-
Zhuangzi further makes clear that abandonment of
sent a unique blending of the two intellectually foundational
fixed cognition is concomitant with abandonment of attach-
sources of early Daoism. Chapters 23 through 27 and 32 are
ment to the self and with the embracing of a new perspective
much more heterogeneous in their content and contain frag-
grounded in the Way. From this perspective, just as the Way
mentary writings of the followers of Zhuangzi mixed with
is able to “pervade and unify” all things, to see them just as
passages from the other authorial voices in the text.
they are, without bias and without preference, so too are
THE PRIMITIVIST CHAPTERS. Four chapters (8–10, 16) and
sages able to see “all things as equal.” It is just this kind of
half of a fifth (11) espouse a philosophical position similar
mystical seeing that is the essential defining characteristic of
to that found in the Dao de jing, differing principally in that
the “great knowledge” or “illumination” of the flowing cog-
it is not addressed to the ruler. Because of their advocacy of
nition that is developed through inner cultivation practice.
a return to a government and social organization similar to
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ZHUANGZI
that found in primitive tribal utopias, they have been labeled
best ideas of other earlier intellectual lineages within a Daoist
“Primitivist.” They shared a utopian vision and critique of
cosmological framework. Nonetheless, it agrees with the
the Confucians with the Yangists and, under their influence,
Primitivist idea that government should be led by a sage en-
developed the first Daoist theory of human nature that de-
lightened through inner cultivation techniques. In its general
rived from “inner cultivation” and was cast in terms of the
intellectual viewpoint it exemplifies many of the characteris-
Way and Inner Power. Rather than totally eschewing politi-
tics of the Daoist tradition that were first enunciated by the
cal life, they advocated a government by non-action (wuwei)
Han dynasty historian, Sima Tan (d. 110 BCE), the man who
similar to that found in the Dao de jing.
coined the very term “Daoism” (daojia). According to him,
Daoists assert that:
The Primitivists argue that it is the inherent nature of
all people to be “simple and unhewn.” The “simple” (so) and
1. Humans can cultivate themselves to attain harmony of
the “unhewn” (pu) are important ideas in the Dao de jing
body and mind and to realize their essential connection
wherein to be simple means to be unselfish (DDJ 19) and
to the Way and to the entire cosmos.
to be “unhewn” means to be without desires (DDJ 19, 38).
2. When rulers become adept at such “inner cultivation”
These ideas suggest a state of mind totally devoid of self-
they can govern dispassionately and humanely accord-
consciousness, a state of mind in which people act spontane-
ing to the greater patterns of heaven and earth, upon
ously and without self-reflection. It is a state of mind that
which they model their social and political institutions.
is reminiscent of the flowing cognition of the “Inner Chap-
ters.” For the Primitivists, it is human nature to attain this
3. While remaining faithful to this general Daoist orienta-
state of mind when people are left on their own, when the
tion rulers should make use of the best ideas of other
institutions of culture do not interfere with spontaneous
early intellectual lineages.
human tendencies. To attain this state is to realize one’s
4. With these institutions and practices established, rulers
Inner Power.
can govern by taking no action while leaving nothing
Throughout their writings the Primitivists harken back
undone.
to an earlier utopian age when people lived in selfless harmo-
All these ideas are found in the Syncretist Zhuangzi. Inner
ny with one another and with all things in the world and
cultivation practice is advocated to attain a deep and tranquil
when the Way and Inner Power were fully realized. The
state of mind to enable both sages and rulers to act effica-
Confucian sage-rulers, who established cultural norms and
ciously in the world. They then make use of this experience
thereby forced people to think about how to attain them, de-
to act spontaneously and harmoniously while being guided
stroyed this harmony and made it much more difficult for
by the greater patterns of the cosmos. This is the Syncretists’
people to attain the simple and unhewn state of mind. How-
version of attaining the flowing mode of cognition advocated
ever by doing away with the sages and their cultural norms
in the other parts of the text. The Syncretist author of chap-
we can return to a primitive utopia. Then society can be gov-
ter 13 argues that this flowing mode can be applied to a vari-
erned by a ruler who learns how to practice non-action.
ety of life circumstances: ruler and minister, politician and
Chapters 28–31 of the received recension of the
hermit, sage and commoner can all utilize flowing cognition;
Zhuangzi are similar in thought to five essays from the first
but when it is applied to rulership, it attains its greatest flour-
two chapters of the compendium Lüshi chunqiu (240 BCE),
ishing. Government by enlightened sages who attain flowing
which constitute the only surviving works of the lost Yangist
cognition is the pinnacle of Daoist political thought for the
tradition. While some regard these Zhuangzi chapters them-
Syncretist: it is symbolized by the phrase “in stillness a sage,
selves as Yangist, close examination reveals that they are a
in motion a king,” which is elsewhere referred to as being in-
heterogeneous collection of writings likely compiled and cre-
wardly a sage and outwardly a king. It is with this cultivated
ated by the Primivitists to respond to the intellectual chal-
mind that the sage ruler establishes human society in parallel
lenges of the Yangists in the debates at the Qin court of Lü
to the greater patterns of the cosmos. This coordination of
Buwei, where the Lüshi chunqiu was written.
human society with cosmic patterns is a characteristic tenet
of the early Daoist syncretic lineage that historians first called
THE SYNCRETIST CHAPTERS. The final stratum of the Zh-
the “Way of the Yellow Emperor and Laozi” (Huang-Lao zhi
uangzi contains a distinctive and largely consistent viewpoint
dao), and some scholars have argued that these Syncretist
that connects with the rest of the text and with a larger philo-
chapters are the products of this intellectual lineage.
sophical context. It is contained in three complete essays: (1)
the first two-thirds of chapter 13, “The Way of Heaven”; (2)
The final chapter of the Zhuangzi, “Below in the Em-
chapter 15 “Inveterate Ideas”; and (3) the final chapter, 33,
pire,” exemplifies this kind of syncretism in its analysis of
“Below in the Empire,” as well as in narratives that play key
earlier intellectual traditions. After establishing its own posi-
roles in chapters 12 and 14. This material shares a common
tion, the comprehensive “Way of Heaven and Earth,” it ana-
cosmology of the Way and interest in inner cultivation that
lyzes how each of these earlier traditions understood one part
we have seen in most of the rest of the text but veers in a
of this comprehensive Way but ultimately failed to grasp the
different direction in its political thought, advocating a hier-
whole. Zhuangzi himself is included in this analysis. The
archical social and political structure that incorporates the
Syncretist author praises Zhuangzi for his depth of mystical
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ZHUHONG
9971
cultivation but chides him for failing to realize that there are
(Albany, 1996); and Victor Mair, ed., Experimental Essays on
practical affairs in the world that must be attended to. It is
the Chuang Tzu (Honolulu, 1983). Each collects essays by
an interesting yet telling comment. The Syncretist criticizes
at least a dozen specialists in either Chinese thought or in
the very impracticability for which Zhuangzi later became re-
comparative philosophy, and each has its stronger and
nowned.
weaker contributions, with none standing out from the rest.
Thus the text called the Zhuangzi is a multilayered work
There is a thoughtful collection of essays on various aspects of the
that transmits the ideas of an important early Daoist philo-
philosophy of Zhuangzi by Jean Francois Billeter titled
Études sur Tchouang-Tseu (Paris, 2004). It assembles five of
sophical and religious lineage founded by the historical figure
his essays published in academic journals and adds a number
of Zhuangzi towards the end of the fourth century BCE. His
of new ones. Harold D. Roth’s A Companion to Angus C.
writings were conveyed to later generations by his disciples
Graham’s Chuang Tzu: The Inner Chapters (Honolulu, 2003)
who added to the work over the better part of a century, dur-
is a useful collection of Angus Graham’s essays on Zhuangzi
ing which the developing text passed through the Qin court
that also includes Graham’s rare textual notes to his transla-
of Lü Buwei, circa 240 BCE, and was completed at the court
tion of Zhuangzi and an assessment of his text-analytical
of Liu An (c. 180–122 BCE), second king of Huai-nan, circa
scholarship by Roth. In addition there are several other
150 BCE. While the lineage of Zhuangzi elaborated upon the
works on the textual history of the Zhuangzi: Angus C. Gra-
master’s original thought by developing Primitivist and Syn-
ham, “How Much of Chuang Tzu did Chuang Tzu write?”
cretist political dimensions, each in its own way remained
reprinted in Roth, A Companion, presents his ideas of the
true to his advocacy of cultivating the spontaneous flowing
stratification of the text; Liu Xiaogan, Classifying the Zhuang-
zi Chapters (Ann Arbor, Mich., 1994) is a thorough book-
mode of cognition.
length study of this same topic that reaches similar conclu-
sions on the strata but sometimes different conclusions about
SEE ALSO Daoism, overview article.
the authorship of these strata; Harold D. Roth’s “Chuang
Tzu” in Early Chinese Texts: A Bibliographical Guide, com-
BIBLIOGRAPHY
piled and edited by Michael Loewe (Berkeley, Calif., 1993),
There are three scholarly modern translations of the Zhuangzi cur-
succinctly summarizes Western and East Asian scholarship
rently in circulation that are worthy of consultation. All oth-
on the textual history and textual analysis of the Zhuangzi.
ers are outdated, derivative, or not grounded in Sinological
Finally, Harold D. Roth’s “Who Compiled the Chuang
scholarship. There are the complete translations of Burton
Tzu?” in Chinese Texts and Philosophical Contexts, ed. Henry
Watson, The Complete Works of Chuang Tzu (New York,
Rosemont, Jr. (LaSalle, Ill., 1991) argues that the Syncretist
1968), and Victor Mair, Wandering on the Way: Early Taoist
compilers of the Zhuangzi were members of the early Daoist
Tales and Parables of Chuang Tzu (Honolulu, 1998). Both
Huang-Lao lineage who were part of the intellectual circle
are more literary than philosophical, and while each is ap-
of Liu An, second king of Huai-nan in about 150 BCE.
pealing for its rendering of the humorous flair of the original,
the Mair translation is preferable because of its well-founded
HAROLD D. ROTH (2005)
semantic subdivisions within each chapter and Mair’s ten-
dency to translate the meaning of proper names, which skill-
fully helps to communicate the irony of these names in the
original narratives.
ZHUHONG (1535–1615), also known as Master Yunqi;
The philosophically most interesting and the most linguistically
an important Buddhist leader in the late Ming dynasty
precise translation is Angus Charles Graham, Chuang Tzu:
(1368–1644). A reformer of monastic Buddhism, a synthe-
The Inner Chapters (London, 1981; Reprint, Boston, 2000).
sizer of various Buddhist traditions, and a successful promot-
Despite its title, it contains about eighty percent of the origi-
er of lay Buddhism, Zhuhong was also regarded posthu-
nal text organized by each of the five philosophical positions
mously as the eighth Pure Land patriarch. However, his
Graham has identified in the work: (1) the historical Zh-
influence has never been confined within any sectarian
uangzi; (2) his disciples; (3) The Primitivist; (4) The Yang-
boundary. He has, in fact, been credited with the renewal of
ists; and (5) The Syncretists, with additional passages trans-
Buddhism in Ming China.
lated under narrative categories such as “stories about
Zhuangzi,” etc. This is at once a strength and a weakness of
Zhuhong was a native of Hangzhou. He became a stu-
the Graham translation: it clearly distinguishes philosophical
dent in the local school at the age of sixteen and quickly
voices that most translations do not. However, organizing
achieved a reputation for his knowledge of Confucianism
the translation along these lines makes it maddening to at-
and Daoism. He sat for the higher civil examinations several
tempt to compare different translations or to check Gra-
ham’s translation with the original Chinese text.
times but was without success. His interest in Pure Land
Buddhism dates from the time when he daily witnessed an
There are a number of excellent essay collections that deal with
old woman calling the name of the Buddha Amita¯bha
various aspects of the philosophy and the textual history of
the Zhuangzi: Roger T. Ames, ed., Wandering at Ease in the
(Chin., Emituofo). Thereafter, he kept a vegetarian diet,
Zhuangzi (Albany, N.Y., 1998); Scott Cook, ed., Hiding the
studied Buddhist scriptures, and practiced nianfo (recitation
World in the World: Uneven Discourses on the Zhuangzi (Alba-
of Amita¯bha’s name). When Zhuhong was twenty-seven his
ny, N.Y., 2003); Paul Kjellberg and Philip J. Ivanhoe, eds.,
father died. Shortly afterward his wife and only son also
Essays on Skepticism, Relativism, and Ethics in the Zhuangzi
passed away. He then remarried a pious Buddhist laywoman
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9972
ZHU XI
and resolved that if he failed to pass the provincial examina-
buttals supposedly addressed to Matteo Ricci and contained
tions by the age of thirty and the metropolitan examinations
in Zhuhong’s collected works, Yunqi fahui.
by the age of forty, he would become a monk. Three years
later his mother died. When success in the examinations still
SEE ALSO Jingtu.
eluded him he bade farewell to his wife (who later became
a nun) and in 1566 entered the monastic order.
BIBLIOGRAPHY
Hurvitz, Leon. “Chu-hung’s One Mind of Pure Land and Ch’an
After he became a monk, Zhuhong followed the mendi-
Buddhism.” In Self and Society in Ming Thought, edited by
cant tradition, spending the next six years traveling through-
Wm. Theodore de Bary, pp. 451–476. New York, 1970.
out the country seeking instruction from prominent teach-
ers. He achieved his first enlightenment on his way to
Yü, Chun-fang. The Renewal of Buddhism in China: Chu-hung and
the Late Ming Synthesis. New York, 1981.
Dongzhang in Shandong. He also took part in five sessions
of Chan meditation held in different monasteries in the Zhe-
Zhuhong. Yunqi fahui. 34 vols. Nanjing, 1897. The collected
jiang area. In 1571 he returned to Mount Yunqi in his native
works of Zhuhong.
Hangzhou. It is said that through the performance of Tantric
CHUN-FANG YÜ (1987)
rituals and the invocation of the Buddha’s name, Zhuhong
cleared the region of tigers that had been harming men and
beasts, and brought rain during a severe drought. In grati-
tude, villagers rebuilt an abandoned old temple, which he
ZHU XI (1130–1200), philosopher, scholar, and formula-
named Yunqi Monastery upon its completion in 1577.
tor of what would for centuries be regarded as mainstream
Zhuhong stayed there until his death in 1615, making it a
neo-Confucianism. The son of an official, Zhu Xi passed the
model of monastic discipline and a center for the joint prac-
highest civil service examination when he was only eighteen.
tice of Pure Land and Chan, a syncretic tradition that was
In 1151 he was appointed a district registrar in Fujian prov-
initiated by the Chan master Yanshou (904–975) and that
ince, where he served until 1158. He did not accept another
reached its culmination with Zhuhong.
official post until 1172, when he became prefect of Nankang
in Jiangxi. Except for a month and a half in 1194, when Zhu
The joint practice of Chan and Pure Land rested on the
Xi served at court, his government service was entirely at the
assertion that the two paths were essentially the same insofar
local or regional level.
as both led to the same goal: the stopping of wrong thoughts
and the end of the cycle of sam:sa¯ra (Chin., shengsi). Zhuhong
As a local official he built a strong record of conscien-
wrote a four-volume commentary on the smaller
tious service looking after the economic as well as moral wel-
Sukha¯vat¯ıvyu¯ha Su¯tra (Chin., Emituofo jing) in which he
fare of the people. One notable acccomplishment was the es-
provided a creative interpretation of “one mind” (yixin).
tablishment of communal granaries as a measure to combat
Using the Huayan categories of particularity (shi) and uni-
famine. Less successful was his attempt to conduct a land sur-
versality (li), Zhuhong divided the attainment of nianfo into
vey. Most influential in the long run were his activities on
the “one mind of particularity” and the “one mind of univer-
behalf of education, especially the rehabilitation of private
sality.” The former is achieved through concentration, which
academies such as the White Deer Grotto Academy in Nan-
suppresses ignorance, while the latter is achieved through in-
kang. Such academies played a prime role in propagating
sight, which destroys ignorance. By the “uninterrupted expe-
neo-Confucianism.
rience and embodiment” of the Buddha’s name, he believed,
In office or out, Zhu Xi was ever mindful of the plight
one could attain insight into the true nature of things, the
of the Song dynasty, which had lost China’s northern heart-
object of Chan meditation. The link between Chan medita-
land to the non-Chinese Jin only three years before his own
tion and nianfo practice was precisely this one mind.
birth. In memorials and personal audiences he urged moral
Zhuhong firmly believed that this one mind was nothing
reform of the government beginning with the emperor him-
other than that to which Bodhidharma was “directly
self. Both his ideas about moral government and his discus-
pointing.”
sions on specific policy issues, however, had little influence
Zhuhong was an energetic evangelist of vegetarianism
on government. Zhu’s brief period at court came to an end
and kindness to animals. Under his advocacy, the practice
when a hostile faction came to power. Not content with
of “release of life” (fangsheng), that is, buying fish and other
purging their opponents from government, the men who
creatures from marketplaces and setting them free, became
ousted Zhu Xi went on to denounce him and fifty-eight
very popular among lay Buddhists. He wrote the Zizhi lu
other philosophers as guilty of “spurious” or “false” learning
(Record of Self-knowledge), which was modeled on the led-
(weixue). Zhu Xi was still in political disgrace at the time of
gers of merit and demerit long favored by Daoists, to incul-
his death.
cate Buddhist values among the general populace.
In his prolific writings and recorded conversations with
Zhuhong was interested in harmonizing Buddhism with
disciples Zhu Xi ranged over many areas of inquiry encom-
Confucianism. He was less impressed by Daoism and clearly
passing a host of topics and issues. His greatest achievement
hostile toward Catholicism, as can be seen from the four re-
lay in shaping the varied and diffuse ideas of his eleventh-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZHU XI
9973
century predecessors into a coherent, organic philosophy. In
would have nothing to attach itself to. Accordingly, qi plays
the process he not only defined neo-Confucianism but estab-
an important role in Zhu Xi’s thought, so much so that an
lished the Confucian core curriculum. It was Zhu Xi who
extensive literature has debated whether his thought may be
joined the Daxue (Great learning) and the Zhongyong (Doc-
more properly characterized as monism or dualism. Perhaps
trine of the mean), originally two chapters in the Li ji (Book
one may say that he was capable of adopting both perspec-
of rites), with the Lunyu (Analects) of Confucius and the
tives, but that in ultimate metaphysical terms he saw reality
Mengzi to comprise the so-called Four Books, a collection
as one.
that formed the basis for the education of the Chinese elite
until 1905.
Human beings are, of course, very much part of this re-
ality. Like all Neo-Confucians, Zhu Xi accepted Mengzi’s
Zhu Xi’s thought was deeply religious in several senses.
teaching that human nature is fundamentally good and that
On a personal level, his was a creed to guide people’s conduct
it contains within it the “beginnings” of the virtues. He
as well as thinking, a quest for wisdom as well as truth, fo-
equates this nature with principle: it belongs to the individu-
cused on an ideal of self-perfection (sagehood) to be pursued
al but is also shared with the world. While nature is good
with the most earnest dedication. Part and parcel of this atti-
in its original quiescent state, once aroused to activity, good-
tude was his reverence for Confucius and other past sages as
ness consists in following it, while evil results from going
well as his passionate concern with proper behavior and ritu-
against it. What makes evil possible is that in man, as in the
al. Furthermore, his view of the world and man was ground-
cosmos, principle needs to attach itself to material force in
ed in a sense of a transcendent reality and a vision of the
order to become actualized. Just as water may be clear or tur-
unity of the cosmos and humanity.
bid, the physical nature people receive at birth may be pure
Like Cheng Yi before him, Zhu Xi considered both the
or gross in varying degree. The more turbid the physical na-
physical world of nature and the moral world of human rela-
ture, the more seriously will principle be obstructed, but
tions as structured by li (“principle”), but he went beyond
human beings, unlike animals, are able to penetrate their tur-
Cheng Yi to identify principle with the “supreme polarity”
bidity to recover the underlying principles.
(supreme ultimate; taiji) discussed by Zhou Dunyi (1017–
Essential to Zhu Xi’s view of man and the process of
1073) in his Taijitu shuo (Explanation of the diagram of the
self-perfection is the activity of the “mind-and-heart” (xin,
Supreme Polarity). Above and prior to form, the Supreme
hereafter “mind”). Drawing on Zhang Zai, Zhu Xi held that
Polarity is itself without form. It contains all principles even
the mind unites and controls the nature and the feelings.
as it is their source. It generates tranquillity and activity, the
Thus, unlike Lu Jiuyuan and the “school of Mind” (Xinxue),
cosmic forces of yin and yang; indeed, its activity and tran-
Zhu Xi does not identify the mind with principle. For him,
quillity are yin and yang. It is transcendent but also imma-
principles are contained in the mind, which, however, is con-
nent, for Zhu Xi stressed the unity of the one and the many.
stituted of highly rarefied qi. While the nature, identified
To illustrate this, he used the metaphor of the single moon
with substance (ti), is good, the feelings, identified as func-
that shines on and is reflected in rivers and lakes everywhere.
tion (yong), need to be maintained in proper balance. Some,
Everything has the Supreme Polarity within it, yet the Su-
such as the feeling of commiseration, are good, but there is
preme Polarity remains one whole.
always the danger posed by selfish desires. As a result, the
Zhu’s contemporary, Lu Jiuyuan (Lu Xiangshan, 1139–
human mind (ren-xin) is in a precarious state, ever subject
1193), objected to Zhou Dunyi’s formulation, “the Non-
to errors that prevent it from returning to the original “mind
Polarity [wuji, or Ultimate of Non-being] and yet the Su-
of the Way” (dao-xin, moral mind). The nature, as principle
preme Polarity,” as constituting the Daoist emphasis on non-
in general, is inert. Consequently, Zhu Xi places special em-
being. But Zhu Xi insisted on retaining this formula because
phasis on the mind as the active master whose role it is to
it makes clear that there is nothing beyond or prior to the
engage in the strenuous effort to discriminate between moral
Taiji and that Taiji cannot be limited or qualified in any
error and the correct way and then to maintain constant cor-
way. As indicated in the diagram, the Non-Polarity and the
rectness. Self-cultivation requires utmost exertion and com-
Supreme Polarity are not two entities. According to Zhu Xi,
mitment.
in some contexts the Taiji need not itself be thought of as
In his methodology of self-development Zhu Xi empha-
an entity at all.
sized intellectual learning, but, in keeping with the general
Zhu Xi compared the relationship between Taiji, which
inclusive and synthetic cast of his mind, he by no means re-
he identified with principle or pattern (li), and the flux of
jected meditation, or “quiet sitting” (qingzuo), as the neo-
activity and tranquillity, which he identified with material
Confucians called it. He once even advised a student to
force (qi), to that of a man riding a horse, going wherever
spend half his day in quiet sitting and the other half in read-
the horse goes in an inseparable union. In a crucial disagree-
ing. As a young man Zhu Xi was greatly influenced by the
ment with Buddhists, Zhu Xi emphasized that principle is
concept of quietism, but changed his views under the influ-
not something empty and detached, insisting instead that
ence of his friend Zhang Shi (1133–1180) and the ideas of
principle and concrete things never exist in isolation from
the philosopher Hu Hong (1106–1162). It was not until
one another. Without the material force (qi), principle (li)
1169 that he worked out a doctrine of self-cultivation that
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9974
ZHU XI
involved watchfulness over one’s emotions and feelings both
his time, he believed in the existence of ghosts but sought
before and after they have been aroused. Central to this doc-
to explain natural phenomena in terms of li. He strongly re-
trine was the cultivation and practice of “seriousness” (jing,
jected the Buddhist idea of reincarnation, Daoist beliefs in
also rendered as “reverence, mindfulness”). The locus classicus
longevity, and shamanism. Living in disgrace in his old age,
for the concept of seriousness, so prominent in the thought
he wrote a memorial condemning the men in power, much
of Cheng Yi as well as Zhu Xi, is a passage in the Yi jing
to the alarm of his disciples, who were concerned for his safe-
(Book of changes) that couples “seriousness to straighten the
ty. Finally, they persuaded him to let divination decide
internal life” with “righteousness to square the external life.”
whether to risk sending the memorial. Zhu Xi accepted the
negative verdict of the milfoil. It was a dramatic and poi-
Zhu Xi is especially noted for stressing “the investiga-
gnant expression of his conviction of the unity of the uni-
tion of things” (gewu, a term from Daxue), by which he
verse and man.
meant the investigation of the principles of all things and
events. It was on this issue that he had his famous debate
A brief summary of as subtle and prolific a thinker as
with Lu Jiuyuan in 1175 at the Goose Lake Temple in
Zhu Xi inevitably runs into the danger of oversimplification.
Jiangxi. In contrast to Lu, whose philosophy of inwardness
It also tends to disguise the extent to which the modern
de-emphasized external learning or book knowledge, Zhu Xi
scholar is engaged in a task of interpretation and reconstruc-
maintained that principle was to be investigated in the exter-
tion, for Zhu Xi, like other Chinese thinkers, did not set
nal world as well as within one’s self. According to Zhu, the
forth his ideas in a systematic magnum opus. Although there
extension of knowledge (zhi-zhi, another term from Daxue)
are some essays on specific subjects, for the most part he de-
is a gradual process of investigating the principles of one
veloped his ideas in commentaries on the classics, letters to
thing after another until a great breakthrough takes place and
friends, prefaces and the like, as well as in conversations re-
the perfection of knowledge is attained. Like other Confu-
corded by disciples. His works are a rich source for modern
cians, he taught that such knowledge must necessarily be
students of many aspects of twelfth-century China and con-
manifested in action, but unlike the Ming dynasty philoso-
tinue to provide scholars within the tradition with numerous
pher Wang Yangming (1472–1529), Zhu Xi taught that
issues for cogitation and debate. Recent years have seen
knowledge must precede action.
major advances in the study of Zhu Xi, but the work
The prime virtue, the source of all other virtues and thus
continues.
the object of all endeavor is “humaneness” (ren, also rendered
SEE ALSO Chinese Religion; Confucianism; Li; Lu Xiang-
as “humanity, benevolence”). In keeping with the centrality
shan; Mengzi; Qi; Ren and Yi; Taiji; Tian; Zhang Zai;
of this concept in Confucian thought, Zhu Xi gave much at-
Zhou Dunyi.
tention to working out his own theory of humaneness. Re-
jecting an interpretation given by one of Cheng Yi’s disciples,
who defined it as consciousness, as well as that of another
BIBLIOGRAPHY
disciple, who equated it to unity with all things, Zhu Xi char-
Wing-tsit Chan’s “The Study of Chu Hsi in the West,” Journal
of Asian Studies 35 (August 1976): 555–577, is a comprehen-
acterized ren as the principle of love and the very character
sive survey and a most useful guide. Professor Chan has in-
of the mind. Vital and creative, ren is the spirit of life found
cluded translations from Zhu Xi in his A Source Book in Chi-
in the mind of Heaven and earth. Thus, through humane-
nese Philosophy (Princeton, 1963) and translated Zhu Xi and
ness people partake of the creative process of the universe.
Lü Ziqian’s anthology of Northern Song neo-Confucianism,
This creative process is natural and unending. Because
the Jinsi lu, under the title Reflections on Things at Hand
the universe constantly rotates, the heaviest material force
(New York, 1967). Studies published since the appearance
of Professor Chan’s article include Journal of Chinese Philoso-
concentrates at the center to form the earth while the most
phy 5.2 (June 1978), a special issue on Zhu Xi; Hoyt C. Till-
rarefied qi is farthest out, forming the sky, sun, moon, and
man’s Utilitarian Confucianism: Chen Liang’s Challenge to
celestial bodies. When Zhu Xi discussed the “mind of heaven
Zhu Xi (Cambridge, Mass., 1982); Daniel K. Gardner’s me-
and earth,” the word translated as “heaven” is tian, which,
ticulous translations and insightful studies: Zhu Xi and the
depending on the context, can also be rendered as “sky” or
Da-xue (Cambridge, Mass., 1986); Learning to Be a Sage: Se-
“nature.” Asked about its meaning in the classics, Zhu Xi re-
lections from the Conversations of Master Chu (Berkeley,
plied that in some cases it meant “the lord” and in some
1990); and Zhu Xi’s Reading of the Analects: Canon, Commen-
“principle.” The question of whether Zhu Xi was a deist was
tary, and the Classical Tradition (New York, 2003). Also see
much debated among Jesuit and other Western scholars of
Kim Yuk-sik, Natural Philosophy of Chu Hsi (Philadelphia,
Chinese philosophy and forms an important chapter in the
2000) and Zhu Xi and Neo-Confucianism, edited by Wing-
tsit Chan (Honolulu, 1986).
history of Western sinology rather than in that of neo-
Confucianism in China or East Asia.
Mu’s Zhuzi xin xuean (Taipei, 1971) remains authorative. Wing-
tsit Chan’s Zhu xue lunji (Taipei, 1982) includes an essay on
In both his official capacity and in his personal life Zhu
Zhu Xi’s religious practice. An excellent study published in
Xi participated wholeheartedly in religious ceremonies, in-
the Peoples’ Republic is Zhang Liwen’s Zhu Xi sixiang yanjiu
cluding, for instance, prayers for rain in times of drought,
(Beijing, 1981). Japanese scholars have made major contri-
sacrifices to former sages, and ancestor worship. As a man of
butions to the study of Zhu Xi. An extensive modern transla-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZINZENDORF, NIKOLAUS
9975
tion of Zhu Xi and others associated with him is the fifteen-
India). While his enthusiasm led to certain excesses and dis-
volume Shushigaku taikei (Tokyo, 1974–1983).
putable interpretations of India’s religions, Zimmer’s own
C
example eloquently suggests the importance of such enthusi-
ONRAD SCHIROKAUER (1987 AND 2005)
asm for true understanding. In Jung’s words, Zimmer’s was
“a spirit that overcame the limitations of the specialist and,
turning towards humanity, bestowed upon it the joyous gift
ZIMMER, HEINRICH ROBERT (1890–1943),
of eternal fruit” (Jung, Collected Works, vol. 11, 1963,
German Indologist and comparative mythologist. Son of the
p. 577).
Sanskritist and Celticist Heinrich Friedrich Zimmer (1850–
1910), Heinrich (Henry) Robert Zimmer was born in Greif-
BIBLIOGRAPHY
swald, in present-day Germany, on December 6, 1890. Be-
Had Zimmer written nothing else, his The Art of Indian Asia, 2
ginning his studies in Berlin in Hebrew literature, German-
vols., completed and edited by Joseph Campbell (New York,
ics, and art history, he received his doctorate in 1913 with
1950), would have assured his reputation and importance.
a thesis on India’s traditional system of gotras. After service
Four others of his works are available in English. His impor-
in World War I, he qualified as professor at Greifswald and
tant Kuntsform und Yoga im indischen Kultbild (Berlin, 1926)
is now translated into English by Gerald Chapple and James
then moved to Heidelberg in 1922. Zimmer’s marriage to
B. Lawson as Artistic Form and Yoga in the Sacred Images of
Christiane von Hofmannsthal, daughter of the Jewish poet
India (Princeton, N.J., 1984). Joseph Campbell also com-
Hugo von Hofmannsthal, and his consistent outspokenness
pleted and edited three further works. Possibly the most en-
as an anti-Nazi were causes for his eventual dismissal from
gaging of these is Zimmer’s Myths and Symbols in Indian Art
the university in 1938. After lecturing at Oxford and Johns
and Civilization (New York, 1946), which remains among
Hopkins universities, Zimmer was appointed visiting lectur-
the more useful introductions to traditional Indian thought
er at Columbia University in 1941. He died of pneumonia
and culture. The essays constituting The King and the Corpse
two years later, on March 20, 1943.
(New York, 1948) well illustrate Zimmer’s broad interests in
comparative mythology and folklore. No doubt the liveliest
Although the son of one of Germany’s pioneering In-
introduction to the sweep of classical Hindu, Buddhist, and
dologists, whose Altindische Leben: Die Kultur der vedischen
Jain philosophy is his Philosophies of India (New York, 1951),
Arier is a landmark in Vedic studies, Heinrich Zimmer is
though some of his interpretations must be treated with
most often linked rather to two other persons: Joseph Camp-
caution.
bell and, particularly, C. G. Jung. Jung apparently first
A charming autobiographical sketch written by Zimmer only
learned of Zimmer through the latter’s Kuntsform und Yoga
three months before his death is included as an appendix in
im indischen Kultbild (1926), a work that introduced Tantric
Chapple and Lawson’s translation of Kunstform und Yoga
studies to Jung and to much of educated Europe. Zimmer
along with a select bibliography (pp. 243–267). Heinrich
and Jung first met in 1932, and their deep friendship, based
Zimmer: Coming into His Own, edited by Margaret H. Case
on shared strong interests, had important consequences for
(Princeton, N.J., 1994) is a volume of illuminating essays
both; not least important was their joint founding of the Psy-
stemming from a 1990 Columbia University conference cel-
chology Seminar of Zurich. As editor of Zimmer’s posthu-
ebrating Zimmer’s birth centenary. Among these essays are
two personal reminiscences (one by Zimmer’s daughter),
mous English publications, upon which Zimmer’s reputa-
Zimmer’s own estimate of Jung’s significance for his work,
tion principally rests, Joseph Campbell’s role also has been
and helpful assessments of Joseph Campbell’s role in preserv-
extremely important.
ing and transmitting Zimmer’s scholarship by Wendy
Zimmer’s passionate interest in Indian thought and
Doniger and Gerald Chapple. Inter alia, Chapple notes the
spirituality as witnesses to the universal aspirations of the
substantial amount of Zimmer’s scholarly and popular writ-
human spirit marked something of a departure from contem-
ing in German that remains untranslated.
porary and immediately preceding continental approaches to
G. R. WELBON (1987 AND 2005)
the study of India’s religions, and is reminiscent rather of the
attitudes of such late eighteenth- and early nineteenth-
century German Romantics as Wilhelm and Friedrich Schle-
ZINZENDORF, NIKOLAUS
gel. With Sir John Woodroffe (also known as Arthur Ava-
(1700–1760), Ger-
lon), who seems strongly to have influenced his own
man nobleman, theologian, leader of the Moravian church;
thought, Zimmer was among the first in the twentieth centu-
born Count Nikolaus Ludwig von Zinzendorf on May 26,
ry to urge that understanding the adventure of Indian reli-
1700, in Dresden, Saxony. At his baptism his parents invited
gious and philosophical thought would help one better un-
the electress of Saxony to be his godmother and the Pietist
derstand one’s own situation in the world. This enthusiastic,
leader Philipp Jakob Spener to be his godfather. These
personal element represents an early flowering of a new, “sec-
choices represented the influences of noble lineage and pi-
ond-generation” attitude in the European study of non-
etistic devotion that were to be so decisive in Zinzendorf’s
European religious thought and culture. Rather than holding
later life.
the “alien” cultural material at arm’s length, Zimmer em-
Even as a child Zinzendorf displayed an extraordinary
braced it (though he was never able to fulfill his wish to visit
interest in religious matters. At the age of ten, following pri-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9976
ZIONISM
vate tutoring, he was sent to the Halle boarding school run
prehensive presentation of his often-original ideas. Through-
by the Pietist leader August Hermann Francke. In 1716 he
out his life he worked at new translations of the Bible,
transferred to the orthodox Lutheran University of Witten-
incorporating the use of popular language, rearrangements
berg to prepare for a career as a lawyer, but he continued to
of the books in order of historical origin, harmonization of
read theological literature in his free time. His perennially
the Passion accounts, and an abridged Old Testament. He
irenic approach to theological disputes showed up in his ulti-
also produced attempts at Lutheran and Reformed cate-
mately unsuccessful attempts to arrange colloquiums for the
chisms, prepared numerous sermons, and wrote religious po-
exchange of views between the Pietists of Halle and the or-
etry and hymns.
thodox of Wittenberg.
In his theology Zinzendorf sought an alternative to the
With his formal training completed, Zinzendorf studied
rationalism of the Enlightenment and the sterility of Luther-
briefly at various universities and developed friendships with
an orthodoxy. His answer was “heart religion.” His christo-
leading personalities, including the Jansenist cardinal arch-
centricity derived from his belief that God is a person, not
bishop of Paris, Louis de Noailles. Although Zinzendorf
a system, and can be known only through the Son, who re-
would have probably preferred ordination as a Lutheran pas-
veals the Father. To experience Christ in the inner senses is
tor or to work with Francke at Halle, his family did not con-
the true essence of religion. From this central idea flows Zin-
sider such possibilities appropriate for a nobleman, and he
zendorf’s interest in experiential language, including refer-
became a legal counselor. In September 1721 he married
ence to the Holy Spirit as “Mother.” Likewise, “heart reli-
Countess Erdmuth Dorothea Reuss, also a committed Pi-
gion” knows no creedal or institutional boundaries; hence
etist, with whom he fathered twelve children.
Zinzendorf’s radical ecumenicity. The relationship with
Christ produces joy in the believer; Zinzendorf’s thought de-
In 1722 Zinzendorf purchased the Berthelsdorf estate
parted from traditional Pietism’s emphasis upon struggle and
from his grandmother and soon found himself with an unex-
conversion to focus on the results of this relationship. A star-
pected opportunity to exercise his religious leadership when
tlingly creative thinker in his day, Zinzendorf’s influences are
a group of religious refugees from neighboring Bohemia set-
apparent in the later theology of Friedrich Schleiermacher
tled on his estate. They were heirs of the traditions of the
with his attention to religious feeling and in the Christocen-
Unity of Brethren, a group that had thrived a century earlier
tric emphasis of Karl Barth.
during the Hussite reformation. Persecution had forced
them to continue their religious practices underground and
SEE ALSO Moravians.
sometimes to leave their homeland as refugees. The leader-
ship of these people consumed Zinzendorf’s considerable en-
BIBLIOGRAPHY
ergies for the rest of his life. The newly established town of
Erich Beyreuther and Gerhard Meyer have edited Zinzendorf’s
Herrnhut, with its unique communal organization and eco-
Hauptschriften, 6 vols. (Hildesheim, 1962–1963), along with
nomic self-sufficiency, became the center for the developing
Ergänzungsbände zu den Hauptschriften, 12 vols. (Hildes-
Moravian church, as it became known in the late 1740s.
heim, 1964–1972), photographically reproduced original
In 1735, after examination by the theological faculties
editions. An excellent introduction to Zinzendorf’s role
within Pietism and a summary of his theology is provided by
of the Universities of Stralsund and Tübingen, Zinzendorf’s
F. Ernest Stoeffler in his German Pietism during the Eigh-
desire to receive Lutheran ordination was finally realized.
teenth Century (Leiden, 1973). See also Arthur J. Freeman An
With the revival of the Brethren’s clerical orders, he was con-
Ecumenical Theology of the Heart: the Theology of Count Nich-
secrated a Moravian bishop in 1737. These events signaled
olas Ludwig von Zinzendorf (Bethlehem, Pennsylvania, 1998)
the emergence of a new denomination and created legal diffi-
and Gary S. Kinkel Our Dear Mother the Spirit: an Investiga-
culties for Zinzendorf, resulting in banishment from Saxony
tion of Count Zinzendorf’s Theology and Praxis (Lanham,
from 1736 to 1747. During this period he visited Moravian
Md., 1990). George W. Forell has translated Zinzendorf’s
settlements and missions in Europe, England, the West In-
sermons in Nicholaus Ludwig Count von Zinzendorf: Nine
dies, and America. From the mid-1740s to 1750, Zinzendorf
Public Lectures on Important Subjects in Religion (Iowa City,
and some of his followers displayed a marked tendency to
Iowa, 1973). A Collection of Sermons from Zinzendorf’s Penn-
carry certain of his ideas to emotional excess. This approach
sylvania Journey has been published (Bethlehem, Pa., 2001)
by Julie Tomberlin-Weber, translator, and Craig Atwood,
was finally rejected and years later came to be regarded as the
editor. Stoeffler and Forell both provide helpful bibliogra-
“sifting time.” The Moravians were granted religious free-
phies. The best modern biography is Count Zinzendorf by
dom in Saxony in 1749, and six years later the count re-
John R. Weinlich (Nashville, Tenn., 1956).
turned to spend his last days in Herrnhut. When the count-
ess died in 1756, Zinzendorf entered into a morganatic
DAVID A. SCHATTSCHNEIDER (1987 AND 2005)
marriage with Anna Nitschmann, a leader of the Single Sis-
ters Choir, one of the church’s residential groups.
Zinzendorf’s extensive involvement in the practical life
ZIONISM. The origin of the word Zion is unclear. It
of the church and his belief that it was not possible to pro-
most likely derives from a word meaning “rock” or “strong-
duce a system of theology kept him from producing a com-
hold” or perhaps “a dry place.” The first occurrence of the
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name is in 2 Samuel 5:7, where David captures the Jebusite
the Temple and contributed money to it for sacrifices. After
city of Jerusalem. The “fortress of Zion” appears to have been
the Temple was destroyed, the Palestinian community re-
the Jebusite name for the place that was henceforth to be
mained important until the late third century, when it began
called “the citadel of David.” But although Jebusite in origin,
to decline, and following the Muslim conquest in the seventh
the name Zion (Hebrew, Tsiyyon) was assimilated into the
century, it ceased to play a significant role in Jewish life. Even
Israelite vocabulary and became associated with the Davidic
after the Temple was destroyed, the Land of Israel continued
monarchy and its capital in Jerusalem. In writings of such
to function as a religious center for Diaspora communities,
prophets as “First Isaiah” and Jeremiah and in Psalms, the
owing in part to the continuing authority of the Palestinian
name Zion is used as a synonym first for the Temple in Jeru-
rabbis. But at the same time the emerging rabbinic center in
salem, then for the kingdom of Judah, and finally, in postex-
Babylonia challenged its Palestinian counterparts and insist-
ilic literature, for the Land of Israel. In the Babylonian exile
ed on the equal—or sometimes even the greater—
the psalmist wrote: “By the waters of Babylon / There we sat
importance of its own community. From a legal point of
down, yea, we wept / When we remembered Zion” (Ps.
view, these rabbis did not legislate that one must live in the
137:1). Thus what was first a specific place-name came to
land in order to fulfill all those commandments that could
represent symbolically the whole Land of Israel, whose peo-
only be realized there. But they did make the decision of a
ple had been exiled. The particular associations between
man to “go up” to the land binding on his wife.
Zion and the Davidic monarchy gave the word a special reso-
The rabbis developed rituals that could be practiced
nance in later messianic literature that expressed longing not
anywhere and yet were designed to preserve the memory of
only for the return of the people to their land but also for
the Temple (zekher le-hurban). Such ceremonies included
the reestablishment of the kingdom of David.
leaving a small area of wall unfinished in one’s house. It was
A particular tension has informed the Jewish relation-
during this period that prayers were added to the daily service
ship to Zion since biblical times. On the one hand, the Land
that pleaded with God:
of Israel is regarded as a land specially promised to the an-
Sound the great shofar for our freedom; raise the stan-
cient Israelites and their descendants (the term Holy Land,
dard for the gathering of our exiles, and assemble us
however, only appears once in the Hebrew Bible). According
from the four corners of the earth. . . . Restore our
to this position, the Israelite God can be worshiped only on
judges as of old. . . . And to Jersualem thy city return
this sanctified territory. Thus when David flees from Saul to
in mercy and dwell therein as thou has spoken, rebuild
it soon in our days as an everlasting building, and
the land of the Philistines, he laments that “[men] have driv-
speedily set up therein the throne of David. (The Daily
en me out this day that I should have no share in the heritage
Prayer Book)
of the Lord, saying ‘Go and serve other gods’” (1 Sm. 26:19).
In Psalm 137, verse 4 the writer wonders, “How shall we sing
MEDIEVAL PERIOD. The spiritual connection to Zion was
the song of YHVH in a foreign land?” In both biblical and
kept alive during the Middle Ages primarily through litera-
rabbinic law, much of the agricultural, ritual, and even civil
ture. To be sure through the centuries there were individual
law applied only to the Land of Israel.
Jews who made pilgrimages or actually settled in the Land
of Israel, but no theology of pilgrimage developed, nor was
On the other hand, a strong universalist tendency al-
it seen as religious obligation. The theme of Zion played an
ready developed in biblical times held that God rules over
important role in the medieval liturgical poems (piyyutim)
all the world and can be worshipped anywhere. This tenden-
and especially in the lamentation poem (qinot) recited on the
cy became particularly prominent as a result of the Babylo-
Ninth of Av (the day, according to tradition, on which the
nian exile and found expression in such exilic writers as “Sec-
First and Second Temples were destroyed).
ond Isaiah” (Is. 40ff.). In some of this literature there is even
The best examples of secular poetry devoted to longing
a hint of criticism against those who wished to limit worship
for Zion are found during the “classical age” of the Spanish
of God to Zion: “Thus says YHVH: with heaven my throne
Jews (900–1200 CE). Two themes intermingle in this poetry:
and earth my footstool, what house could you build me,
descriptions of the beauty of Zion and lamentations for its
what place could you make for my rest?” (Is. 66:1).
ruin. Some of the Spanish Jewish writers achieved high posi-
The realities of Jewish life during and after the Second
tions in Spanish society, but their work reflects persistent at-
Temple period (538
tachment to the land of their forefathers. ShemuDel ha-Nagid
BCE–70 CE) made a combination of
these positions necessary. From the time of the Babylonian
(933–1055/6 CE) was the vizier of Granada and the com-
exile, a large Jewish community developed outside the Land
mander of its army. One of his poems, “My Heart Waxes
of Israel and became particularly prominent during the Hel-
Hot within Me,” celebrates victory over his enemies, but the
lenistic and Roman Empires. Even before the destruction of
first part is a lament over the destruction of Zion. Thus She-
the Second Temple in 70
muDel’s pride over his military accomplishments was tem-
CE and the Bar Kokhba Revolt
(132–135
pered by the feeling that they were incomplete as long as the
CE), the Jews of the Diaspora probably constituted
a majority of the Jewish people. Nevertheless these Jews
Jews lived in exile.
maintained a strong connection with the Land of Israel and
Perhaps the most outstanding representative of this
its religious institutions. They made regular pilgrimages to
school of poets was Yehudah ha-Levi (c. 1075–1141), whose
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Shirei Tsiyyon (Songs of Zion) inspired many imitations later
law (Mishneh Torah, c. 1180), Maimonides did not include
in the Middle Ages. One of his poems, (“Zion, Will You Not
settling in the land as one of the 613 commandments. For
Seek the Welfare of Your Prisoners?”) was included in the
Maimonides the central event in Jewish history was at
liturgy of the Ninth of Av. In another, titled, “My Heart is
Mount Sinai, and the return to Zion in messianic times
in the East,” he wrote:
would be a means toward uninterrupted study of the law re-
vealed at Sinai. Although Maimonides clearly believed in the
My heart is in the East and I am at the edge of the West
coming of the Messiah (which he understood as a realistic
How then can I taste what I eat, how can I enjoy it?
How can I fulfill my vows and pledges, while Zion is
and not solely supernatural process), he subordinated Zion
in the domain of Edom [i.e., the Christian Crusaders]
to Sinai.
and I am in the bonds of Arabia [i.e., Muslim Spain]?
This trend of thought became even more pronounced
It would be easy for me to leave behind the good things
in eighteenth-century Hasidism, which, as Gershom
of Spain, just as It would be glorious to see the dust of
the ruined Shrine. (The Penguin Book of Hebrew Verse)
Scholem (1897–1981) has argued, frequently played down
expectations of the imminent coming of the Messiah. Dov
Ha-Levi emigrated to the Land of Israel toward the end of
Ber, the maggid of Mezhirich (1704–1772), believed that the
his life, although whether he moved out of ideological or
qabbalistic task of “raising the sparks” might be more effec-
pragmatic reasons remains disputed.
tively accomplished in the lands of the exile. Nah:man of
Moses Nahmanides (1194–1270), the twelfth-century
Bratslav (1772–1810), who was perhaps the most messianic
Spanish commentator, philosopher, and mystic, who died in
of the Hasidic masters, stretched the holiness of the Land of
the land in 1270, advanced the most radical position on set-
Israel to encompass all the lands in which the Jews lived, thus
tlement in the land. Not only did he view it as a religious
spiritualizing what had hitherto been a concrete concept.
obligation, but he held that it was perhaps the cardinal obli-
THE NINETEENTH CENTURY. In the nineteenth century the
gation. Where other thinkers had noted the fact that perhaps
forces of modern nationalism, released by the French Revo-
a third of the laws of biblical and rabbinic Judaism pertained
lution, awakened nationalist hopes among the Jews through-
to the land—and especially to its agriculture—Nahmanides
out Europe. Although emancipation and assimilation caused
suggested that all of the commandments required perfor-
many Jews, particularly in western and central Europe, to
mance in the land if they were to achieve their full mystical
identify with the national aspirations of the countries in
effect on the divine.
which they lived, increases in anti-Semitism and the failure
of emancipation to fulfill its promises refocused attention on
This proto-Zionist sentiment cannot be dissociated
Zion. The nineteenth century thus witnessed a fusing of tra-
from medieval Jewish messianism. All messianic thinkers in
ditional messianism with modern nationalism that culminat-
the Middle Ages considered the return to Zion to be among
ed in the emergence of modern Zionism at the end of the
the primary tasks of the Messiah. Even as messianic expecta-
century.
tions were embroidered with supernatural fantasies, such as
the belief in the resurrection of the dead, the core of Jewish
Two important intellectual developments in the nine-
messianism remained political and nationalistic: the Messiah
teenth century, among both modernizing and traditional
would return the Jews to Zion, reestablish the kingdom of
Jews, prepared the ground for Zionism. The first was the
David, and rebuild the Temple in Jerusalem. The move-
movement of Jewish Enlightenment (Haskalah), which
ments mentioned here were all attempts to spark the messi-
began in Germany in the late eighteenth century and spread
anic process by encouraging human beings to take the first
to eastern Europe in the nineteenth. The Haskalah devel-
steps of resettling the Land of Israel. In the seventeenth cen-
oped in two directions with respect to Zion. On the one
tury the Shabbatean movement caused Jews throughout the
hand, there was a general tendency to promote the emanci-
world to prepare themselves for the imminent return to
pation of the Jews in Europe by glorifying the European na-
Zion, a hope largely dashed when the putative Messiah,
tions. The Reform movement in Germany, which was one
Shabbetai Tsevi (1626–1676), converted to Islam in 1667.
product of enlightenment, deleted references to Zion in the
prayer book and emphasized the patriotic attachment of Jews
On the other hand, another group of medieval thinkers
to their native countries. Some Haskalah writers used messi-
deemphasized the importance of immigration to Zion.
anic language to describe European rulers, such as Joseph II
Some, such as H:ayyim Kohen (twelfth century), saw no obli-
of Austria (1741–1790) and Alexander II of Russia (1818–
gation to live in the Land of Israel since the commandments
1881), who were perceived as particularly sympathetic to the
pertaining to the land could not be observed until the com-
Jews.
ing of the Messiah. Meir ben Baruch of Rothenburg
(c. 1220–1293) argued that it is permissible to leave the Land
On the other hand, much of the new Hebrew literature
of Israel to study the Torah. Similarly Moses Maimonides
written by Haskalah authors, especially in eastern Europe,
(Mosheh ben Maimon, 1135/8–1204), the most renowned
harkened back to the land of the Bible. Avraham Mapu
of medieval Jewish philosophers and legal scholars, gave
(1808–1867), the first Hebrew novelist, placed the plots of
greater emphasis to the study of the Torah than to awaiting
two of his novels, Ahavat Tsiyyon (Love of Zion, 1853) and
or hastening the coming of the Messiah. In his code of Jewish
Ashmat Shomron (Guilt of Shomron, 1865–1866), in roman-
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9979
tic biblical settings. Hebrew newspapers such as Ha-shahar
MODERN SECULAR ZIONISM. The rise of anti-Semitism in
and Ha-maggid, published in Russia, also fostered interest in
France, Germany, and Russia in the last quarter of the nine-
the Land of Israel and countered assimilationist tendencies
teenth century raised serious questions about the prospects
by arguing for a Jewish national consciousness. In addition
of Jewish integration into European society. Under the influ-
the activities of western European Jewish philanthropists,
ence of modern nationalist ideas, a number of secular or par-
such as Edmund de Rothschild (1845–1934), Adolphe Cré-
tially secular Jews in several countries began to conceive of
mieux (1796–1880), and Moses Montefiore (1784–1885),
a Jewish homeland as the only answer to the Jewish situation.
in settling Jews in Palestine fostered the beginnings of the
In addition to the political problem of anti-Semitism, many
modern settlement in the country. Thus both in literature
of these thinkers felt that the growing problem of Jewish as-
and philanthropy modern “enlightened” Jews created the
similation could be addressed only by the creation of a Jewish
basis for a Zionist movement.
society with its own national culture.
One secular Jewish thinker of particular importance was
The new Zionist thinkers attempted to combine the
Moses Hess (1812–1875). Hess was one of the early leaders
ideas of secular nationalism with the messianic aspirations
of European socialism. Following the 1848 revolutions, he
still cultivated by the large population of traditional Jews. In-
withdrew from political activity and became interested in the
deed it might be argued that Zionism emerged when it did
history of national groups. He rediscovered his Jewish origins
as a result of the influence of modern nationalism, but that
and became a fervent advocate of Jewish nationalism. In his
it emerged at all was a result of the persistence of the age-old
Rome and Jerusalem (1862), he advanced a proposal for the
religious longing for Zion. Yet the tensions between these
renewal of the Jewish state, arguing that the continuation of
seemingly similar national ideals were evident from the in-
the Jewish people could be justified only on national, rather
ception of modern Zionism, and they continue to character-
than religious, grounds.
ize the conflict between the secular and the religious in mod-
ern Israel.
The second important nineteenth-century development
Following the pogroms in Russia in 1881, a group of
was among traditional Jews. Tsevi Hirsch Kalischer (1795–
eastern European intellectuals formed the H:ibbat Tsiyyon
1874) appealed to the Rothschild family to buy the Land of
(Love of Zion). The members of this movement came from
Israel from Muh:ammad EAl¯ı (1769–1849), the ruler of
both of the groups previously mentioned: followers of the
Egypt. Kalischer developed a plan to reinstitute the ancient
Haskalah and religious figures. H:ibbat Tsiyyon was primari-
sacrifices on the Temple mount as a way of hastening the
ly a practical movement that sought to foster settlement and
coming of the Messiah. He based his messianic doctrine,
agricultural development in Palestine. It borrowed its ideolo-
which called for human initiative, on Moses Maimonides,
gy of “productivization” of the Jews from the earlier Has-
who had argued that certain human actions might precede
kalah. The H:ibbat Tsiyyon was a response to the mass emi-
the actual coming of the Messiah. Later, following the Da-
gration of Jews from Russia that began in the wake of the
mascus blood libel affair of 1840 and the attempt by Western
pogroms, and it tried to direct the immigration to Palestine
philanthropists to rescue the Damascus Jews, Kalischer advo-
instead of to western Europe and America. Although the
cated agricultural settlement in the Land of Israel. However,
H:ibbat Tsiyyon sponsored a number of colonies in Palestine,
even in his later writings, which put forward this kind of
it never became a mass movement, and its impact was largely
practical suggestion, Kalischer never abandoned his messian-
on Russian Jewish intellectuals.
ic expectations, nor did he give up his hope that the sacrifices
might be reinstituted by the new settlers.
Modern Zionism really began with Theodor Herzl
(1860–1904). The term Zionism was coined in 1890 by Na-
A similar kind of religious “Zionism” can be found in
than Birnbaum (1864–1937) in his journal Selbstemanzipa-
the writings of Yehudah ben Shelomoh Alkalai (1798–
tion and was adopted by Herzl and his followers at the First
1878), who until the Damascus Affair was an obscure
Zionist Congress in 1897. Although some rabbis supported
preacher in the Balkans. Like Kalischer, Alkalai argued in nu-
Herzl, most members of the movement, including Herzl
merous pamphlets for Jewish settlement in the Holy Land
himself, were secular and Westernized. Nevertheless Herzl
as a means toward bringing the Messiah.
was greeted by many eastern European Jews as a messianic
figure. The first substantial Zionist emigration from eastern
The writings of Kalischer and Alkalai had little immedi-
Europe to Palestine started after the pogroms of 1903 and
ate effect, although there was an increase in immigration to
1905 to 1906 and was largely made up of young secular Rus-
Palestine by Orthodox Jews throughout the nineteenth cen-
sian Jews, many of whom were influenced by the Russian
tury. New communities of religious Jews were established
radicalism of the period.
outside the walls of Jerusalem, in some cases with the help
of philanthropists like Montefiore. In 1878 a group of Or-
The attitude toward religion among the early secular Zi-
thodox Jews established the first agricultural colony, Petach
onist thinkers was frequently quite hostile. Traditional Juda-
Tikva. Despite their traditionalist orientation, these religious
ism was viewed as the religion of the exile, and the Zionists
Jews made important contributions in laying the ground-
saw themselves as a movement to “negate the exile” (shelilat
work for the later Zionist settlement.
ha-golah). This position received its sharpest expression in
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ZIONISM
the writings of M. Y. Berdichevsky (1865–1921), J. H. Bren-
The ambivalence toward the Jewish tradition that one
ner (1881–1921), and Jacob Klatzkin (1882–1948). Berdi-
finds in many of these early secular Zionists had much to do
chevsky, for example, saw the whole religious Jewish tradi-
with their biographies. In most cases they came from tradi-
tion, going back to Mount Sinai, as being opposed to a
tional homes and were educated in the yeshivot (rabbinic
proud national life, and he wished to create a “new Hebrew
academies) of eastern Europe. Zionism was a radical revolu-
man” based on a “Nietzschean” countertradition of strength
tion for them against the world of their childhood, but they
and naturalism. Berdichevsky traced this countertradition
never fully broke with their memories of this religious cul-
back to the biblical period, when, he believed, the ancient
ture. Even if their way of life was secular, they wished to rec-
Hebrews followed a revelation from Mount Gerizim, men-
reate an authentic Jewish culture on a new, national basis.
tioned in Deuteronomy 27:11–26, that was opposed to the
If the labor Zionists were ambivalent at best toward the
“ethical” Torah of Mount Sinai. The prophets, and later the
Jewish religion, their counterparts in the Revisionist Zionist
rabbis, suppressed this Torah of nature, but it persisted in
Party (organized in 1925) were militant. The Revisionists
heretical movements and splinter sects, such as the first-
were led by Vladimir Jabotinsky (1880–1940), the Russian-
century Zealots and the eighteenth-century H:asidim. This
Jewish journalist and poet, and they acquired the reputation
idea, that the Jews had been misled by the rabbis and had
of a right-wing, nationalist movement. Although Jabotinsky
followed a tradition alien to their roots, had an important
had a few religious followers, his movement was generally ad-
influence on the more radical secular Zionist attitudes to-
amantly secular and opposed to religion. In the 1940s a
ward the Jewish religion.
splinter group under the poet Yonatan Ratosh (1908–1981)
Nevertheless there were other secular Zionists who tried
broke off from the Revisionists and formed the Young He-
to base the new Zionist culture on elements from the reli-
brew, or “Canaanite,” movement (the latter term was origi-
gious tradition. Ah:ad ha-EAm (the pen name of Asher Gins-
nally used by their opponents). The Canaanites saw the Jews
berg, 1856–1927) tried to develop a secular Judaism based
as a religious group whose history was in the exile, whereas
the new Hebrew community in Palestine was to break from
on certain principles from the Jewish heritage. He believed
the religious past and develop its own indigenous culture.
that the Jewish religion was one expression of a wider Jewish
The Canaanites were inspired by the myths of the ancient
national culture. The elements that a secular Judaism might
Canaanites that were uncovered in the Ras Shamra excava-
borrow from the tradition varied in Ah:ad ha-EAm’s writings
tions of the 1930s. Although the Canaanites were an extreme
(sometimes “absolute monotheism” was stressed, other times
nativist movement, their thought points to an important
“liberal ethics”), but he held that the development of this cul-
trend in Israeli culture away from traditional Jewish religion
ture was possible only in a Jewish national home. This na-
and toward a new national culture that might incorporate
tional cultural center would in turn revitalize the Jewish Di-
ancient Near Eastern myths.
aspora, which had been spiritually weakened by assimilation
and the decline of the Jewish religion.
RELIGIOUS ZIONISM. Although the majority of the Ortho-
dox Jewish world was either indifferent or opposed to Herzl’s
A number of the leaders of the secular Zionist labor
Zionist movement, there was a significant group that re-
movement also tried, with varying degrees of success, to in-
sponded favorably to the idea of a Jewish state. Among the
corporate a more positive attitude toward the Jewish religion
first rabbis to join Herzl were Yitsh:aq YaEaqov Reines (1839–
into their secular ideologies. Aharon David Gordon (1856–
1915) and ShemuDel Mohilever (1824–1898), who was per-
1922), who was one of the pioneers of the early agricultural
haps the most prominent rabbi in the H:ibbat Tsiyyon move-
settlements, developed a religion of labor based on a mystical
ment. In 1902 Reines formed Mizrah:i, a religious faction
bond between the Jew and the Land of Israel. Physical labor
within the World Zionist Organization (the name is a com-
on the national soil is a way of renewing the self and bringing
posite of some of the Hebrew letters from the words merkaz
it into harmony with the cosmos. Although Gordon was not
ruhani, “spiritual center”). Mizrah:i consisted of two groups,
a practicing Orthodox Jew, his philosophy relied heavily on
one that opposed the introduction of any “cultural” issues
Jewish mysticism and Hasidism as well as on Tolstoyan
into the Zionist movement, for fear that the secularists would
ideals.
set the tone in such endeavors, and another that saw that Zi-
onism could not avoid confronting cultural questions and
Another labor leader, Berl Katzenelson (1887–1944),
demanded that Mizrah:i try to influence the Zionist move-
argued for the adaptation of traditional Jewish holidays and
ment in a religious direction. Although the “political” faction
rituals to the new national home. Katzenelson, who was
was initially predominant, the Mizrah:i movement ultimately
enormously influential as a cultural and ideological writer,
saw as its raison d’être the fostering of religious education
laid the groundwork for a secular national culture that had
and public religious practice in the Zionist settlement in Pal-
its roots in Jewish tradition. Similarly the first prime minister
estine and later the state of Israel.
of Israel, David Ben Gurion (1886–1973), sought to base the
new national culture on a return to the Bible, a theme that
Mizrah:i played a major role in mustering support for
had precedent among the Haskalah writers of the nineteenth
Zionism among Orthodox Jews in Europe and the United
century.
States. It created a network of schools in which Zionism was
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9981
taught together with traditional religious subjects. At the
tion of the agricultural settlements. Kook’s unusually posi-
same time Mizrah:i established schools in Palestine that
tive attitude toward the secular Zionist movement was based
formed the backbone of the religious educational system that
on his belief that, when Zionism succeeded, messianic times
is an important part of the general educational system in the
would come and the Zionist movement would itself return
contemporary state of Israel. The Mizrah:i youth movements,
to its unconscious religious roots.
Young Mizrah:i and Benei Akiva, began establishing agricul-
tural settlements in Palestine in the 1920s.
Kook’s messianic philosophy had little direct impact on
the religious Zionist parties, but it did influence a new gener-
The Mizrah:i joined three other religious parties to
ation of religious Israelis, particularly through the Merkaz
create a religious faction in the first Israeli governing coali-
ha-Rav Yeshivah in Jerusalem, established by Kook and
tion. In 1956 they formed the National Religious Party
headed by his son Tsevi Yehudah Kook (1891–1982) until
(NRP) and PoEel Mizrah:i (Mizrah:i workers). The NRP has
the latter’s death. This new generation did not accept the
sat in every Israeli government (with the exception of one
compromise position of the older leaders of Mizrah:i, who be-
year) to date and regularly receives approximately 10 percent
lieved that the religious parties should primarily guard the
of the vote. However, this percentage began to drop in the
religious status quo in the state of Israel. The young religious
1980s with the defection of more nationalist elements to
Zionists, who grew up after the creation of the state in 1948,
other, nonreligious parties and the emergence of the ul-
believed strongly in Zionism as the fulfillment of traditional
traorthodox Shas Party, which appealed to Jews of Middle
Jewish messianism. This belief took political expression after
Eastern and North African origin. Despite its relatively small
the Six-Day War of 1967. Young religious Israelis reestab-
share of the national vote, the NRP has constituted an im-
lished the settlements in the Etsion bloc south of Jerusalem
portant “swing” element in Israeli governments since neither
and created a Jewish outpost in Hebron in 1968. (This illegal
the Labor Alignment nor the Likud Party has been able to
settlement was later recognized by the government and de-
win a clear majority. Thus the NRP has exerted dispropor-
veloped into the town of Qiryat Arba outside of Hebron.)
tionate influence on Israeli politics and on the role of religion
In 1974, following the Yom Kippur War, these religious ac-
in Israeli society.
tivists founded the Gush Emunim (bloc of the faithful)
movement, which advocated the incorporation of Judea and
Since its inception the Mizrah:i sought to avoid the
Samaria (the West Bank of the Jordan River) into Israel. The
problem of the relationship of Zionism to Jewish messia-
Gush Emunim led a settlement drive in these areas, some-
nism. Much opposition to Zionism in the religious world
times with the support of the Israeli government and some-
stemmed from the belief that human beings should not
times illegally. They constituted a significant messianic force
“force the end” (i.e., initiate messianic times by secular
in Israeli politics and formed alliances with secular national-
means). Instead of answering this position with a new messi-
ist forces.
anic theory, the adherents of Mizrah:i took a cautious stance,
claiming that the Zionist movement constituted a “begin-
RELIGIOUS INSTITUTIONS IN THE STATE OF ISRAEL. Under
ning of redemption.” They saw their role as guaranteeing
both the Ottoman Empire and the British Mandate, Jewish
that the future redemption would not be ruined by the heret-
religious courts enjoyed official jurisdiction over matrimo-
ical actions of the secular Zionists.
nial and inheritance law. The office of the hakham basi in
the Ottoman Empire was succeeded by the Ashkenazic and
There were, however, certain elements among the reli-
Sefardic chief rabbis under the British Mandate. These func-
gious Zionists who took a bolder approach to the question
tions were carried over to the rabbinic courts and the chief
of messianism. Primary among these was Avraham Yitsh:aq
rabbinate of the state of Israel, which were given jurisdiction
Kook (1865–1935), who became chief rabbi of Jaffa in 1904
over matters of personal law by a Knesset enactment of 1953.
and then chief Ashkenazic rabbi of Palestine from 1921 until
Rabbinical judges were given the same status as district court
his death in 1935. Kook held that redemption had begun
judges, and their decisions were enforced by the civil authori-
with the Zionist movement, and in anticipation of imminent
ties. Thus in matters of marriage, divorce, and child custody,
messianic times, he fostered study of the sacrificial laws in
rabbinic courts—ruling according to Jewish law (halak-
his yeshivah. Unlike other religious Zionists and religious
hah)—have state sanction. Civil marriage and divorce do not
anti-Zionists, Kook believed the secular pioneers were a nec-
exist, although civil marriages are recognized if contracted
essary force to prepare the material foundation for messianic
abroad. The Ministry of Religious Affairs deals with the
times. He argued dialectically that the profane was necessary
needs of the various religious communities in Israel and
for subsequent emergence of the sacred. Kook met frequently
funds the construction and maintenance of synagogues,
with leaders of the labor Zionist movement and developed
yeshivot, and other religious facilities.
close ties with them. As chief rabbi of Jaffa he played a central
role in 1909 in the attempt to solve the problem of the
Although both the Conservative and Reform move-
shemittah, the agricultural sabbatical during which land
ments have small followings in Israel, their rabbis are not au-
owned by Jews in the Land of Israel is supposed to lie fallow.
thorized by the rabbinate to perform marriages, and they do
Kook arranged for sale of such land to a non-Jew, which al-
not benefit from the budgets available through the Ministry
lowed it to be worked by Jews and permitted the continua-
of Religious Affairs. Conversion to Judaism is supervised by
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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ZIONISM
the rabbinate, and thus Conservative and Reform conver-
whereas the legislative system, responding to religious senti-
sions are not recognized as valid unless contracted abroad.
ments, has avoided such a break with tradition.
Although the majority of the Jewish citizens of Israel are
The immigration of nearly a million Russian Jews fol-
secular or quasi-traditional, a religious status quo is main-
lowing the breakup of the Soviet Union posed new chal-
tained. The Sabbath is the national day of rest, and Jewish
lenges to Israel’s identity. Many of these Russian Jews were
holidays are national holidays. Sabbath rules apply in public
of mixed parentage, and a large percentage (perhaps as many
places at the discretion of local municipalities, but the vari-
as a third) was not Jewish at all. The courts faced problems
ous political parties have undertaken to maintain the prac-
of whether fallen soldiers of Israel’s army could be buried in
tices that have existed since the creation of the state. In the
Jewish cemeteries. The state faced another problem in 1994
1977 and 1982 coalition agreements, the Agudat YisraDel
with the immigration of Ethiopian Jews, whose religious tra-
Party, which represents some of the most orthodox elements,
ditions did not include rabbinic law. The rabbinate ruled
demanded certain changes in the status quo, such as cancella-
that they were to be considered Jews, even though the weight
tion of Sabbath flights by the national airline, El Al.
of historical evidence seemed to preclude such ethnic descent
on religious grounds.
The problem of religion in the state of Israel is connect-
ANTI-ZIONISM. There are a number of expressions of anti-
ed more generally to the question of a Jewish state. Accord-
Zionism based on religious motivations. In both Europe and
ing to the Orthodox interpretation, a Jewish state would
America nineteenth-century Reform Judaism was unalter-
have to be a “theocratic” state governed by Jewish law
ably opposed to a national definition of Judaism. The Pitts-
(halakhah). At the opposite extreme, the secular nationalist
burgh Platform of 1885 specifically rejected any expectation
argument holds that Israel should be a secular state in which
of a return of the Jews to Zion. By 1937, however, the Re-
synagogue and state are strictly separated and whose Jewish
form movement had moved to a more neutral position and
character is determined purely by the sociological makeup of
adopted the Columbus Platform, in which the “group loyal-
its population. For the Orthodox the identity of the Jews can
ty” of the Jews is recognized and the Jewish community of
only be determined by the halakhah: one is a Jew only if born
Palestine is supported “not only [as] a haven of refuge for the
of a Jewish mother or converted by a halakhic procedure. For
oppressed but also [as] a center of Jewish culture and spiritual
the secular Zionists anyone who declares himself or herself
life” (Plaut, 1963–1965). Nevertheless a wing of the Reform
a Jew should be considered as such. Moreover some secular
movement, which formed the American Council for Juda-
nationalists argue that a new Israeli identity should take the
ism, actively opposed the creation of Israel in the 1940s. Fol-
place of Jewish identity, which they regard as a religious relic
lowing the Six-Day War, the Reform movement became ex-
of the years of exile. In a case in the 1960s the Israeli Su-
plicitly Zionist and joined the World Zionist Organization.
preme Court ruled that Jewish identity is not determined by
Reform Jews established several kibbutsim and congregations
the halakhah. The case concerned a Carmelite monk, Broth-
in Israel.
er Daniel, who was born a Jew and had fought against the
Nazis as a partisan. He requested Israeli citizenship under the
Among the Orthodox, Zionism was initially greeted
Law of Return, arguing that, according to the halakhah, he
with skepticism or hostility. The initial plan to hold the First
remained a Jew even though he professed another religion.
Zionist Congress in Munich was canceled as a result of oppo-
The court ruled against him with the argument that the con-
sition by the German rabbis. In 1912 Agudat YisraDel was
ventional understanding of who is a Jew contradicted the
formed by rabbis from Germany, Hungary, and Poland as
halakhah in such a case and, since Israel is not a halakhic
an organization to advance orthodoxy in Jewish life. The
state, that the common definition should prevail. Similarly
Agudah opposed secular Zionism but maintained an ambiva-
in 1970 the court ruled that a child born of a Jewish father
lent attitude toward settlement in the Land of Israel. Follow-
and a non-Jewish mother might be registered as of “Israeli”
ing the establishment of the state, the Agudah became a po-
rather than “Jewish” national identity. This decision would
litical party advocating a state based on the halakhah. The
have set aside the concept of a corporate Jewish state in favor
ideology of the movement opposes participation in Zionist
of a new secular Israeli identity. As a result of pressure from
governments, although its representatives have nevertheless
the religious Zionist parties and of discomfort on the part
from time to time held cabinet seats and although they pro-
vided coalition support for the government after 1977. The
of many secular Zionists, the Knesset passed a law providing
Agudah has used its political influence to strengthen its edu-
that only persons recognized as Jews by the halakhah might
cational and religious institutions and has sought religious
be registered as Jews by nationality. In 1980 the Knesset
concessions from the Knesset, such as exemptions for reli-
passed a law stipulating that, in matters in which there is no
gious girls from national service and stricter adherence to
specific law or precedent, judges should be guided by “He-
Sabbath rules. As opposed to the National Religious Party,
brew jurisprudence” (mishpat Eivri). Judges were directed to
the Agudah considers itself non-Zionist and does not identi-
follow traditional Jewish law, but by avoiding the term
fy with the national goals of the state.
halakhah, the Knesset was able to satisfy the secular refusal
to accept a theocratic state. Thus the judicial system has gen-
In the 1980s the Shas Party was formed under the spiri-
erally attempted a secular definition of Jewish identity,
tual leadership of Rabbi EOvadyah Yosef (b. 1920), an Iraqi-
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ZOHAR
9983
born sage who served as chief Sefardic rabbi of Israel. The
Spanish Exiles” (in Hebrew) in Yitzhak F. Baer Jubilee Vol-
Shas Party appealed primarily to Jews of Middle Eastern and
ume, edited by S.W. Baron, B. Dinur, S. Ettinger, and I.
North African origin and defined itself as non-Zionist, by
Halperin (Jerusalem, 1960). A nationalist argument about
which it meant that, like the Agudat YisraDel, it favored a
the relationship between the Jews and Zion in Jewish history
theocratic state in place of the secular state of Israel. But Shas
and especially the modern period is in Ben Zion Dinur’s Isra-
was characterized more by pragmatism, seeking state subsi-
el and the Diaspora (Philadelphia, Pa., 1969). For the rela-
tionship of the Jewish Enlightenment to Zion, see Isaac F.
dies for its extensive network of schools and social services
Barzilay’s “National and Anti-National Trends in the Berlin
for its constituents.
Haskalah,” Jewish Social Studies 21 (1959): 165–192; and
A more extreme anti-Zionist group is the Neturei Karta
Jacob S. Raisin’s The Haskalah Movement in Russia (Maple
(guardians of the city), which broke off from Agudat YisraDel
Shade, N.J., 2001), an old but still useful work. The attitude
in 1935. The Neturei Karta are largely followers of the Sat-
of nineteenth-century Reform is treated in W. Gunther
mar Hasidic sect. Neturei Karta opposed the creation of the
Plaut’s The Rise of Reform Judaism (New York, 1963–1965).
state of Israel and regarded Zionism as a heinous sin that pre-
On the origins and history of the Zionist movement, see David
vents the coming of the Messiah. They believe the Nazi
Vital’s The Origins of Zionism (Oxford, U.K., 1975) and Zi-
Holocaust was punishment for secular Zionism, and they de-
onism: The Formative Years (Oxford, U.K., 1982). A good
general history of Zionism is Walter Laqueur’s A History of
clared their willingness to participate in an Arab government
Zionism (New York, 1972). The history of Zionist thought
in Palestine. They clashed violently from time to time with
has been treated by Shlomo Avineri in The Making of Modern
the Israeli police in demonstrations against what they regard
Zionism: The Intellectual Origins of the Jewish State (New
as violations of Jewish law in the state. The members of Ne-
York, 1981) and by Ben Halpern in The Idea of the Jewish
turei Karta live for the most part in Jerusalem, where they
State (Cambridge, Mass., 1961). A good anthology of Zion-
govern themselves, taking no services from the state and pay-
ist thought with a superb introductory essay is Arthur Hertz-
ing no taxes. They also have significant support from certain
berg, ed., The Zionist Idea (Philadelphia, 1997). The specific
ultraorthodox Jews in the United States.
issue of religion in the Zionist movement is treated by Ehud
Luz, Parallels Meet: Religion and Nationalism in the Early Zi-
CONCLUSION. Modern Israel is the product of both secular
onist Movement (1882–1904) (Philadelphia, 1988) and, in
and religious tendencies with origins in modern nationalism
the state of Israel, by Ervin Birnbaum, The Politics of Com-
and in the traditional messianic connection to Zion. With
promise: State and Religion in Israel (Rutherford, N.J., 1970),
the exception of the small anti-Zionist group, most Jews in
Charles S. Liebman and Eliezer Don-Yehiya, Religion and
the world, representing virtually the whole religious spec-
Politics in Israel (Bloomington, Ind., 1984), and S. Zalmon
trum, support the basic aspirations of Zionism. Thus the
Abramov, Perpetual Dilemma: Jewish Religion in the Jewish
character of the Jewish state—religious, secular, or some
State (Rutherford, N.J., 1976). A good treatment of the rela-
combination of both—remains an issue of political conflict
tionship between Zionism and Jewish messianism is Aviezer
among Zionists, but this conflict is also emblematic of the
Ravitzky, Messianism, Zionism, and Jewish Religious Radical-
larger question of the relationship of religion to nationalism
ism (Chicago, 1996). An anthology of anti-Zionist thought
in the modern world.
is in Michael Selzer, ed., Zionism Reconsidered (New York,
1970). A semischolarly treatment of religion in Israel from
S
the viewpoint of Neturei Karta is Emile Marmorstein’s
EE ALSO Agudat YisraDel; Messianism, article on Jewish
Messianism.
Heaven at Bay: The Jewish Kulturkampf in the Holy Land
(London, 1969).
BIBLIOGRAPHY
DAVID BIALE (1987 AND 2005)
Two books devoted to the subject of Zion throughout the history
of Jewish thought are Abraham S. Halkin, ed., Zion in Jewish
Literature (New York, 1961), which contains essays on the
ZODIAC SEE ASTROLOGY
biblical and rabbinic periods, medieval secular and religious
poetry, and nineteenth-century Hebrew poetry and prose;
and the more synthetic Jean-Christophe Attias and Esther
Benbassa, Israel, the Impossible Land (Stanford, Calif., 2003).
ZOHAR.
An additional source of Zionist poetry is The Penguin Book
Sefer ha-zohar (The book of splendor) is the cen-
of Hebrew Verse, edited by T. Carmi (New York, 1981),
tral book in the literature of Jewish mysticism (Qabbalah).
which includes poetry by Yehudah ha-Levi. For additional
It is attributed to ShimEon bar Yoh:Dai, a second century
articles on the biblical period, see Shemaryahu Talmon’s
tanna, but modern scholarship has concluded that it is a
“The Biblical Concept of Jerusalem,” Journal of Ecumenical
compilation dating from thirteenth-century Spain. Quota-
Studies 8 (1971): 300–316; and Ben Zion Dinaburg’s “Zion
tions from the Zohar first appear in qabbalistic writings after
and Jerusalem: Their Role in the Historic Consciousness of
1280, and analysis of the book’s terminology and prose style
Israel” (in Hebrew), Zion 16 (1951): 1–17. Other valuable
shows that its real author is Mosheh de León (1240–1305),
discussions of medieval writings are Yitzhak F. Baer’s “Erez
a Castilian qabbalist.
Yisrael and the Diaspora in the View of the Middle Ages” (in
Hebrew), Zion Yearbook 6 (1946): 149–171; and H. H. Ben-
Written mostly in Aramaic, the Zohar presents an elabo-
Sasson’s “Exile and Redemption through the Eyes of the
rate and comprehensive, though not always coherent, mysti-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
9984
ZOLLA, ELÉMIRE
cal system that employs audacious anthropomorphic and
German (by Ernst Müller, 1932 and 1984); and in Italian
sexual imagery to express a mythical and symbolic perception
(by L. Balducci, 1978).
of divine reality without precedent in medieval Qabbalah.
The Zohar was accepted by qabbalists as an authoritative an-
BIBLIOGRAPHY
cient work, and its influence on the later evolution of Jewish
Jellinek, Adolf. Moses ben Schem-Tob de Leon und sein Verhaltnis,
mysticism was felt principally through the impact of its
zum Sohar. Leipzig. 1851.
mythical conceptions on qabbalistic theosophy.
Liebes, Yehudah. “Peraqim be-milon Sefer ha-Zohar.” Ph. D. diss.,
The Zohar encompasses a series of qabbalistic works that
Hebrew University of Jerusalem, 1976.
can be divided into three main layers:
Liebes, Yehudah. “Ha-mashiah: shel ha-Zohar.” In Ha-re Dayon ha-
meshihi ba-mah:shavah ha-Yehudit, pp. 83–234. Jerusalem,
(1) Midrash ha-ne Eelam (The hidden Midrash) is consid-
1982.
ered to be the earliest stratum. Written partly in He-
Liebes, Yehudah. “Christian Influences in the Zohar.” Immanuel
brew, partly in Aramaic, it has overt affinities with
17 (Winter 1983–1984): 43–67.
Mosheh de León’s early Hebrew works and an obvious
tendency toward allegorical exegesis of biblical verses.
Matt, Daniel Chanan. Zohar: The Book of Enlightenment. Ramsey,
N.J., 1983.
(2) The bulk of the Zohar consists mainly of a homiletical
Scholem. Gershom. Major Trends in Jewish Mysticism. 3d ed. New
interpretation of the Pentateuch, written in Aramaic
York. 1961. See pages 156–243.
and using symbolic exegesis. To this layer belong several
Scholem, Gershom, ed. Zohar: The Book of Splendor. Reprint.
shorter compositions, of which the most important are
New York, 1963.
Sifra D de-tseni EutaD (The occult book), IdraD rabbaD and
Idra E zut:t:aD.
Secret, François. Le Zôhar chez les Kabbalistes chrétiens de la Renais-
sance. Paris, 1958.
(3) The latest stratum is formed by two large compositions:
Tishby, Isaiah. Mishnat ha-Zohar. 2 vols. 3d ed. Jerusalem, 1971.
Tiqqunei zohar, which is composed of seventy interpre-
tations of the word bere Dshit (the opening word of Gene-
MOSHE IDEL (1987)
sis), and Ra EyaD meheimnaD (The faithful shepherd), a
qabbalistic interpretation of the rationale for the com-
mandments.
ZOLLA, ELÉMIRE. Elémire Zolla (1926–2002), an
Immediately after their appearance, the earlier strata of the
Anglo-Italian polymath, writer, historian of ideas, metaphys-
Zohar were the subjects of commentaries by qabbalists. Yosef
ical thinker, and spiritual seeker, has a unique place in twen-
Angelino (early fourteenth century) compiled a commentary
tieth-century religious, comparative, and cultural studies.
entitled Livnat ha-sappir on the portions of the Zohar that
His rigorous and passionate explorations of shamanism,
explain Genesis and Leviticus. In the late thirteenth century
Gnosticism, alchemy, and esoteric doctrines, and his original
David ben Yehudah he-H:asid wrote Sefer ha-gevul, a com-
views on archetypes as the unifying patterns underlying his-
mentary on Idra D rabbaD. In the second half of the sixteenth
torical processes, on the mystic state conceived as the crux
century several important commentaries were composed in-
and marrow of human experience, and on syncretism as the
cluding, ShimEon Lavi’s Ketem paz, Mosheh Cordovero’s Or
equalization of philosophies and religions on a trans-
yaqar, and works by Mosheh Isserles, Eliyyahu Loans of
historical plan, make Zolla an unusual thinker, and a candi-
Worms, Avraham Axulai, Avraham Galante, and H:ayyim
date for a nonparochial reconsideration of his spiritual an-
Vital. All subsequent commentaries extant were written
thropology. Zolla’s work is imbued with the passion for truth
under the influence of the reinterpretation of qabbalistic
that Abraham Joshua Heschel immediately recognized at the
ideas by Isaac Luria, a fact that diminishes their contribution
time of their first encounter in Rome in the late 1960s. In
to understanding the text. The most important of these are
fact, Zolla was the dedicatee of the Italian edition of Hes-
by Shalom Buzaglo (seventeenth century) Eliyyahu ben
chel’s Passion for Truth (1974).
Shelomoh Zalman (known as the Gaon of Vilna [Vilnius])
A prominent and controversial figure on the Italian cul-
in the eighteenth century, and Yitsh:aq Eizik: Safrin of Ko-
tural scene from the late 1950s, Zolla became director of the
marno in the nineteenth century.
Institute of Foreign Languages and Literatures at the Univer-
There are several Hebrew translations of the Zohar; the
sity of Genoa, where he was also chair of Anglo-American
earliest, dating from the late thirteenth or early fourteenth
literature and Germanic philology (1970–1974). In those
century, is that of David ben Yehudah he-H:asid, who incor-
same years, before transferring to the University of Rome to
porated parts of it in his own qabbalistic works. Parts of the
serve as professor of American literature, he directed the Ti-
Zohar have been translated into Latin by Guillaume Postel
cinese Institute for Advanced Studies at Lugano, Switzer-
and Knorr von Rosenroth. Larger translations exist in En-
land, where he organized summer courses dealing with the
glish (by Harry Sperling and Maurice Simon, 1931–1934;
metaphysical assumptions of Latin, Greek, Hindu, Chinese,
by Daniel Chanan Matt, 1983); in French (by Jean de Pauly,
Iranian, Hebrew, Islamic, and African civilizations. Zolla was
1906–1911; by Charles Mopsik and B. Maruani, 1981); in
also the founder and editor of an Italian-language journal in
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ZOLLA, ELÉMIRE
9985
cultural and religious studies, Conoscenza religiosa (1969–
writers. The studies in mortem produced by some of Zolla’s
1983), and he was a regular contributor to numerous other
former disciples are noteworthy when considering the legacy
journals, many in English. He served on the board of editors
of Zolla’s work in this area.
of Cahiers de l’hermetisme, Connaissance des religions, Incogni-
KEY FIGURES IN ZOLLA’S THOUGHT. In a long interview
ta, and Quaderni di Italianistica, and was a member of the
with a journalist shortly before his death, Zolla teasingly pre-
advisory board of the African Institute for the Studies of Hu-
dicted: “It won’t be easy to retrace the lives I have lived and
manistic Values at the University of Cincinnati, as well as for
the directions of my thought” (Fasoli, 1995, p. 29). On an-
the Centre for the Study of Eurasian Shamanism at the Uni-
other occasion, when asked who had been a key figure in his
versity of Rome Tor Vergata, and the scientific council of the
own quest, he replied by quoting two metaphors, both of
Centre d’anthropologie et de civilization Européenne at the
them aquatic. The first is from Zolla’s collection of essays
University of Strasbourg. Zolla became professor emeritus in
Che cos’è la tradizione? (What is tradition?, 1971), a work
American literature at the University of Rome after he retired
that Bernard Wall described as a manifesto of a fearless pro-
in 1991.
gram of reaction against the spiritual atrophy of modern civi-
E
lization: “Humans are like carp,” wrote Zolla, “who flourish
SSENTIAL BIOGRAPHICAL AND ACADEMIC DATA. Zolla was
born in Turin on July 9, 1926. His father, Venanzio, was
and grow when there is a rock in the center of their pond
a well known Anglo-Italian painter; his mother, Blanche
that they can swim around in harmonious circles” (p. 9). The
Smith, was a musician from Kent. Zolla was brought up
second metaphor, from Zolla’s Verità segrete esposte in eviden-
speaking English, Italian, French, Spanish, and German.
za (Neglected truths exposed, 1990), is contained in a broad-
Later he would master several other languages, including
er reflection, abbreviated here: “Every life,” wrote Zolla,
Russian (he translated Pavel Florenskii’s Ikonostas as Le porte
“comprises an invisible interiority that is substantial to it.
regali, Milan, 1977). He graduated in law from the Universi-
The only way to grasp this is to sidestep tangible appear-
ty of Turin, and also attended courses in psychiatry held at
ances, to take a leap against the current like the salmon, who
the town asylum. A severe lung disease contracted at the age
is the living symbol of knowledge in the Old Norse Scrip-
of twenty-two gave him recurrent reminders throughout his
tures” (p. 154). The carp circling the rock and the salmon
life of the need to cherish every drop of vital energy. From
swimming upstream towards the source—no images could
a religious point of view, he was agnostic, but a fervent be-
better express the two leading traits in Zolla’s intellectual bi-
liever, as he used to say, in the boundless power of belief. In
ography and at the same time the character of his peculiar
the prime of his life he wrote stories, including “An Angelic
philosophical vision.
Visit on Via dei Martiri,” and two novels, Minuetto
Syncretism, which Zolla vigorously defended in his
all’inferno (Minuet in hell; 1956) and Cecilia o la disattenz-
essay “Il sincretismo” (1986), and metaphysical experience,
ione (Cecilia or inattention; 1961).
which in the first lines of “Archetypes” (1981) he described
As a literary critic he freelanced for the main periodicals
as “the gathering in of the aloof mind” when it “becomes ab-
of the time, contributing essays on Franz Kafka, André Gide,
sorbed in its self-existent identity and sameness,” were as
Thomas Mann, Marcel Proust, and James Joyce. Zolla devel-
much leitmotifs in Zolla’s pursuit of a unitive knowledge as
oped a keen interest in American matters from literary, his-
was his incoercible drive toward the systematic exploration
torical, juridical, and ethnological angles. On the suggestion
of otherness, a notion that he shaped into an extraordinarily
of Mario Praz, the leading Anglicist at the University of
vast array of implications, much beyond its strict ethnologi-
Rome, who had been highly impressed by Zolla’s earlier in-
cal meaning. In a memorable lecture given at the Inter-
vestigations on Herman Melville’s Clarel, on Emily Dickin-
religious Colloquium at the Rothko Chapel in Houston in
son’s poetry, and on Nathaniel Hawthorne’s Septimius Fel-
1974 (see Ibish and Marculescu, 1978), Zolla described oth-
ton, Zolla was offered the post of associate professor of
erness as an antipodal category of the human spirit, the para-
American literature at the University of Rome in 1959. A full
digm of an inverted world where ordinary life might flow
professorship followed in 1967.
peacefully between action and contemplation, and the eso-
teric life as a joyous apprenticeship in metaphysical experi-
Eloquence, bold knowledge, and a special gift for teach-
ence. This broader notion of otherness offers a key to an un-
ing made Zolla revered and popular among his assistants and
biased investigation of Zolla’s accumulated research into
students at the universities of Genoa and Rome. New
alchemy, including Western, Indian, and Daoist notions of
branches of study, such as Native North-American studies
immortality; esotericism, with a special bent for ecstatic
and ethnopoetics, along with fecund intersections with com-
Qabbalah, Sufism, Zoroastrian, and Tantric traditions; mys-
parative and Oriental studies, developed as a result of Zolla’s
ticism, which he explored in a monumental anthology of
work. He launched research projects involving teams of ju-
pagan and Christian contemplatives (I mistici dell’Occidente,
nior scholars on the superman theme in modern literature
1963); shamanism, particularly in the Native North Ameri-
and on exoticism in American literature. He also edited and
can and Korean contexts; and tradition and metaphysics,
introduced Novecento Americano (American literature in the
fields par excellence of Zolla’s lifelong spiritual quest. His en-
twentieth century; 1980–1983), a three-volume textbook
counters with survivals of the past among the North Ameri-
providing monographs on fifty major American modern
can Indians, in Africa (Nubia and Cairo), and especially in
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ZOLLA, ELÉMIRE
the East (Israel, Iran, India, Bali, Taiwan, Korea, and Japan),
an Thought 10 (Genoa, 2002): 129–144, and Fedora Gior-
were analyzed in his quarterly journal Conoscenza religiosa.
dano’s “Zolla and the Native Americans”(in Italian), in Gli
An international group of leading specialists contributed to
Indiani d’America e l’Italia, edited by F.Giordano and Alber-
its sixty-eight issues.
to Guaraldi, Alessandria, 2002.
The most perceptive interpreter of the multifaceted
Bibliographies updated to the year of Zolla’s death (2002) are
available in Viator 6 (2002): 24–34; and Idea viva: Gaceta de
identity of Zolla’s spiritual anthropology was probably the
cultura 14 (2002): 52–54, where, in addition, the relevance
Romanian historian of religions, Ioan P. Culianu (1950–
of Zolla’s esoteric thought is examined by F. G. Bazán in “E.
1991). In his view Zolla was “perhaps the most original, ver-
Zolla y el esoterismo,” pp. 10, 12, and 48; and Sheshat: Cross-
satile, and untimely of Italy’s foremost intellectuals, display-
Cultural Perspectives in Poetry and Philosophy 6 (2003), a spe-
ing supreme indifference towards the fashion of the day and
cial issue in memory of Zolla, edited by Terence DuQuesne
therefore—needless to say—controversial” (Culianu, 1990,
and Mark Angelo de Brito. See also Religion, Fiction, and
pp. 222–224). In his reconstruction of the image of the Indi-
History: Essays in Memory of Ioan Petru Culianu, 2 vols., ed-
an in American literature, which Zolla made in his celebrated
ited by Sorin Antohi (Bucharest, 2001), a collection to which
book, The Writer and the Shaman (1968), he approached the
Zolla contributed his “Culianu” (pp. 176–205), which in-
categories from the point of view of the Native American.
cludes an essential bibliographical survey on page 589.
Moreover, Culianu emphasizes that this process of lucid
Ten new works by Zolla appeared between 1991 and 2002, the
identification with the indigenous point of view, or with the
last being Discesa all’ade e resurrezione (Milan, 2002), a philo-
shaman who effects his ascent to heaven in trance, or with
sophical meditation on the hermetic motif of the journey of
the mystic enraptured in a circle of contemplative bliss, was
the human soul once the flesh has been discarded. Zolla’s Il
dio dell’ebbrezza: Antologia dei moderni dionisiaci (Turin,
possible thanks to the new position that emerged as part of
1998) is an exegesis of the Dionysian traces in modern litera-
Zolla’s method. It is the position of the “intelligence out of
ture, and Uscite dal mondo (Milan, 1992) is a collection of
love” (a fairly faithful translation of Dante’s “intelletto
essays focusing on the goal of life in light of the amazing new
d’amore”). To kindle a certain quality of love in the process
perspectives offered by virtual reality technology. Among
of comprehending the inner nature of otherness was the eso-
Zolla’s works in English, The Eclipse of the Intellectual
teric part of Zolla’s intellectual achievement. He was well
(1959), translated by Raymond Rosenthal (New York,
aware that such an achievement could not be pursued except
1968), Zolla’s first controversial book in social criticism,
by swimming upstream against the current of his time. No
contains a fierce attack on modern mass civilization. Zolla’s
vision could be as antipodal to the spirit of the age which was
influence is acknowledged in Marshall McLuhan’s From Cli-
dominant on the eve of the 1968 student revolts as the one
ché to Archetype (New York, 1970). Stefano Cochetti notices
the strong influence of Theodor W. Adorno’s and Max
Zolla depicted in Le potenze dell’anima (The powers of the
Horkheimer’s negative dialectics on it. Zolla’s The Writer
soul, 1968), a crucial investigation of the spiritual morpholo-
and the Shaman: A Morphology of the American Indian, trans-
gy in the history of culture.
lated by Raymond Rosenthal (New York, 1973), is an im-
pressive study of the images of the Indian in American litera-
BIBLIOGRAPHY
ture from the beginning of colonization to 1969.
Eighty percent of Zolla’s writings are in Italian; approximately ten
Zolla’s Language and Cosmogony (Ipswich, U.K., 1976) is a philo-
percent are in English, with the remaining works in Spanish,
logically-based analysis of Indo-European roots leading to a
French, and German. Essays and papers provided to interna-
reconstruction of the Vedic cosmogonical process. His The
tional conferences are scattered in several journals and vol-
Uses of Imagination and the Decline of the West (Ipswich,
umes of proceedings. His articles in Il corriere della sera, La
U.K., 1978) is a concise discussion on the decay of creative
nación, and the Sunday supplement of Il sole 24ore (pub-
imagination as distinct from and opposite to fancy in the
lished between 2000 and 2002) have ranged from travel ac-
modern West, with a learned, comparative approach to the
counts to social, literary, and art criticism. An annotated bib-
theory of imagination in Iranian metaphysics and Indian
liography in Italian, updated to 1991, is available in La
Veda¯nta. Zolla’s Archetypes: The Persistence of Unifying Pat-
religione della terra: Vie sciamaniche, universi immaginali,
terns (New York, 1982) begins with a description of meta-
iperspazi virtuali nell’esperienza sacrale della vita, edited by
physical experience in terms akin to sama¯dhi in the Veda¯nta
Grazia Marchianò (Como, Italy, 1991), pp. 35–41. This
philosophy, then moves on to a consideration of the arche-
title, translated as Earth Religion: Shamanic Paths, Imaginal
typal patterns and their modes of operation as mirrored in
Worlds, Virtual Hyperspaces in the Sacred Experience of Life,
mathematics, poetry, history, and politics. Reviews include
is a collection of interdisciplinary essays offered to Zolla on
those by Paul D. Huss in Library Journal 5, no. 1 (1982):
the occasion of his sixty-fifth birthday by Francisco Garcia
897; Pamela van Schaik, English Studies of the University of
Bazán, Ioan Petru Culianu, Terence DuQuesne, Moshé Idel,
South Africa 1 (1982); Philip Sherrard, Temenos 3 (1982):
Toshihiko and Toyo Izutsu, Wolfgang J. Jilek, Louise Jilek-
186–190; and Victor H. Jones, The Journal of Mind and Be-
Aall, Luce López-Baralt, Adam McLean, Viviana Pâques,
havior 3, no. 2 (1982): 175–177. The Androgyne: Fusion of
and Lawrence E. Sullivan.
the Sexes (London, 1981), published in the United States as
For evidence of the mark Zolla left on a new generation of Italian
The Androgyne: Reconciliation of Male and Female (New
specialists in Anglo-American studies, see Angelica Palum-
York, 1982), is a scholarly and beautifully illustrated pageant
bo’s “Elémire Zolla: An Initiation to Research”(in Italian).
of the man-woman image throughout history and myth. En-
Studi Europei: Annals of the Department of History of Europe-
cyclopedic entries by Zolla include “Les religions des
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZONGMI
9987
Amériques: Tribus Indiennes du Canada et des Etats-Unis,”
Zhongnan outside the eastern capital of Luoyang to read the
in Encyclopédie des religions, edited by Frédéric Lenoir and
Buddhist canon. He now began a productive career as a
Ysé T. Masquelier, vol. 1, pp. 1235–1250 (Paris, 1997); and
scholar, writing numerous commentaries on a wide range of
“Chamanisme: Amérique du Nord: Cheyenne”; “Amérique
Buddhist texts. His greatest exegetical energies, however,
du Nord: Inuit”; and “Amérique du Nord: Sioux”; in Dic-
were devoted to the Yuanjue jing, which he regarded as better
tionnaire critique de l’esoterisme, edited by Jean Servier,
suited to the age than the Avatam:saka. His scholarly activity
pp. 280–282 (Paris, 1998).
came to an abrupt stop in 835, when he became implicated
Zolla’s essay, “Traditional Modes of Contemplation and Action”
in an abortive attempt to oust the eunuchs from power at
can be found in Contemplation and Action in World Religions:
court. Afterward he withdrew from public life, and nothing
Selected Papers from the Rothko Chapel Colloquium “Tradi-
further is known about him until his death in 841.
tional Modes of Contemplation and Action,” edited by Yusuf
Ibish and Ileana Marculescu (Houston, Tex., and Seattle,
Zongmi’s Chan training played a key role in the new
Wash., 1978). See also Ioan P. Culianu, “Elémire Zolla: Ne-
thrust that he gave to Huayan metaphysics. His emphasis on
glected Truths Exposed,” Incognita 1, no. 2 (1990): 222–
the ultimate ground from which phenomena arise over their
224; and Doriano Fasoli, ed. Un destino itinerante: Conversa-
unimpeded interpenetration—an idea characteristic of the
zioni tra occidente e oriente (Venice, 1995).
classical Huayan thought of Fazang (643–712)—reveals his
Reviews on Zolla include Bernard Wall, “Against the Delirium of
interest in clarifying the ontological basis for religious prac-
Negation,” Times Literary Supplement (October 29, 1971).
tice. He also found in Huayan hermeneutics a framework in
Excerpts from major reviews are quoted in the entry on Zolla
which to harmonize the conflicting tendencies evident in the
in Book Review Digest (1974): 1351. See also Vine Deloria
Buddhist world of his day. His Chanyuan zhuquanji duxu
Jr., “Images of the Indian,” Boston Sunday Herald Advertiser
(Preface to the collected writings on the source of Chan), for
(March 2, 1974); Guy Davenport, The Geography of Imagi-
instance, in addition to affording valuable historical insight
nation (1981): 353–358; Peter Nabokov, “Return to the Na-
into the Chan of the late eighth and early ninth centuries,
tive,” New York Review of Books 31 (September 27, 1984);
and Ioan P. Culianu, “The Construction of the Other,” His-
seeks to reconcile the split that had developed between Chan
tory of Religions 30, no. 3 (1991): 308–311. In Cesare Mé-
practitioners and textual scholars, as well as between the vari-
dail’s Le piccole porte, translated as Small Doors (Milan,
ous Chan lineages. His efforts to articulate a comprehensive
2004), Zolla’s spiritual quest is closely examined in compari-
framework in which apparently opposing positions could be
son with the ones of Mircea Eliade, Tenzin Gyatso, XIVth
sublated also extended to non-Buddhist traditions, as can
Dalai Lama, Thich Nhat Hanh, and Raimon
best be seen in his Yuanren lun (Inquiry into the origin of
Panikkar.
man). Zongmi’s writings represent an important stage in the
complex unfolding of the dialogue among the “Three Reli-
GRAZIA MARCHIANÒ (2005)
gions” (Buddhism, Daoism, and Confucianism) in Chinese
history.
ZONGMI (780–841), more fully, Guifeng Zongmi; Chi-
SEE ALSO Huayan.
nese Buddhist Chan and Huayan scholar, traditionally reck-
oned as the fifth “patriarch” both in the Heze line of South-
BIBLIOGRAPHY
ern Chan and in the Huayan tradition. Zongmi was born in
The most thorough study of Zongmi’s life and thought is Kamata
Xichong County, Guo prefecture, in Szechwan province. His
Shigeo’s Shu¯mitsu kyo¯gaku no shiso¯shiteki kenkyu¯ (Tokyo,
family, the Ho, was one of local prominence, and as a youth
1975), which includes a summary in English. Although not
entirely reliable in details, the best introduction to Zongmi
he received a traditional education in the Confucian classics.
in English is still Jan Yunhua’s “Zongmi: His Analysis of
He became interested in Buddhism as an adolescent, but he
Chan Buddhism,” T’oung pao 58 (1972): 1–53. Two of
continued his Confucian studies at a local academy in prepa-
Zongmi’s most important works are also available in English
ration for the imperial examinations that would open the
translation. For a study and translation of his, see Jeffrey L.
door to an official career. In 804, however, he met the Chan
Broughton’s “Guifeng Zongmi: The Convergence of Chan
priest Daoyuan and was so impressed that he abandoned his
and the Teachings” (Ph.D. diss., Columbia University,
worldly ambitions and became his disciple. Later, while still
1975). For a study and translation of his Yuanren lun, see my
a novice monk, he experienced his first awakening after read-
own work, “Zongmi’s Inquiry into the Origin of Man: A
ing only two or three pages of the Yuanjue jing (The scripture
Study of Chinese Buddhist Hermeneutics” (Ph.D. diss.,
of perfect enlightenment) at the home of a lay patron. Zong-
Harvard University, 1981).
mi continued his Chan study under Daoyuan, receiving full
New Sources
ordination from him in 808. Two years later he was intro-
Gregory, Peter N. “Sudden Enlightenment Followed by Gradual
duced to the commentary and subcommentary to the
Cultivation: Zongmi’s Analysis of Mind.” In Sudden and
Avatam:saka Su¯tra written by the famous Huayan scholar
Gradual: Approaches to Enlightenment in Chinese Thought, ed-
Chengguan (738–839). This work so impressed him that in
ited by Peter Gregory, pp. 279–320. Honolulu, 1987.
812 he became a disciple of Chengguan and studied intense-
Gregory, Peter N. Zongmi and the Sinification of Buddhism. Ho-
ly with him for two years. In 816 he withdrew to Mount
nolulu, 1991.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
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ZOROASTRIANISM
Gregory, Peter N. “Tsung Mi’s Perfect Enlightenment Retreat:
some scholars attributed the Ga¯tha¯s to one or more anony-
Ch’an Ritual during the T’ang Dynasty.” Cahiers d’Extreme-
mous poet-worshippers who allegedly presented an epic
Asie 7 (1993–1994): 115–148.
character named Zarathushtra as the prototypical poet-
PETER N. GREGORY (1987)
sacrificer. These conclusions are based on comparing aspects
Revised Bibliography
of the Gathic texts with certain Vedic poems and archaic
Greek epics. However, analyses of compositional style and
structure indicate that the Ga¯tha¯s were the product of a single
devotional poet named Zarathushtra (Possessor of Old Cam-
ZOROASTRIANISM. Zoroastrianism, known to its
els) who ensured that memory of him was perpetuated
followers as the Zarathushti din (Zoroastrian religion), devel-
through self-references within his compositions.
oped from the words, ideas, beliefs, and rituals attributed to
a devotional poet named Zarathushtra (later Middle Persian
When and where Zarathushtra lived is another prob-
or Pahlavi: Zardukhsht, Zardusht; New Persian or Farsi:
lematic issue. The traditional place and date for
Zardosht). Zarathushtra eventually came to be regarded as
Zarathushtra’s life found in a variety of Iranian (including
the founder and prophet of the devotionally monotheistic,
Zoroastrian), Mesopotamian, Greek, and later Arab sources
doctrinally dualistic faith named after him. So, followers of
is in Iran two hundred and fifty-eight years before Alexander
the religion are termed Zoroastrians (New Persian: Zartosh-
the Great’s conquest of Iran and the death of the last Achae-
tis, Zardoshtis; Gujarati: Jarthushtis). Zoroastrians also tradi-
menian king, Da¯rayavaush or Darius III (in 330 BCE)—that
tionally refer to their faith as Mazdayasna da¯ena¯ (Middle Per-
is, 588 BCE. However, the traditional date for Zarathushtra’s
sian: d¯en ¯ı Ma¯zd¯esn) (religion of Mazda¯) and to themselves
life seems to have been either of Greek or more probably of
as Mazdayasna (Middle Persian: Ma¯zd¯esn) (worshipers of
Babylonian origin. Moreover, it is unlikely that the Old or
Mazda¯), thus acknowledging worship of Ahura Mazda¯ (Wise
Gathic Avestan dialect was still spoken at that time, as evi-
Lord) as God and creator. The Fravara¯n¯e (Profession of
denced by the rapid decline in use of its west Iranian cognate,
faith) begins with the Avestan words: “I profess myself a wor-
Old Persian, during the Achaemenian period. So composi-
shiper of Mazda¯, a follower of Zarathushtra, opposing the
tion of the Ga¯tha¯s must have predated the seventh century
demons, accepting the doctrine of the Ahura.”
BCE.
Zoroastrianism developed into the major religion—
Another set of dates for Zarathushtra’s life arose among
theologically, demographically, and politically—of Iran and
classical writers. Diogenes Laertius (fl. third century CE),
Central Asia between the sixth century BCE and the tenth
based on Xanthus of Lydia (fl. fifth century BCE) and Hermo-
century CE, enjoying royal patronage from various dynasties.
dorus (fl. fourth century BCE), gave two dates for
During those centuries it influenced Hellenistic, Jewish,
Zarathushtra’s life—six thousand years before the Achae-
Christian, and Muslim beliefs through contact between
menian king Xerxes’ forces invaded Greece (in 480 BCE) and
members of those communities and Zoroastrians. Zoroastri-
from five to six thousand years before the Trojan War (early
ans assimilated aspects of monotheism and hagiography from
second millennium BCE). Pliny the Elder (23–79 CE) cited
the Judeo-Christian and Islamic traditions. After the Arab
Eudoxus (fl. fourth century BCE) in claiming that
conquest of Iran and Central Asia in the seventh century CE,
Zarathushtra had lived six thousand years before the death
Zoroastrianism gradually lost adherents through conversion
of Plato (in 348 or 347 BCE), or five thousand years before
to Islam. During the tenth century, some adherents migrated
the Trojan War. All those dates fall within the seventh mil-
to India, forming the minority Parsi (Persian) community
lennium BCE. Moreover, classical Greek and Roman authors
that flourishes there into the twenty-first century but became
regarded Zarathushtra as having been an Iranian magus. One
endogamic within Hindu society. By the thirteenth century,
major problem with accepting seventh millennium BCE dates
Irani Zoroastrians also had become a confessional minority.
for Zarathushtra’s life is that his words and ideas should then
During the nineteenth and twentieth centuries, Zoroastrians
be present not only in the Ga¯tha¯s but also within early Vedic
relocated from Iran and India to other countries. Based on
texts of Hinduism and be part of Indo-European devotional
recent demographic assessments, the faith has a following of
literature generally. Because the material data indicates that
approximately 300,000 persons worldwide.
Proto-Indians separated from Proto-Iranians during the late
THE FOUNDER, HIS IDEAS, AND HIS REPRESENTATIONS.
third or early second millennium BCE, Zarathushtra’s life
The issue of Zarathushtra’s image is central to Zoroastrian-
cannot date to before that division.
ism and Zoroastrians. Therefore, Zarathushtra requires dis-
The third possible place and date for Zarathushtra are
cussion within any overview of the religion.
the result of enhanced knowledge of both comparative Indo-
Zarathushtra’s dates and place. Devotees do not
Iranian linguistics and the archaeology of Central Asia. The
doubt the basic reality of Zarathushtra’s existence. Yet one
linguistic data suggests that the Ga¯tha¯s must have been com-
line of modern scholarship has been to view Zarathushtra as
posed after the Proto-Iranians were distinct from the Proto-
a legendary character. This position has resulted in sugges-
Indians (that is, by the eighteenth century BCE) but before
tions that a historical Zarathushtra was not the composer of
the Ga¯tha¯s became part of the Zoroastrian religious canon
the Ga¯tha¯s (Songs) central to Zoroastrian belief. Rather,
(that is, between the tenth and sixth centuries BCE), following
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ZOROASTRIANISM
9989
which Old Avestan fell into disuse. Descriptive reconstruc-
According to that later hagiographic tradition,
tion from the Avestan texts of the society in which
Zarathushtra’s mother, Dughdo¯va¯, was forced to flee her
Zarathushtra lived correlates with the archaeological remains
hometown for another village. There, she met a pious man
of the Late Bronze Age in Central Asia. That Bronze Age cul-
named Pourushaspa, with whom she conceived
ture extended from the Caspian Sea through Transoxiana to
Zarathushtra. A light supposedly shone from Dughdo¯va¯’s
Afghanistan in 2000–1750 BCE, followed by a period of soci-
womb when she was pregnant, resulting in attempts by evil-
etal dispersion in 1750–1500 BCE. So, Zarathushtra probably
doers to harm mother and fetus. Upon birth, Zarathushtra’s
lived and preached in Central Asia between the eighteenth
first breath apparently sounded like a laugh rather than a cry.
and fifteenth centuries BCE.
Surviving several attacks upon his life, Zarathushtra eventu-
Zarathushtra’s teachings. Zarathushtra’s Ga¯tha¯s pro-
ally left home at the age of twenty. After a decade of wander-
vided the Bronze Age people of Central Asia with a vivid and
ing and contemplation, he received revelation via Vohu
engaging system whereby religious belief and ritual activity
Manah (Middle Persian: Wahman, New Persian: Bahman)
were utilized to differentiate between asha (order) and drug
(Good Mind) and returned to preach the religion of Ahura
(confusion) (Ga¯tha¯s 33.4, 34.6). Zarathushtra established
Mazda¯. Zarathushtra was opposed by the clergy of the older
mazda¯ (wisdom) and Ahura Mazda¯ (later Old Persian:
cults in his homeland and had to seek refuge at the court of
Auramazda¯, Middle Persian: Ohrmazd, New Persian: Hor-
a neighboring ruler named Vishta¯spa, who accepted the reli-
mazd) as means of distinguishing right from wrong (Ga¯tha¯s
gion. Here, Zarathushtra preached and gained many follow-
33.13, 45.6). The primordial entity Ahura Mazda¯ was as-
ers until he was assassinated by a priest of another sect at the
cribed a creative hypostasis called Spenta Mainyu (originally
age of seventy-seven, or so it was written. Through these sto-
Spanta Manyu, Middle Persian: Spena¯g Me¯no¯g) (Holy Spir-
ries, Zarathushtra’s image was firmly established as that of
it). Opposing order and Ahura Mazda¯, Zarathushtra suggest-
a Near Eastern prophet and eventually recorded in the
ed, were confusion and the primordial entity Angra Mainyu
Zardukhsht na¯mag or Zardosht na¯me (Book of Zarathushtra)
(later Middle Persian: Ahreman, New Persian: Ahriman)
and other medieval texts like as the D¯enkard (Acts of the reli-
(the Angry Spirit). By medieval times Zoroastrian theolo-
gion), written in the Middle Persian and New Persian lan-
gians would ascribe a destructive hypostasis called Gana¯g
guages. This hagiography has become increasingly popular
Me¯no¯g (Harmful Spirit) to Angra Mainyu. According to
among Zoroastrians. It is often reproduced in an assortment
Zarathushtra, the two primordial entities were “in thought,
of pious literature from novels for adults to comics for chil-
word, and deed, the better and the worse” respectively
dren in which Zarathushtra is regarded as one of the earliest
(Ga¯tha¯s 30.3). Ahura Mazda¯ came to be venerated as the “fa-
prophets.
ther of order” and the “creator of all these [beneficial] things”
There are no surviving descriptions or renditions of
(Ga¯tha¯s 44.3, 7).
Zarathushtra’s actual likeness. Images, however, were pro-
The Ga¯tha¯s also suggested that the corporeal (Avestan:
duced by devotees and others. Raphael Santi (1483–1520),
ga¯ethya) world be regarded as an extension of the spiritual
the Italian Renaissance artist, depicted Zarathushtra—back
(Avestan: mainyava) one, explaining the differential experi-
turned to viewers, wearing a golden robe, holding a globe of
ences of humans in terms of struggles between order and
the Earth, facing a depiction of Ptolemy, and standing next
confusion. In so doing, Zarathushtra endowed human exis-
to an image of the artist himself—on the lower right corner
tence with meaning during life and hope for an afterlife.
of the School of Artists fresco at the Vatican in Rome, Italy.
Zarathushtra even articulated the notion of pious souls jour-
Modern Zoroastrians have generated their own images of
neying to a paradisiacal existence in the Abode of Song.
Zarathushtra, the most popular of which is modeled on a
Zarathushtra’s images. As the Zoroastrians of ancient
rock relief of Mithra commissioned by the Sasanian king Ar-
and medieval Iran interacted with other religious communi-
deshir II (r. 379–383) at Taq-e Bostan in Iran. Various ver-
ties such as Jews, Christians, and eventually Muslims, a pious
sions of that image adorn fire temples and homes of contem-
biography or hagiography developed around Zarathushtra.
porary Zoroastrians showing Zarathushtra with rays of light
Zoroastrian writers in antiquity and the Middle Ages drew
emerging from a halo and, sometimes, pointing his right
upon glimpses of his life, the names of family members and
forefinger upward to heaven, much like the Greek philoso-
followers like Ja¯ma¯spa, and the accounts of his opponents,
pher Plato in Raphael’s fresco.
such as the tribal leader Be¯ndva in the Ga¯tha¯s, combining
PRIESTS, SECTS, AND LAY LEADERS. A Zoroastrian clergy-
those with biblical notions of piety, devotional quest, revela-
man is termed a magus (Old Persian: magush, Middle Per-
tion, opposition, ministry, and violent demise. This orga-
sian: mowbed, mowmard, New Persian and Gujarati: mobed)
nized hagiography began to develop after the Achaemenian
and is a member of a hereditary priestly subgroup among the
conquest of Babylonia (in 538 BCE) under influence of Israel-
Zoroastrians. Over time, subgroups developed among the
ite accounts of the Patriarchs, was augmented during the sec-
magi based on theological divergences. Likewise, sects arose
ond through seventh centuries CE by the Christian image of
within the Zoroastrian community itself based on differences
Jesus’ life as recounted in the Gospels, and was supplemented
in beliefs and praxes. At various times, certain lay members
by images from the life of the prophet Muh:ammad after
of the Zoroastrian community have also gained followers for
Arab Muslims began ruling Iran in the seventh century.
particular tenets and traditions.
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ZOROASTRIANISM
The Magi in history Herodotos (c. 484–between 430
to Alexander’s conquest of Iran. They denounced the Mace-
and 420 BCE), the Greek author, mentioned that no devo-
donian conqueror by claiming that his troops slaughtered
tional rituals would be conducted by Iranians unless a magus
many magi and burned copies of Zoroastrian scripture—a
was present. He also listed practices and beliefs specific to the
legend that became part of Iranian official history. Under the
magi such as consanguineous marriage, exposure of human
Achaemenians and, subsequently, with the Seleucids (fourth
corpses to wild creatures and the environment for desicca-
century–first century BCE), some magi moved to Ionia and
tion, nondesecration of nature, and dislike of creatures re-
Cappadocia (now in Turkey) where they staffed fire temples
garded as noxious or harmful, such as wild animals, reptiles,
into the first century BCE (as noted by Strabo, (c. 63 BCE–24
and insects (History 1.101, 132, 140). Herodotos confirms
CE),Geography 15.3.14–15).
that the magi (Greek: magoi) began as the priestly tribe
By the Arsacid or Parthian period (238 BCE–224 CE),
among a tribal confederation known as the Medes. It appears
magi served in ranks bearing titles such as h¯erpat (later
that they appropriated the ideas of Zarathushtra after those
h¯erbed) (theologian), magpat (ritual priest), and bagnapat
concepts had begun to spread among the Proto-Iranians and
(shrine master.) They were present in large provincial tem-
that they were the sole clerics of the early Zoroastrians by the
ples such as those for the holiest fires in Iran—A¯dur
time the Medes had settled permanently in Iran (ninth cen-
Farro¯bay, A¯dur Gushnasp, and A¯dur Burze¯nmihr—and in
tury BCE). The magi claimed, erroneously, that Zarathushtra
village chaha¯r ta¯q (four-arch) fire precincts. They began
had been a member of their group and had lived among them
working with clerics of other religious groups within Iran,
in northwestern Iran as noted by Plato (c. 428–348 or 347
such as the Jewish patriarchate, to regulate religious activity
BCE) Alcibiades 1.121). The magi modified Zarathushtra’s
across confessional lines. They also served in the imperial ju-
message to accommodate their own practices within the
diciary. Leading magi were mentioned in Sassanid royal in-
framework of dualism between order and confusion. They
scriptions and other official documents. Kird¯ır, who func-
brought with them the notion of a hereditary priesthood that
tioned as royal h¯erbed under the second Sassanid ruler
followed their established praxis of never including women
Sha¯pu¯r I (r. 240–272) and his immediate successors, com-
in the ecclesiastic membership, claiming that menstruation
missioned Middle Persian inscriptions in which his religious
and childbirth resulted in the discharge of blood that, once
duties, visions of the afterlife, and image were recorded.
outside the body, could pollute priests, ritual actions, and
Kird¯ır claimed to have zealously attacked religious sects re-
holy places.
garded as heresies. By the fourth century, magi were led by
an official titled the mowbeda¯n mowbed (chief magus of the
Greek and Roman authors learned of Zarathushtra
magi), or high priest—such as A¯durba¯d ¯ı Ma¯raspanda¯n, who
through contact with the magi. Hellenistic scholars such as
served during the reign of Sha¯pu¯r II (r. 309–379)—whose
Pythagoras (c. 570–500 BCE) came to regard Zarathushtra as
position was part of the royal court at Ctesiphon (near mod-
a mystical figure and as the original leader of magicians—a
ern Baghdad). The title dastwar (high priest), denoting a
term deriving from the Old Persian word magush borrowed
cleric certified in both scripture and exegesis, was used as
into Greek as mágos and Latin as magus. The name Zoroas-
well.
ter, by which the devotional poet is commonly identified in
Western literature, derives from classical Greek Zo¯roástre¯s,
When Zoroastrians lost political control of Iran and Zo-
meaning “golden star” and symbolizing his association with
roastrianism began to lose adherents to Islam, medieval magi
spirituality. The magi were introduced into Christian belief
compiled the faith’s traditions and practices into the Pahlavi
as the wise men from the east who supposedly journeyed to
books. For example, Marda¯nfarrokh ¯ı Ohrmazdda¯da¯n (fl.
Bethlehem; thus, the sages of Zoroastrianism were used to
ninth century) wrote the Shkand Guma¯n¯ıg Wiza¯r (Doubt
legitimize the founder of another Near Eastern faith.
dispelling exposition) to critique Judaism, Christianity,
Manichaeism, and Islam while defending Zoroastrian tenets.
Ranks within the early Zoroastrian magi seem to have
Later, between the fifteenth and eighteenth centuries, magi
included that of a¯thravan (fire priest) and zaotar (invoker,
in Iran sent the Persian Reva¯yats (Treatises) to their coreli-
libation offerer). During the Achaemenian Empire, magi
gionists—the Parsis—in India to advise the latter on reli-
served as seers, counselors, and tutors to Iranian noble fami-
gious observances. As the number of Zoroastrians in Iran de-
lies. Magi staffed fire temples at urban centers such as Kanga-
clined through conversion to Islam, fire temples and
var and Istakhr. The chief priest at each temple probably was
seminaries (Middle Persian: h¯erbedesta¯n) fell into disuse.
titled magupati (head magus, master magus.) Seminaries de-
After the Parsi Zoroastrians had settled in western India,
veloped for training magi, as did pious foundations for meet-
their magi divided into five panths (ecclesiastic groups).
ing the expenses of temples and seminaries. The color white
Learned among the Indian magi was Neryo¯sangh Dhaval (fl.
was reserved for magian clothing to symbolize purity. Their
late eleventh century or early twelfth century), who translat-
dress, as evidenced from artistic representations, consisted of
ed portions of the Avesta into the Sanskrit language. Accord-
loose pants, a long-sleeve tunic bound by a belt, and a hood-
ing to Iranian tradition, the dastur dastura¯n (high priest of
ed cap with side flaps for covering the mouth to prevent
high priests) moved to the central Iranian village of Torka-
breath and saliva from polluting ritual items. Because they
bad north of Yazd in the twelfth century and then to Yazd
lost royal favor and state support, the magi reacted adversely
itself during the eighteenth century.
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Contemporary magi. The present-day priesthood,
in late medieval times were certain priests able to establish
whose members are still called mobeds, traces its lineage to
the more monolithic form of Zoroastrianism that is evi-
the medieval magi of Iran. They form a class (New Persian
denced by the Middle Persian literature of the ninth through
and Gujarati: a¯thorna¯n) (members of the priestly group) dis-
thirteenth centuries. As a result those texts, written for the
tinct from the laity (New Persian and Gujarati: behdina¯n
most part by a handful of related clergymen, convey a false
(members of the good religion). Within the modern magi,
sense of uniformity in doctrine and ritual. One of the most
ranks persist, including that of osta¯ (teacher, an uninitiated
widespread doctrinal variations was that called Zurvanism,
priest), ¯ervad (teacher priest, a priest who has undergone the
which regarded Zurvan (Time) as a monist reconciliation of
first level of induction), and dastur (high priest, usually, but
the dualism represented by Ahura Mazda¯ and Angra Mainyu
not always, associated with a temple for a holy fire of the
and as a means of explaining the evil spirit’s anger. Probably
a¯tesh behra¯m [fire of Verethraghna], or highest ritual level).
arising from theological speculation during the fifth century
Two categories of lay individuals traditionally have assisted
BCE, it was still subscribed to by magi such as Za¯dspram in
magi in Iran: the a¯tashband (keeper of the flames) who tends
the late ninth century CE. Another sect, that following
ritual fires and the dahmobed (junior priest) who serves as
Gayo¯martiya and engaging in astrological and cosmological
temple warden. In the twentieth and twenty-first centuries,
speculation, regarded Ahura Mazda¯ as eternal but Angra
another category of priestly assistants has been created by the
Mainyu as produced by divine doubt (in this respect perhaps
Mobed Councils in Iran and North America, namely the
drawing upon Zurvanite ideas) before waning in the ninth
mobedya¯r (lay priest), to counter the growing shortage in
century.
the number of clerics by performing basic rituals for the laity.
Premodern and modern Parsis have experienced their
Magi in both Iran and India continue to wear white
own sectarian schisms. Disagreement relating to the calendar
robes and a white turban. They don a white mouth and nose
caused a division of the Parsi Zoroastrian community in
mask (Middle Persian and New Persian: pada¯m, Gujarati:
1746 into Kadm¯ıs, who readopted the qad¯ım¯ı (ancient) Ira-
pada¯n) to avoid polluting implements (New Persian and Gu-
nian calendar, and Shensha¯ıs (also called Rasim¯ıs) (tradi-
jarati: Ea¯la¯t) and offerings (Avestan: myazda, Middle Persian:
tionalists), who maintained the traditional Parsi calendar.
m¯ezd, New Persian and Gujarati: myazd) during rituals. For
Another group, called the Fasal¯ıs or Fasl¯ıs, formed in 1906
high or inner rituals, they are required to be in a major state
to rely on a fasl (seasonal) calendar for rituals. Observance
of ritual purity, which is obtained via the Barashnu¯m ¯ı no¯
of rituals and festivals on different days because of these ca-
shab (Purification of the nine [days and] nights ceremony).
lendrical differences persists to the present, even among Par-
During rites, an appropriately inducted and purified magus
sis now residing in Western countries.
can serve in ranks including zo¯t (invoker, officiating priest),
ra¯sp¯ı (assistant), and bo¯ywalla (incense offerer). Passed from
As priests’ erudition on scripture and exegesis declined
father to son, priesthood involves studying liturgies and ritu-
during the twentieth century, so did the Zoroastrian com-
als from childhood. Training usually occurs at a seminary
munity’s esteem for the magi, reliance on clerical learning,
(now known in New Persian and Gujarati as madrasah).
and acceptance of ecclesiastical authority. Contemporary
Presently, there are only two functioning seminaries for the
dasturs still issue socioreligious injunctions on matters such
magi—the Athornan Boarding Madressa at Dadar in Bom-
as conversion to Zoroastrianism, marriage with members of
bay (Mumbai) and the M. F. Cama Athornan Institute at
other faiths, appropriate roles for women, and disposal of
Andheri West in Bombay. Despite such training, because
corpses, but by and large such rulings have only moral value
scripture is memorized, many magi comprehend only the gist
for receptive laity and other magi. As a result, some magi
of prayers. Clerical training may be followed by formal in-
have begun following sects established by lay Zoroastrians.
duction as a priest via the Na¯war and Martab (Maratib) cere-
One such sect arose when a Parsi named Behramshah Shroff
monies among the Parsis and the Navezut ceremony among
(1858–1927) claimed to have been trained by spiritual sages
Iranis. Most magi also obtain secular education and, after un-
on Mount Damavand in Iran and preached Ilm-e Khshnum
dergoing only the Na¯war or basic Navezut induction, serve
(Knowledge of joy). Ilm-e Khshnum provides esoteric teach-
as part-time priests or else leave the priesthood completely
ings that combine ideas of mysticism, astrology, reincarna-
for secular employment that provides greater remuneration.
tion, and auras with the practice of vegetarianism and the
The resulting shortage of magi has led to abbreviation of cer-
compilation of new exegeses on the Avesta while granting re-
tain rites such as purificatory ones and to a focus on daily
ligious authority to laypersons. One Khshnumist sub-
devotions. On a regular basis, magi serve lay Zoroastrians at
group—whose members are identifiable by their red prayer
fire temples in countries as diverse as Iran, India, Australia,
caps and formulaic phrases of greeting such as khshnaothra
Britain, and the United States, where they are employed by
ahurahe mazda (satisfaction unto Ahura Mazda¯)—now fol-
local congregations.
lows the teachings of Minochehr Pundole and so are termed
the Pundolites. Among twenty-first-century Irani Zoroastri-
Leaders and groups. A large array of beliefs and prac-
ans living in the United States, a Muslim convert to Zoroas-
tices seem to have been prevalent among the ancient and me-
trianism named Ali Jafarey is popular. He founded the
dieval magi. Only as the religion declined under Muslim rule
Zarathushtrian Assembly based in Anaheim, California, in
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ZOROASTRIANISM
1990. Its members advocate Zoroastrianism as a universalis-
3. The Khwurdag Abesta¯g (New Persian and Gujarati:
tic faith—a viewpoint rejected by mainstream Zoroastrians
Khorde Avesta) (Concise or shorter Avesta), beginning
who do not favor unregulated proselytism.
with five prayers: Ashem Vohu¯; Yatha¯ Ahu¯ Vairyo¯; Ni-
SCRIPTURE, EXEGESES, COMMENTARIES, AND CATECHISMS.
rang-e Kusti Bastan (Incantation for tying the cord), also
Holy texts, interpretations of scripture, and discourses have
known as Ohrmazd Khwada¯y (Ahura Mazda¯ is the
developed and changed over the centuries. They have also
Lord); Sro¯sh Ba¯j (Recitation to Sraosha); and Ho¯shba¯m
been translated into a variety of languages to meet the confes-
(Middle Persian: O
¯ shba¯m) (Dawn). Next come five
sional needs of linguistically diverse Zoroastrian com-
Niya¯yishns (New Persian and Gujarati: Niya¯yesh) (Invo-
munities.
cations of praise) to the sun, Mithra, the moon, water,
and fire, in that order. Then follow prayers to the five
The Avesta. Zoroastrian scripture, or Avesta (Middle
Ga¯hs (periods, watches [of each day]). Siroza (Thirty
Persian: Abesta¯g, probably from Old Iranian: *Upa-sta¯vaka,
days) 1 and 2 contain short invocations to thirty-three
“praise”), is a collection of texts regarded as holy and central
divine spirits individually. The words of four A¯fr¯ınaga¯ns
to beliefs and practices. The canon may be divided into two
(Blessings) are also given in the Khorde Avesta.
groups based on linguistic differences: (1) the Old or Gathic
Avestan materials, which were composed orally between the
There are twenty-one surviving Yashts (Devotional
eighteenth and twentieth century BCE, transmitted and aug-
poems) dedicated to various beneficent spirits in the Khorde
mented for several centuries, then established as the main
Avesta. Those devotional poems are Ohrmazd (New Persian
portion of the oral scriptural canon between the tenth and
and Gujarati: Hormazd) Yasht to Ahura Mazda¯; Haft
sixth centuries BCE, and (2) and the Young or Standard Aves-
Amahraspand (New Persian and Gujarati: Haft Ameshaspand,
tan materials, which were composed orally, in some cases
Hafta¯n) Yasht to the seven Amesha Spentas (Holy Immor-
from existing verses, between the ninth and fifth centuries
tals); Ardwahisht (New Persian and Gujarati: Ardibehesht,
BCE, transmitted, augmented, then established in the oral
Ordibehesht) Yasht to the male Amesha Spenta Asha Vahishta
scriptural canon by the third century BCE. The written text
(Best Order, Prayer); Horda¯d (New Persian: Khorda¯d, Guja-
of the Avesta originated in the fourth century CE—probably
rati: Awerda¯d) Yasht to the female Amesha Spenta Haurvata¯t
from deliberations by magi under the royal patronage of
(Integrity, Wholeness, Perfection); Ardw¯ısu¯r (New Persian:
Sha¯pu¯r II. All existing Avestan manuscripts derive from a
A¯ba¯n, Gujarati: A¯wa¯n, A¯va¯) Yasht to the female water yazata
base text dating to the ninth or tenth century.
(worship-worthy spirit) Aredv¯ı Su¯ra¯ Ana¯hita¯; Khwarsh¯ed
Only about one-third of the Sassanid Avesta has sur-
(New Persian and Gujarati: Khorshed) Yasht to Hvare
vived. It consists of:
Khshae¯ta, the yazata of the Sun; Ma¯h (Ma¯h Bakhta¯r, New
Persian: Ma¯h Bokhta¯r, Gujarati: Mohor) Yasht to Ma¯h, the
1. The Yasna (Middle Persian and New Persian: Yasn, Gu-
yazata of the Moon; Tishtar (New Persian and Gujarati:
jarati: Ijeshne) (Sacrifice, worship), comprising seventy-
Teshtar) Yasht to Tishtrya the star Sirius, religiously often
two chapters. Yasna 28–34, 43–50, 51, and 53 preserve
confused with the divine spirit T¯ır (beneficent stars);
the seventeen Ga¯tha¯s of Zarathushtra. Chapters 35–41
Druwa¯sp (New Persian and Gujarati: Drva¯sp) Yasht to the fe-
comprise the Yasna Haptangha¯iti (Yasna of seven chap-
male yazata Drva¯spa¯, associated with horses and cattle; Mihr
ters), composed in Old Avestan prose probably by devo-
(New Persian and Gujarati: Meher) Yasht to Mithra; Sro¯sh
tional poets among the early Zoroastrian community.
(New Persian and Gujarati: Sarosh) Yasht Ha¯do¯kht (that is,
Four ma˛thras (holy words), also composed in Old Aves-
Yasht 11) or extract to Sraosha, together with Sro¯sh Yasht
tan perhaps by Zarathushtra himself, are preserved in
Wad¯ı (Yasna 57) or the longer (greater) yasht to Sraosha, and
the Yasna—namely, Yatha¯ Ahu¯ Vairyo¯ (Ahuna Vairya,
Sro¯sh Yasht ¯ı Keh (Yasna 56) or the shorter (lesser) yasht to
Ahunawar) (As is the Lord’s will), Ashem Vohu¯ (Order
Sraosha (this designation is found in Yasna manuscripts);
is good), Yengh¯e Ha¯ta˛m (All the entities), and A¯ Airy¯ema¯
Rashn (Gujarati: Rashna) Yasht to Rashnu, the male yazata
Ishyo¯ (May the invigorating Airyaman.) The other chap-
of justice and spiritual judgment; Fraward¯ın (New Persian
ters of the Yasna were composed in the Young Avestan
and Gujarati: Farvardin) Yasht to the fravashis (immortal
dialect. Because this scripture serves as the recitation for
human spirits); Wahra¯m (New Persian and Gujarati:
the central ritual of worship, Yasna chapter 1 invites
Behra¯m) Yasht to Verethraghna, the male yazata of victory;
Ahura Mazda¯ and other holy spiritual entities to the rit-
Ra¯m Yasht to Vayu (Middle Persian: Way, New Persian:
ual that will be performed. Yasna chapters 70–72 bring
Ba¯d, Gujarati: Gova¯d), the male yazata of the good celestial
the accompanying ritual to an end with worship of those
wind; D¯en (New Persian and Gujarati: Din) Yasht to the
spirits.
Cista¯ (Cisti), the female yazata of insight or religious knowl-
2. The V¯ısperad (Avestan: V¯ıspe Ratavo¯) ([Prayers to] all
edge; Ard (Ahrishwang, Ahlishwang, New Persian and Guja-
the [spiritual] chiefs), comprising twenty-four short sec-
rati: Ashishvang) Yasht to Ashi, the female yazata of recom-
tions. It is a collection of supplementary materials, com-
pense; Ashta¯d (A¯shta¯d) Yasht to Arshta¯t, the female yazata of
piled in the Young Avestan dialect, to the Yasna. It is
rectitude and order; Zamya¯d (Zam) Yasht to Khvarenah
dedicated to Ahura Mazda¯ as the chief and master of all
(glory); Ho¯m Yasht (Yasna 8.9–10.21) to Haoma (Parsis des-
creation, and serves to extend the Yasna.
ignate this as the Mo¯t¯ı [larger, longer] Ho¯m Yasht) plus an
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extract from Yasna 9 (Parsis designate this as the Na¯n¯ı or
often drawing upon Avestan sources that no longer exist.
[smaller, shorter] Ho¯m Yasht); and the Wanand Yasht to
Their endeavors were continued by other clergymen when
Vega, the brightest star in the constellation Lyra.
Zoroastrians fell under Muslim overlordship in the seventh
4. The Vid¯evda¯d (Middle Persian: Wend¯ıda¯d, New Persian
century. The major accomplishment of those priests was
and Gujarati: Vendida¯d), consisting of twenty-two prose
Zand (Avestan: zantish) (exegesis) on the Avesta. The pur-
chapters in Young Avestan. The text is largely socioreli-
pose of each translation with commentary—often written in-
gious in content, focusing on ritual purity with rules
terlinear with the Avestan text—into Middle Persian was to
and rites for protecting the earth, cleansing after pollu-
transmit the meaning of texts to members of the Zoroastrian
tion by corpses and carrion, rites for exorcizing spiritual
community who no longer comprehended the Avestan lan-
pollution, and fines for absolution from sin. Most of the
guage. Because of problems in determining equivalent lexical
ritual stipulations in the Vid¯evda¯d can be attributed to
value, reconstituting the sentences, and explaining phrases,
practices specific to magi of the Proto-Iranian, Median,
the translations often were not exact but served more as ex-
Achaemenian, and Parthian periods. Like the Yasna, the
pository commentaries. Middle Persian Zand has survived to
Vid¯evda¯d is scripture that functions as the basis of a high
the present for the Ga¯tha¯s; the Yasna; the Khwurdag Abesta¯g,
ritual. Therefore, its manuscripts contain not only doc-
including the Ohrmazd, Ardwahisht, Sro¯sh, Wahra¯m, Ho¯m,
trine and exegesis but also performative directions for
and Wanand Yashts; the Videvda¯d; the H¯erbedesta¯n; the
the magi to follow.
N¯erangesta¯n; and a few other scriptures.
5. Additional texts for daily use that are included in pre-
The Pahlavi books. Most of the Middle Persian or Pah-
modern manuscripts and modern printed versions of
lavi books were compiled and redacted by Zoroastrians in
the Khorde Avesta. Nirangs (Avestan: n¯ıra¯nga¯ni, Middle
Iran between the ninth and thirteenth centuries. Such com-
Persian: n¯erang) (incantations, spells) are present, often
pilations aimed to preserve Zoroastrian doctrine, ritual, the-
as extracts from Avestan or Middle Persian passages.
ology, mythology, history, and mores under circumstances
Pious believers regard them as highly efficacious in dis-
in which the faith was becoming a minority. An encyclopedic
pelling evil, producing good health, and fulfilling
collection, the D¯enkard preserves selections from the collec-
boons. The Dua¯ Na¯m Seta¯yeshne (Na¯m Sta¯yishn; Invo-
tive wisdom of the medieval magi as edited by two hud¯ena¯n
cation of praise to the names [of Ahura Mazda¯]) and a
p¯esho¯ba¯y (leaders of the members of the good religion) in
list, One hundred and One Names of Ahura Mazda¯
Fars—namely, A¯durfarro¯bay ¯ı Farrokhza¯da¯n (fl. early ninth
(Sa¯d-o¯ Yek Na¯m-e Khoda¯), were incorporated so that
century) and A¯durba¯d ¯ı E¯me¯da¯n (fl. early tenth century).
devotees could directly display respect for their creator.
Cosmogonical and eschatological texts include the Bundah-
The text of the Tandorosti (Health of the body) is given
ishn ([Book of] primal creation; major redaction in 1078)
so that it can be recited for both maintenance and return
and the Wiz¯ıdag¯ıha¯ (Selections), by Za¯dspram (fl. late ninth
to well-being. The Pet¯ıt [or Pat¯et] Pash¯ema¯n¯ı (Penance
century), which cover Zoroastrian mythical, legendary, and
and repentance) also become part of many Khorde Aves-
factual history from creation to the end of time. The Arda¯
tas because it is believed that spiritual ailments which
Wira¯z Na¯mag (Book of righteous Wira¯z, based on Sassanid-
led to physical manifestations of illness could be ex-
era materials but redacted in the ninth or tenth century) pre-
punged through regular confessionals. Eventually,
serves the description of a spiritual voyage through heaven,
mona¯ja¯ts (litanies) in New Persian and Gujarati (now
limbo, and hell. The Arda¯ Wira¯z Na¯mag proved very popular
even in English translations) were incorporated so that
as a didactic text, and so was translated into Pa¯zand and Old
devotees can understand the gist of the prayers that are
Gujarati and illustrated for the edification of premodern Par-
in languages which most individuals have not learned.
sis. A book on apocalypticism—also found in Pa¯zand—is the
6. Several surviving Avestan texts and textual fragments,
Zand ¯ı Wahman Yasn (Exegesis on the devotional poem to
containing materials that probably were once part of
Vohu Manah), an anonymous ninth-century compilation).
scripture. A few should be mentioned. The Young Aves-
Among Middle Persian catechisms are the M¯eno¯g ¯ı
tan H¯erbedesta¯n (Priestly code or book of religious edu-
Khrad ([Book of the] spirit of wisdom, sixth century), which
cation) and N¯erangesta¯n (Ritual code or book of ritual
was composed in the form of an imaginary dialogue between
directions) were redacted between the sixth and ninth
the Spirit of Wisdom and a sage. A later Pa¯zand version of
centuries CE. The Pursishn¯ıha¯ (Questions [and an-
it is extant as well. The Ch¯ıdag Handarz ¯ı Po¯ryo¯tk¯esha¯n (Se-
swers]) on pious and sinful behaviors was redacted in
lect counsels of the ancient sages, ninth century), also known
the fifteenth century. The Aogemada¯eca¯ (I profess) is a
as the Pand Na¯mag (Book of advice), provides a more basic
dirge that was redacted by the twelfth century. It has a
synopsis of religious values, beliefs, and practices. Among the
Pa¯zand version as well. The Ha¯do¯kht Nask (Selection of
books providing religious guidance are Na¯mag¯ıha¯ (Epistles)
scripture) provides an important synopsis of Zoroastrian
of Manushchihr ¯ı Juwa¯njama¯n (fl. ninth century); the
notions of the afterlife.
Riva¯yat (Treatise) of E¯me¯d ¯ı Ashawahishta¯n (fl. mid-tenth
Zand. Sassanid magi and learned laymen, writing in
century); and the Pahlavi Riva¯yats of A¯durfarro¯bay and
Middle Persian, produced a series of supplementary texts
Farro¯baysro¯sh, which contain replies by two Irani magi to
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ZOROASTRIANISM
questions posed by laypersons in the years 800 and 1008, re-
month; it displayed Indian influence by advocating vegetari-
spectively. Broader in theme is the Da¯desta¯n ¯ı D¯en¯ıg (Book
anism. It was translated and published in Gujarati for general
of religious judgments), answers by Manushch¯ıhr ¯ı Juwa¯n-
readers about one century later. The Muslim scholar
jama¯n to ninety-two questions from laypersons on matters
Ebrahim Pur-e Davoud (1885–1968) produced New Persian
of doctrine, ethics, legal issues, and social problems experi-
translations of the Ga¯tha¯s and Yashts that became popular
enced by Zoroastrians in ninth-century Iran. Religious stipu-
among Iranis and, upon reprint in Bombay, met with enthu-
lations and ritual requirements are discussed in the Sha¯yest
siasm from educated Parsis.
n¯e Sha¯yest (The proper and the improper) and its Supplemen-
In addition to translation into Gujarati of the Khorde
tary Texts; both compilations, although written in the ninth
Avesta, Zoroastrians in India wrote original tracts in the Gu-
century, contain Sassanid period (224–651 CE) rulings and
jarati language, which had replaced New Persian as their me-
mores.
dium of communication. The Rehbar-e Din-e Jarthushti
Pa¯zand and Sanskrit versions. Magi living in Iran
(Guide to the Zoroastrian religion) is a premodern catechism
under Muslim rule produced Pa¯zand ( [Text] with commen-
written by the high priest Erachji Meherjirana (1826–1900).
tary) literature. Pa¯zand prayers include the Paywand na¯me,
That text was eventually translated into English with a com-
or Ashirwa¯d, which serves as the benediction for marriage
mentary by the contemporary Parsi dastur Firoze Kotwal of
ceremonies. This Pa¯zand tradition was continued by the
Bombay.
Parsi priest Neryo¯sangh Dhaval. He transcribed select Pahla-
English renditions. As English has become a major me-
vi books into the Avestan script to make them accessible to
dium of communication among Zoroastrians—through
twelfth-century magi who could not read Middle Persian. In
British colonialism, Western-style secular education, global-
addition to the Pa¯zand texts mentioned previously (in discus-
ization, and migration to the West—translations of scripture
sions of the Avesta and the Pahlavi books), there are among
have been produced in that language. Among the most com-
others the Pet¯ıts, the Diba¯ches (Prefatory recitations) to
monly utilized prayer books during the late twentieth and
A¯fr¯ınaga¯ns, and Nirangs.
early twenty-first centuries—especially for teaching scripture
Neryo¯sangh Dhaval also translated portions of Avestan
to children before their initiation into the faith—with tran-
scripture into Sanskrit, including incomplete versions of the
scription of the Avestan and Middle Persian texts into the
Yasna, the Khorde Avesta, the M¯eno¯g ¯ı Khrad, and the Shkand
Roman (i.e., English) script and translation of those texts
Guma¯n¯ıg Wiza¯r. Fragments of Sanskrit translations of the
into English are Daily Prayers of the Zoroastrians by the Sri
Vid¯evda¯d, perhaps also going back to Neryo¯sangh’s efforts,
Lankan lay Parsi scholar Framroz Rustomjee (1896–1978)
have survived. His intension was to make Zoroastrian scrip-
and Khorde Avesta by the Irani mobed Fariborz Shahzadi,
ture and exegesis accessible to Parsis who knew the Indian
who now lives in the United States. Major discourses on Zo-
language but not Avestan and Middle Persian. There are six-
roastrianism, written in English, have been published by das-
teen Sanskrit ´slokas by Aka Adhyaru, verses dating to before
tur Khurshed Dabu (1889–1979) at Bombay. Ervad Godrej
the seventeenth century, dealing with miscellaneous socio-
Sidhwa at Karachi and mobed Behram Shahzadi at Westmin-
religious matters from prayer times to dress codes to purity.
ster, California, among many others, have also written Zoro-
The Ashirwa¯d was translated from Pa¯zand into Sanskrit by
astrian theological works in English during the twentieth
Dinida¯s Bahman (fl. early fifteenth century) prior to the year
century. Basically catechisms, those books serve to dissemi-
1415.
nate knowledge of Zoroastrianism—from a variety of per-
spectives—to clerical and secular Zoroastrians and to non-
New Persian and Gujarati texts. Many Zoroastrian re-
Zoroastrians who may not know any of their religion’s tradi-
ligious documents were written in New Persian. Most fa-
tional languages.
mous is the Parsi community’s founding legend, known as
DOCTRINES AND MYTHOLOGY. Zoroastrian beliefs and
the Qessa-e Sanja¯n (Story of Sanjan) composed in 1600 CE
myths were interconnected by ancient and medieval magi to
by Bahman Kaiko¯ba¯d Sanja¯na, a Zoroastrian priest. Exposi-
provide believers with a unified explanation for the joys and
tory translations from Middle Persian texts include the late
sufferings of life while endowing existence with purpose. It
medieval Saddar Bondahesh ([Book of] primal creation [writ-
is clear that Zarathushtra’s own ideas were conjoined with
ten] in one hundred chapters) and Saddar Nasr (One hun-
the Indo-European and Indo-Iranian tenets that Zoroastri-
dred chapters of assistance.) More original works of advice,
ans inherited. Near Eastern millenary chronologies—beliefs
yet drawing upon established traditions, form the Persian
in which a new millennium was regarded as a new age, fol-
Reva¯yats, which date to between the late fifteen and late eigh-
lowing a violent end to the old one—then reshaped Zoroas-
teenth centuries. Those treatises contain responses by learned
trian beliefs as did historical events.
Zoroastrians living in Yazd and Kerma¯n to ecclesiastical
questions posed by their Indian coreligionists. The Farziya¯t
Dualism, pantheon, and demons. As the devotional
na¯me (Book of obligatory duties), by dastur Darab Pahlan
tradition was amplified slowly after Zarathushtra’s lifetime,
(1668–1734), written in couplets at Navsari, India, lays out
it came to be believed that Ahura Mazda¯, through Spenta
the religious duties of each individual—male and female,
Mainyu, had created six Amesha Spentas to generate and
children and adults—through life and on every day of the
protect aspects of material creation: Vohu Manah, who over-
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sees animals; Asha Vahishta, who symbolizes fire; Khshathra
of finite time (Middle Persian: zama¯n ¯ı kana¯rago¯mand)
Vairya (Middle Persian: Shahrewar) (Desirable dominion,
bounded at its commencement and conclusion by eternity
power), who manifests metals; Spenta A¯rmaiti (Middle Per-
or infinite time (Middle Persian: zama¯n ¯ı akana¯rag). Before
sian: Spendarmad) (Holy disposition, later understood as
finite time began, Ahura Mazda¯ and Angra Mainyu suppos-
Holy devotion), who represents the Earth as its mother;
edly were separated from each other by the void or wind of
Haurvata¯t, who characterizes water; and Amereta¯t (Middle
Vayu and dwelt within heaven in “infinite light” (Middle
Persian: Amurda¯d, New Persian and Gujarati: Amarda¯d)
Persian: anagr ro¯shn¯ıh) and within hell in “infinite darkness”
(Immortality, rejuvenation), who exemplifies plants. After
(Middle Persian: anagr ta¯r¯ıg¯ıh), respectively.
incorporation of the Yashts, which originally served as devo-
When finite time began, creation (Middle Persian: dah-
tional poems for Indo-Iranian divinities, into the liturgy of
ishn) lasted six thousand years. The first three thousand years
the descendants of Zarathushtra’s early followers, it was as-
of creation were marked by the initial encounter between
sumed that Ahura Mazda¯ originally had created more benefi-
cent spirits. These included the male and female yazatas like
Ahura Mazda¯ and Angra Mainyu and an offer of peaceful co-
Mithra, Sraosha, Verethraghna, Dae¯na¯, Ashi, and Aredv¯ı
existence in purity and righteousness that was rejected by the
Su¯ra¯ Ana¯hita¯ to assist in protecting the material creations.
evil spirit. After Angra Mainyu had spurned Ahura Mazda¯’s
Zoroastrian doctrine records that, in response, Angra
overture of peace, the Angry Spirit was temporarily defeated
Mainyu supposedly produced numerous dae¯vas (Middle Per-
by the Wise Lord, who chanted the Ashem Vohu¯ prayer. On
sian: de¯ws, New Persian and Gujarati: divs). The dae¯vas
hearing these holy words, the Angry Spirit is said to have col-
(shinning ones) had been part of Indo-Iranian belief but were
lapsed, stupefied, back into the darkness (Wiz¯ıdag¯ıha¯
demonized by Zarathushtra (Ga¯tha¯s 30.6). Such malevolent
1.1–4). The second three thousand years passed while Angra
dae¯vas include female ones like A¯zi (Middle Persian: A¯z),
Mainyu lay in a stupor and Ahura Mazda¯ prepared spiritual
who generates concupiscence and other desires; Jahika¯ (Mid-
creations—including the Amesha Spentas, yazatas, and the
dle Persian: Je¯h) the “Whore,” who supposedly misleads
spiritual prototypes of all living creatures. Angra Mainyu re-
women to lust and prostitution; and Drukhsh Nasush (Mid-
vived and generated harmful spirits. When Angra Mainyu at-
dle Persian: Druz ¯ı Nasush), who ferments carrion and pol-
tacked again, Ahura Mazda¯ repelled the adversary for another
lution. There are also male ones, like Ae¯shma (Middle Per-
three thousand years with the Yatha¯ Ahu¯ Vairyo¯ prayer (Bun-
sian: Khe¯shm), who instills wrath; Aka Manah (Middle
dahishn 1.29–30). According to religious lore, Ahura Mazda¯
Persian: Ako¯man), who instigates bad thoughts; and Bu¯ti
then transformed spiritual creations into the material uni-
(Middle Persian: But), who spreads idolatry. Essentially,
verse by fashioning the Earth inside the sphere of the sky.
spiritual entities venerated by the earliest Iranians were as-
That sphere, supposedly made of rock crystal, was thought
similated into the developing Zoroastrian faith and then as-
to enclose the oceans, seven continents, and firmament with
signed differential valence as either agents of order or confu-
the Sun, Moon, planets, and stars. On the central continent
sion during antiquity and the Middle Ages.
called Khvaniratha (Middle Persian: Khwanirah), Ahura
Mazda¯ apparently placed the first human—an androgyne
During the modern period, the beliefs of Zoroastrians
named Gayo¯ Maretan (Middle Persian: Gayo¯mard, New
have gradually changed under the influences of Protestant
Persian: Gayumars, Keyumars) (Mortal life)—the primordi-
Christianity—especially due to the activities of the Reverend
al bovine, and the first plant (Bundahishn 1A.1–3.24). Angra
Dr. John Wilson (who began preaching in Bombay in 1829,
Mainyu eventually was aroused from his second stupor by
eventually converting some Parsis to Anglicanism) and other
the demoness Jahika¯.
British missionaries—and colonial western ideas, moving
from a dualism to an absolute monotheism in which Ahura
Corporeal existence and humanity’s purpose. The
Mazda¯ is regarded as the sole God. The Amesha Spentas and
second six thousand years of finite time is said to be the cur-
yazatas are now accorded a variety of positions, usually equiv-
rent age of mixture (Middle Persian: gum¯ezishn) between
alent to archangels and angels, respectively. Angra Mainyu
good and evil. Angra Mainyu invaded the world, polluted it,
has come to be regarded as the Devil with his independent
and then slew Gayo¯ Maretan, the primordial bovine, and the
nature tempered by partial subservience to God. The dae¯vas
first plant with the demoness A¯z’s assistance, according to
have lost much of their demonic force, becoming minor bad
Zoroastrian cosmogonical accounts. Owing to Ahura
spirits and ghouls. Yet most Zoroastrians living in the twen-
Mazda¯’s intervention, humanity supposedly arose from the
ty-first century continue to believe that humans serve a vital
semen of the androgyne, animals and cereals from the body
function in the struggle between God and the Devil, repre-
of the first bull, and other plants from the seed of the initial
senting order or good versus confusion or evil, respectively.
plant (Wiz¯ıdag¯ıha¯ 2.1–22). The first human couple, Mashya
Moreover, from the 1980s onward there has been a trend
(man) and Mashya¯na (woman), who were born from Gayo¯
among orthodox Zoroastrians back to dualistic tenets while
Maretan’s semen, are believed to have succumbed to lying
maintaining Ahura Mazda¯’s divine supremacy.
and worshiping dae¯vas, resulting in their damnation (Bun-
dahishn 14.11–30). Human history passed, in this scheme
Cosmogony and sacred history. Human history is re-
of religious chronology, with the rise and fall of legendary
garded as a divinely ordained, twelve-thousand-year period
dynasties until Zarathushtra was born in the year 8,970.
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Thirty years later, Zarathushtra received revelation from
bad deeds in the pans of a scale (M¯eno¯g ¯ı Khrad 2.118–122,
Ahura Mazda¯ and preached the Wise Lord’s faith—thus be-
163).
ginning the final three-thousand-year sequence. According
If the soul’s righteous acts outweigh its evil ones, the
to sacral history, the era of Zarathushtra and the Kayanians
soul is greeted by its Dae¯na¯ or conscience in the form of a
was followed by the Achaemenian, Seleucid, Arsacid, and
“a beautiful girl” (Ha¯do¯kht Nask 2.9) who personifies those
Sassanid dynasties. Thereafter, the Arabs conquered Iran es-
pious actions. This good Dae¯na¯, together with the yazatas,
tablishing the Umayyad (661–750) and Abbasid (750–1258)
then escort the saved mortal soul across the bridge to heaven,
caliphates, succeeded by semi-independent and independent
where the soul will dwell until the end of time in union with
Iranian Muslim states and then by Turkish invaders (tenth
its immortal spirit (Avestan: fravashi, Middle Persian:
to fourteenth centuries). Those conquests, triggering the re-
frawahr, New Persian: farvarshi, Gujarati: farohar) (M¯eno¯g
duction of Zoroastrianism to a minor faith and Zoroastrians
¯ı Khrad 2.123). If a mortal soul’s unrighteous acts outweigh
to the status of a religious minority through conversion to
its good ones, that soul is greeted by its Dae¯na¯ “in the form
Islam between the eight and thirteenth centuries CE, were in-
of an ugly naked whore” (Ha¯do¯kht Nask 3.9) who personifies
corporated into the faith’s mythohistory and explained in
the soul’s evil actions. This bad Dae¯na¯, together with other
terms of a steady increase in evil (Zand ¯ı Wahman Yasn 1.6–
dae¯vas, toss the condemned mortal soul off the bridge into
11, 3.20–29, 6.6–10). Thereafter, it is claimed, finite time
hell, where it will dwell and experience punishment as rec-
will progress onward and Zoroastrianism will not be prac-
ompense until the end of time. In cases where a mortal soul’s
ticed widely—a situation that allegedly heralds the advent of
good and evil deeds are equal, it is consigned to limbo until
the final days.
the end of time.
For devotees, the material world came to be viewed as
Heaven or paradise, known as Garo¯-nma¯na (also
not merely the arena in which humans combat evil. Zoroas-
Garo¯-dema¯na, Middle Persian: Garo¯dma¯n) (Abode of song)
trians regard it as the trap into which the evil spirit was lured.
and therefore termed Wahisht (the best [place]), is depicted
Once trapped in matter, Angra Mainyu ostensibly is van-
as a physical location—a realm of joy, peace, happiness that
quished gradually via good thoughts, good words, and good
is full of light, warmth, and all virtuous pleasures (Ha¯do¯kht
deeds by divine spirits and devotees acting in unison. This
Nask 2.15–18). Hell, known as Dru¯jo¯-nma¯na (also
became the faith’s and each practitioner’s raison d’être. Zoro-
Dru¯jo¯-dema¯na, Middle Persian: Druzma¯n) (Abode of Confu-
astrians, then, trust that humans were created by Ahura
sion) and therefore described as Dushokh (he Worst [place]),
Mazda¯ as allies in God’s cosmic struggle against Angra
is also depicted as a physical location—a realm of grief, con-
Mainyu and that humans consented to assume physical form
flict, despair that is filled with darkness, cold, stench, plus
to further this battle. The reward of heaven after death is of-
harmful insects and animals like scorpions and serpents
fered to the souls of believers, albeit on gender-differential
(Ha¯do¯kht Nask 3.15–36). Here demonic creatures, lead by
bases, who have upheld righteousness and combated evil dur-
Angra Mainyu, are said to gloat as they torment the impious
ing their lifetimes.
soul together with his or her predeceased bad relatives and
Afterlife. Zoroastrians have faith that when an individ-
friends in a gloomy space. Limbo, known as Nana (different
ual dies, the life force leaves the corporeal body, which then
[place]), Misvana Ga¯tav (Place of the Mixed), or Ham¯estaga¯n
becomes a corpse that demonic forces attack and cause to
(Place of the Equally-Weighing Ones), is thought to be lo-
cated between the Earth and heaven. It is described as a place
decay so that pollution occurs. His or her mortal soul (Aves-
where mortal souls are suspended, each in isolation, experi-
tan: urvan, Middle Persian: ruwa¯n, New Persian: rava¯n) also
encing nothing at all.
leaves the body, remaining beside the head of the corpse for
three days and nights (M¯eno¯g ¯ı Khrad 2.111–114). The mor-
Apocalypse and eschatology. Social strife, personal ca-
tal soul of a righteous person is said to chant happily Yasna
lamity, and pollution of body and soul are all viewed as origi-
43, “According to my wish,” whereas the mortal soul of a sin-
nating from Angra Mainyu, whose presence in the material
ful person wails Yasna 46, “To what land shall I flee? ”
world is believed to increase as time passes. The present peri-
(Ha¯do¯kht Nask 2.2–6, 3.2–6). On the dawn of the fourth
od will, in Zoroastrian belief, be followed by a time when
day, the soul is led to the Bridge of the Compiler (Avestan:
three saviors—Ukhshyatereta (Middle Persian: Ushe¯dar)
Cinvat peretav, Middle Persian: Chinwad puhl). Beneath this
(He who makes order flourish); Ukhshyatnemah (Middle
metaphysical transit point, which connects the earthly realm
Persian: Ushe¯darmah) (He who makes reverence flourish);
to the heavenly one, is said to lie hell. Individual tribunals
and Astvatereta (He who embodies order), also called Saosh-
are convened at the bridge’s earthly base to determine each
yant (Middle Persian: So¯sha¯ns) (Savior)—will be born, one
mortal soul’s holiness. The yazatas Mithra (who presides to
every thousand years, to gradually purify the world and its
appraise whether the soul has kept its covenant to do good
inhabitants (Zand ¯ı Wahman Yasn 9.1–23). Eventually, dur-
while in the corporeal world), Rashnu, and Sraosha—in
ing the religious year 11973, the eschaton supposedly will
some later traditions, Mithra and Sraosha are occasionally re-
commence with Saoshyant resurrecting all the dead. The res-
placed by Arshta¯t and Zamya¯d—comprise the spiritual
urrection, performed by Saoshyant at Ahura Mazda¯’s com-
court. Rashnu is described as weighing each soul’s good and
mand, results in each human’s mortal soul and immortal
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9997
spirit returning to earth from heaven, hell, or limbo and
twentieth and twenty-first centuries, because beliefs regard-
gaining a final body (Middle Persian: tan ¯ı pas¯en). Zoroastri-
ing pollution have undergone modification as a consequence
ans claim that Ahura Mazda¯ then will descend to Earth with
of modern science and have come to be regarded by many
the Amesha Spentas and yazatas. Saoshyant will separate
Zoroastrians as superstitious demonology.
righteous individuals from evil ones at a final, universal judg-
ment of all humans. At that assembly, called the gathering
The simplest ritual cleansing, known as the Pa¯dya¯b
of Isatva¯stra (Middle Persian: Isadwa¯star) after the prophet
(Protection [preceding] water), takes only a few minutes to
Zarathushtra’s eldest son, each person will recognize his or
perform. It is undergone facing a source of light such as the
her relatives and friends, and the pious shall rejoice in their
Sun, Moon, stars, or lamp. After covering the head as a sign
goodness while the sinful lament their evil deeds. It is be-
of deference, the performer dedicates his or her action to
lieved that the stars will fall from space onto the Earth, level-
Ahura Mazda¯. He or she washes the hands and forearms, the
ing the mountains into molten metal. Each sinner, having
face, and the feet (if unshod), then wipes them dry. Original
already suffered in hell after death, will be purified once more
praxis in ancient and medieval times required that the ablu-
of his or her transgressions and impurities by means of an
tion be performed first with go¯m¯ez (urine from a bovine), or
ordeal involving passage through the molten metal. A mythi-
else with dust, before washing with water. Moreover, go¯m¯ez
cal bovine named Hadhayash (Middle Persian: Hadhayans)
(or else dust) and water had to be applied thrice. In modern
will be ritually sacrificed, and its fat mixed with a legendary
practice, however, water is regarded as adequate for ensuring
white haoma to produce an elixir granting immortality of
daily purity and so is applied only once due to simplification
body and soul to all who consume it (Bundahishn 34.10–26).
of the ritual. According to orthopractic codes, this cleansing
is essential upon awakening each morning, prior to prayer
Thereafter, Ahura Mazda¯, the Amesha Spentas, and the
and eating, after urination and excretion, and at the begin-
yazatas will annihilate most of the dae¯vas and all the harmful
ning of each period of each day. Most Zoroastrians now per-
corporeal creatures. The devil Angra Mainyu himself will be
form a perfunctory pa¯dya¯b only before entering a fire temple
rendered innocuous and forced to scuttle out of creation
or after attending a funeral. After undergoing a pa¯dya¯b, the
back to hell. Finally, hell will supposedly be sealed shut with
devotee must perform the ritual of untying and retying the
molten metal, safeguarding the spiritual and material worlds
kust¯ı (see below).
from evil, impurity, and pollution forever. According to Zo-
More elaborate is the Sade Na¯hn (Simple ritual bath).
roastrian eschatology, once the separation (Middle Persian:
Conducted at home, fire temple, or funerary ground, it is ad-
wiza¯rishn) of confusion or evil from order or good has been
ministered during the daylight hours so that light can aid in
accomplished, Ahura Mazda¯ will renovate or “make excel-
dispelling evil. The ceremony lasts approximately half an
lent” (Avestan: frasho-kereti, Middle Persian: frashagird) the
hour. In orthodox practice, a priest who has attained the rank
universe in the year 12000: “The renovation will take place
of purifier (Avestan: yaozhda¯thrya, Middle Persian:
in the world, [and the beings in] the material world will be-
yo¯jda¯hrgar, New Persian: yozhda¯sragar) must officiate. After
come immortal forever” (Bundahishn 34.32). Human history
performing a Pa¯dya¯b and untying thekust¯ı, the candidate for
allegedly will then end, and eternity will recommence in ab-
purification recites the Ba¯j ([Consecratory] recitation) used
solute purity and perfection, with humanity dwelling in hap-
for grace before meals, then chews a pomegranate leaf as a
piness upon a refurbished, flat earth.
sign of wishing for immortality, drinks three sips of nirang-
RITUALS. Worship (Middle Persian: yazishn) and purifica-
din or consecrated urine from a bovine for symbolic spiritual
tion (Middle Persian: yo¯jdahrgar¯ıh) are central to all aspects
cleansing, and recites the P¯etit for absolution from sin. He
of Zoroastrian piety. Worship may occur at home or even
or she undresses, applies go¯m¯ez over the body, washes with
outdoors, but is most regularly performed inside fire temples
water, dries the body, dons a sudre or white undershirt, dress-
(New Persian: a¯teshkade), where holy fires of the a¯tesh
es in clean clothes, and reties the kust¯ı. In modern perfor-
behra¯m, a¯tesh a¯dara¯n (fire of fires), and a¯duro¯g ¯ı da¯dga¯h r
mance, ablution with go¯m¯ez is often omitted and all actions
(hearth fire) ranks burn upon altars in fire precincts (New
have been reduced from thrice to once. Moreover this Na¯hn
Persian: a¯teshga¯hs). Medieval injunctions urged devotees to
is undergone by most male and female Zoroastrians only
“go each day to the fire temple and perform worship”
prior to initiation and marriage. Until the mid-1900s, it was
(Ch¯ıdag Handarz ¯ı Po¯ryo¯tk¯esha¯n 45). Yet in order for wor-
undergone by mothers forty days after childbirth (serving as
ship to be efficacious, the devotee must have ritual purity.
a simplification of an even more detailed cleansing of thirty
washings) and by pious devotees on holy days.
Purity and pollution. Elaborate rules were established
by the magi to prevent pollution of the material world on
The most complex of Zoroastrian purification rituals is
the basis that Angra Mainyu had produced various types of
the Barashnu¯m ¯ı no¯ shab. It generally was reserved for cleans-
defilement, particularly through Drukhsh Nasush, whose ill
ing after direct contact with human carrion or to ensure that
effects could spread from humans and animals to fire, water,
a priest was in the highest state of ritual purity. Purification
and earth. A series of purificatory ceremonies were developed
was obtained via consuming nirangdin, followed by multiple
to ensure socioreligious purity for high ceremonies and rites
cleansings with go¯m¯ez, dust, and water while either standing
of passage. Most of those rituals have fallen into disuse in the
within pits (in antiquity), crouching upon stones (during the
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ZOROASTRIANISM
Middle Ages), or squatting on bricks (in modern times), fol-
N¯ırangd¯ın rituals are conducted to obtain consecrated
lowed by seclusion and additional ablutions for nine days
liquid used to purify symbolically the souls of devotees. Hav-
and nights. The Barashnu¯m ¯ı no¯ shab is still undergone, but
ing purified themselves via the Barashnu¯m ¯ı no¯ shab and ob-
with diminishing frequency, only by magi who conduct the
tained religious fortitude via a Khu¯b (Good [ritual power]),
most central Zoroastrian consecratory services.
two priests obtain bull’s urine. As part of the N¯ırangd¯ın cere-
mony, the prefatory rite for the Yasna and other high ritu-
Worship. Zoroastrian liturgical ceremonies can be di-
als—known as the Paragn¸a¯ (Preceding the Yasna)—and the
vided into two categories: inner or high services that must
Vendida¯d are performed, consecrating the urine.
be performed within a holy ga¯h (space, precinct), usually lo-
cated within fire temples, and outer or regular services that
Ba¯j services involve consecration of dro¯n, go¯shuda¯ (ani-
can be performed at any clean location. Inner rituals include
mal products)—now usually butter—and fruits with dedica-
the Yasna, V¯ısperad, Vendida¯d, N¯ırangd¯ın (Consecration of
tion of those offerings to yazatas and fravashis. Ba¯js often are
liquids), and Ba¯j. Magi who conduct inner rituals have to be
commissioned on death anniversaries by relatives of deceased
in high states of purity and grace. Outer rituals include the
Zoroastrians.
A¯fr¯ınaga¯n, Staomi (Stu¯m; Praise), Farrokhsi ([Recitation] for
The A¯fr¯ınaga¯n, Farrokhsi, and Staomi outer rituals serve
the Fravashis), and Jashan (Thanksgiving).
to honor the mortal souls and immortal spirits of both living
and deceased Zoroastrians. For example, the Staomi (Stu¯m)
The Yasna ritual, the most fundamental of Zoroastrian
ritual is a soliloquy of remembrance that links the present to
devotional ceremonies, brings together fire, water, plants, an-
the past and the future, uniting the living with the dead.
imals, humans, and holy words. The Yasna liturgy has al-
That ritual may be conducted in any clean area where outer
ready been discussed. Originating among the Indo-Iranians,
ceremonies are performed, such as at a Zoroastrian’s house
it was assimilated into Zoroastrianism and modified to re-
or inside a fire temple, upon a carpet or table or within a ritu-
move immolation of sacrificial animals in the libation pro-
al precinct. At the turn of the twenty-first century, the
duced from the haoma (Vedic: soma) plant. In a variant form
Staomi consists of five stages: a shnu¯man (dedicatory formu-
it is still present in Hinduism as the yajña ceremony. Con-
la), Yasna 26 or the rite proper, a d¯ıba¯ca, a series of propitia-
ducted each dawn by two magi who are in the highest state
tory recitations, and a Ba¯j that serves as a closing recitation.
of ritual purity, most of the ritual occurs within a precinct
Because of offerings and the fragrances of those offerings that
that had been made holy by demarcating and consecrating
are made holy during the ritual, it is believed that asymbolic
a small space from the rest of the area via furrows while recit-
gathering together of all fravashis occurs. At such gatherings,
ing holy words. In ancient and medieval times, an animal re-
therefore, the immortal spirits can be propitiated by the liv-
garded as beneficial, such as an ox, sheep, or goat, would be
ing, and in turn those spirits presumably bless the living.
sacrificed as an offering. Since the early twentieth century,
Most frequently performed is the Jashan ritual, which also
fruits, flat unleavened breads (dro¯n), and cooked foods have
involves consecration of food by the officiating magus or
been substituted. Twigs from the haoma plant (now identi-
magi who recite an A¯fr¯ınaga¯n and Ba¯j. Then the food is
fied by Zoroastrians as ephedra) are purified and pounded
shared by the sponsors of the ritual, often at a communal
to extract sap, which is strained and mixed with milk and
gathering.
water to form a libation called para¯ho¯m. Aromas from the
consecrated food and drink are believed to satisfy Ahura
Festivals and popular rites. Prayer services like Jashans
Mazda¯, the Amesha Spentas, and yazatas to whom the wor-
are performed in fire temples and homes on days such as Nav
ship is directed. Thereafter, the two priests and sponsoring
Ruz, the New Year’s festival (at the vernal equinox);
laypersons consume the food offerings and infuse the liquid
Mihraga¯n (also called Jash-e Mehr Ized), the feast honoring
offering into a source of water, such as the temple’s well.
Mithra (at the autumnal equinox), and the Ga¯ha¯nba¯rs. The
six Ga¯ha¯nba¯rs are still celebrated by many Zoroastrians, espe-
The V¯ısperad ritual’s liturgy consists of the Yasna plus
cially those in Iran. On those occasions fruits, flowers, and
twenty-four additional passages from the Avesta. Dedicated
cooked foods made from plants—and now less frequently
to Ahura Mazda¯, its performance comprises the Yasna ritual
from animals—are consecrated to the divinities and then
with the extended recitation. This inner ritual is performed
consumed by the community. Originally, animals were sacri-
whenever the Vendida¯d is conducted. It is performed at the
ficed by Zoroastrians in both Iran and India on religious and
Ga¯ha¯nba¯rs (also pronounced Ga¯ha¯mba¯rs) (Communal
communal festivals. But Hindu vegetarian influences on the
feasts) too.
Parsis led to the gradual phasing out of animal sacrifice, and
Parsi abstention spread to Iranis in the twentieth century.
The Vendida¯d ritual is often conducted by an officiating
priest and an assisting priest at midnight to dispel evil. Cele-
The spreading upon Sofres (clothes) of food offerings to
bration of the ritual involves recitation of the Vid¯evda¯d text
beneficent spirits, often in conjunction with the Ga¯ha¯nba¯rs
from the Avesta with interpolation of chapters from the
and during pilgrimages to shrines, has become a frequent de-
Yasna and V¯ısperad, producing a total of forty-nine selec-
votional practice among women, although not sanctioned by
tions. The ritual is conducted in the presence of a da¯dga¯h fire
the magi. Sofres are widely performed by Zoroastrian women
and lasts approximately seven hours.
of all social classes in Iran. The rite serves as a locus of femi-
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ZOROASTRIANISM
9999
nine spirituality, organized and attended mainly by women
period by Herodotos, History, 1.139). Many families still
and their children.
consult astrologers who determine, based on the day and
time of birth, the syllable with which the child’s given name
Pilgrimages form part of the religious lives of devout
should commence.
Zoroastrians who are seeking favors from God or are fulfill-
ing vows. Major shrines are located in the Iranian province
Despite the positive aspects of childbirth among Zoro-
of Yazd and each shrine has a founding legend associated
astrians, the accompanying discharge of tissue and blood
with Zoroastrian attempts to withstand conversion to Islam.
came to be regarded as polluting. A period of isolation was
The six major pirs (shrines) are Pir-e Sabz, Pir-e Nawraki
prescribed for the mother—initially twelve days during an-
(Na¯reke), Pir-e Narestan, Set-e (Se-ta¯) Pir, Pir-e Herisht
tiquity (Vid¯evda¯d 5.45–62, 7.60–72), extended to forty days
(Hrisht), and Pir-e Ba¯nu Pa¯rs. Those shrines are adminis-
by the Middle Ages (Sha¯yest n¯e Sha¯yest 3.15). This praxis
tered by local anjomans (associations), often drawing upon
continued into premodern times, to be followed by a ritual
funds from charitable foundations. Parsis consider the Ira¯n
purification via the Sade Na¯hn before the mother was rein-
Sha¯h a¯tesh behra¯m at the city of Udwada to be their most
troduced to the community (Persian Reva¯yats 223). Isolation
venerable holy fire, and so travel to worship Ahura Mazda¯
and purification gradually ceased to be enforced during the
in its presence. In the late twentieth century, Parsis began
early twentieth century. In the twenty-first century, most
making pilgrimages to Iran, where they visit the important
Zoroastrian women simply bathe to cleanse themselves after
functional fire temples and shrines at Yazd and Sharifabad,
childbirth.
then view the ruins of ancient and early medieval archaeolog-
ical monuments associated with the Zoroastrian dynasties of
Initiation. Teaching of prayers to children by a magus
that country.
or family elder usually begins at the age of seven years. Once
the boy or girl has memorized at least the Ashem Vohu¯, Yatha¯
RITES OF PASSAGE. Zoroastrians past and present perform
Ahu¯ Vairyo¯, K¯em Na¯ Mazda¯, Nirang-e Kust¯ı Bastan or Ohr-
ceremonies to mark major points in their lives, much like
mazd Khwada¯y, Jasa M¯e Avanghe Mazda¯ (Come to my aid,
members of other faiths. Birth, initiation into the religion,
O [Ahura] Mazda¯), and Sro¯sh Ba¯j prayers, he or she is initiat-
marriage, and death are important times during which reli-
ed into the faith before puberty (Farziya¯t na¯me 2h–i). Failure
gious beliefs are reaffirmed and membership in the confes-
to be initiated is thought to expose the child to demonic
sional community is consolidated. Those rites of passage in-
forces (Vid¯evda¯d 18.31, 54). During the ceremony that sym-
volve not only the Zoroastrian who is undergoing the life-
bolizes advent to adulthood, acceptance of religio-legal re-
altering event, but his or her family and friends as well.
sponsibilities, and spiritual rebirth, each child is vested with
Birth. Children are regarded as essential for “continua-
a cord (Avestan: aiwya¯nghana, Middle Persian: kust¯ıg, New
tion of the corporeal lineage” to combat confusion in the ma-
Persian: koshti, Gujarati: kust¯ı) around the waist and a white
terial world (Ch¯ıdag Handarz ¯ı Po¯ryo¯tk¯esha¯n 5). Therefore,
undershirt (Middle Persian shab¯ıg, New Persian: sedra, Guja-
abortion is discouraged (Vid¯evda¯d 15.9–12). Birth rites still
rati: sudre). Origin of initiation into the sectarian community
follow many guidelines found in medieval and premodern
may date from the Central Asian Bronze Age, for a similar
Zoroastrian writings, even though most births now occur in
cord is tied around the shoulder of each Brahman boy during
hospitals.
the Upanayana ceremony in Hinduism. Failing to wear these
holy items was regarded as a sin and equated to “scrambling
Once a woman conceives, an oil lamp or light is lit in
around naked” (Sha¯yest n¯e Sha¯yest 4.10). The sudre is sown
her house to ward off evil. Also, the expectant mother should
from white cloth such as cotton and serves as religious armor
avoid contact with polluted items that may render her ritual-
against evil. Its neckline has a small pocket or girehba¯n (girdo)
ly unclean (Saddar Nasr 16.1, 17.2). Traditionalist Parsis
where the wearer’s good deeds symbolically accumulate. The
mark the first days of the fifth and seventh months as auspi-
kust¯ı is woven by priests’ wives from wool and its seventy-
cious, exchanging gifts between husband and wife and be-
two strands are said to represent the chapters of the Yasna
tween each spouse’s families. Upon the birth of a child, a
(N¯erangesta¯n 3.1.11–21). An entire medieval text, the Ch¯ım
lamp is kept lighted for between three to forty days, depend-
¯ı Kust¯ıg (Meaning of the cord) discusses the kust¯ı’s theologi-
ing on the degree of orthopraxy in the family, so that mother
cal significance.
and child will be protected from dae¯vas (Farziya¯t na¯me
2c–d). Because haoma is regarded as “death dispelling” (Ho¯m
In the twenty-first century, most Zoroastrian boys and
Yasht or Yasna 9.7), a few drops of its libation or para¯ho¯m
girls undergo religious initiation between the ages of seven
followed by a few grains of sugar would be placed upon the
and fifteen. The ceremony is termed Navjote (new birth) or
child’s tongue by the parents, grandparents, or family priest
Sedra-Pushi (donning the white undershirt) and is conducted
while reciting the Yatha¯ Ahu¯ Vairyo¯ prayer so that the child
by one or more magi. Just before initiation, the boy or girl
might experience a life free of sickness and full of joy. This
undergoes the Sade Na¯hn to ensure that entrance into the de-
practice was common into the eighteenth century (Farziya¯t
votional community occurs in a state of ritual purity. A
na¯me 2a). Now, after prayers of thanks to God, breast milk
da¯dga¯h fire burns in a small altar during the ceremony; can-
or milk formulas are fed to the infant. Naming of the child
dles and oil lamps may also be lighted so that illumination
occurs shortly thereafter (as noted even in the Achaemenian
drives away evil. Fruits and flowers are placed nearby as offer-
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10000 ZOROASTRIANISM
ings to Ahura Mazda¯, the yazatas, and the fravashis. Several
friends at a dinner reception. A white jacket (Gujarati: dugli)
Zoroastrians may be initiated together, irrespective of gen-
and trousers plus an ornate hat (Gujarati: fetha¯, paghi) are
der. Standing up, the priest(s) lead the initiate(s) in prayers
worn by Parsi grooms. White saris, with the trail draped over
while the undershirt is donned and the cord is looped around
the head, are worn by Parsi brides. White jacket and trousers,
the waist thrice and tied at front and back with square knots.
with a simple green prayer cap, are worn by Irani grooms,
Family and friends gather to witness the initiation, share a
although recently Western-style suits have become popular.
festive meal, and bestow gifts upon the initiate. The initia-
White or green robes and shawl are worn by Irani brides, al-
tion ceremony is still performed routinely by Zoroastrians all
though in the twentieth and twenty first centuries Western-
over the world early in the twenty-first century. Auspicious
style wedding gowns have become popular. Symbolic items
days, such as the days of each month dedicated to Ahura
at an Irani wedding include a candelabra with candles to cast
Mazda¯ and Verethraghna, often are chosen for the ceremony.
light upon the service, a tray with sweets (known as lurk)
made of seven types of fruits and nuts representing Ahura
The kust¯ı, which most Zoroastrians continue to wear,
Mazda¯ and the Amesha Spentas, a pomegranate and an egg
should be untied and retied after the Pa¯dya¯b purification and
symbolizing fertility, decorated sugar cones representing the
with the recitation of prayers at five canonical prayer times—
sweetness of married life, a mirror for self reflection, a prayer
sunrise, noon, afternoon, evening, and before sunrise—and
book to provide guidance, and a needle with thread and scis-
prior to performing worship at fire temples (Farziya¯t na¯me
sors indicating domesticity. Symbolic items present at Parsi
3). The majority of modern-day Zoroastrians wear the sudre
weddings include trays with coconuts and rice grains repre-
and kust¯ı under their clothes, but the rites of untying and
senting fertility and a censer or fire brazier. Parsi brides and
retying the cord are usually performed facing the sun or an-
other source of light by laity only upon awakening each
grooms wear flower garlands and hold flower bouquets as
morning, prior to sleeping at night, and for bathing. If a Zo-
well. The religious service for a wedding is conducted by one
roastrian apostate wishes to return to the community, he or
or more priests. Irani and Parsi wedding ceremonies display
she has to undergo another initiation ceremony. Admission
variations that reflect cultural differences between the two
to Zoroastrianism became patrilineal after its followers be-
communities of Zoroastrians.
came a minority faith during the late Middle Ages. Orthodox
Among Iranis, the wedding service begins when Ahura
contemporary Parsi magi initiate only children whose par-
Mazda¯ is invoked by the officiating magus. Recitations in-
ents are both Zoroastrians. More liberal magi among the Par-
clude andarz (advice) relating to the gava giri (marriage con-
sis and Iranis initiate children whose fathers are of Zoroastri-
tract). Bride and groom are asked if they accept each other
an descent. Rarely are persons whose parents were not non-
as partners. A wedding sermon by the priest on the benevo-
Zoroastrians initiated—and such initiates still are denied
lence of the Amesha Spentas follows. Selections from the
entrance to Zoroastrian religious sites on the Indian subcon-
Sro¯sh Ba¯j and Yasna 52 (which recounts a wedding homily
tinent.
by Zarathushtra) are chanted by the magus. Finally, the Tan-
Marriage. The family unit has long been central to Zo-
dorosti is recited. Then the couple is sprinkled with flower
roastrian communal structure, and so marriage is encouraged
petals and rice symbolically to bring them good luck. Among
as a religious duty and divorce is discouraged, especially after
Parsis, the A¯chu Michu rite of Indian origin—in which eggs,
children have been born (Ch¯ıdag Handarz ¯ı Po¯ryo¯tk¯esha¯n 5).
leaves, nuts, sugar, coconut, rose petals and other flowers,
Royal records from ancient Iran, medieval religious manuals,
water, and coins are utilized to symbolize aspects of creation
and premodern marriage records indicate that Zoroastrian
and reproduction coupled with hopes of joy and wealth—is
social praxis found polygyny fully acceptable. Wives were ac-
performed upon groom and bride by the bride’s mother and
corded differential status within the family based on their so-
the groom’s mother. The officiating priest inquires from the
cial class prior to marriage, whether they bore children, and
bride and groom whether they consent to marrying each
the stipulations of their marriage contract. Only during the
other. The bride and groom sit facing each other and the
twentieth century was polygyny phased out under European
Hath¯eva¯ro (hand fastening) rite is performed: a white cotton
influence, first among the Parsis and subsequently among
sheet separates the seated bride and groom, while their right
Iranis.
hands are bound together by the magus using white thread
to indicate their holy union. The thread is then wrapped
Spring, reflecting fertility and growth, is regarded as an
around them seven times in a clockwise manner while seven
auspicious time for weddings. So are nights of the full and
Yatha¯ Ahu¯ Vairyo¯ prayers are recited. The sheet is then re-
new moons. Nav Ruz, the “New Year’s” festival day, is fa-
moved, the bride and groom toss rice at each other, the
vored too. In India the monsoon seasons are avoided. Tradi-
thread is removed as well, and the fire brazier brought close
tionally, weddings occur in the evening. Parsis conduct the
to the couple so that they may worship God in its presence.
service after nightfall owing to a legendary agreement with
Next, with the couple seated side by side facing east, the
the first Hindu king whom their ancestors encountered in
Pa¯zand and Sanskrit versions of the Ashirwa¯d are narrated by
Gujarat. Iranis would conduct both the betrothal and wed-
the officiating magus in the name of Ahura Mazda¯, and the
ding services at midnight, a practice now modified to early
couple’s oral consents are obtained for the marriage. Finally,
evening so that celebrations can be held with family and
Tandarosti is intoned to bless the newlyweds. A celebratory
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZOROASTRIANISM 10001
meal usually follows, hosted by the couple’s parents, for their
cient magi in order to prevent pollution of the earth, fire, and
families and friends.
water.
Death and funerary practices. If a Zoroastrian is
Further variations in Zoroastrian funerary practices oc-
known to be in the final hours of his or her life, the dying
curred during the nineteenth and twentieth centuries. Expo-
individual is supposed to recite the Pet¯ıt Pash¯ema¯n¯ıh (also
sure of corpses was gradually phased out in Sri Lanka (then
called Pat¯et-e Vidardega¯n [Penance for the deceased] by
Ceylon) during the late 1800s and in Iran during the 1970s.
Iranis and Pat¯et Rava¯n-ni [Penance for the soul] by Parsis)
Iranis now bury their dead in graves walled with cement slabs
in repentance for prior evil deeds, followed by several Ashem
to prevent the corpse from polluting earth and water. Parsis
Vohu¯ prayers. After the deceased’s eyes are closed, the corpse
in India and Pakistan continue the tradition of exposing bo-
is given a ritual cleaning (termed sachka¯r by the Parsis) either
dies to vultures in funerary towers, particularly at Bombay
by professional corpse bearers (New Persian and Gujarati:
and Karachi, laying the bodies in specific areas or rows ac-
nasa¯ sa¯la¯rs) and corpse cleaners (New Persian and Gujarati:
cording to gender and age. However, in the United States,
pa¯kshus) or by relatives or friends of the same sex, all of
Canada, England, Australia, Sri Lanka, and even some lo-
whom should be Zoroastrians. The chest is draped in a sudre
cales in India and Pakistan, Zoroastrians—like their coreli-
and a kust¯ı is tied around its waist. Thereafter, the deceased’s
gionists in Iran—bury the dead irrespective of gender and
body is dressed in white clothes, his or her hands are crossed
age in rows of graves within graveyards known as aramga¯hs
over the chest, the legs are crossed by Iranian Zoroastrians
(places of rest, cemeteries). In Western countries, deceased
but not by Parsi Zoroastrians, and the entire body is covered
non-Zoroastrian spouses may also be buried in those grave-
with a white shroud. The face remains exposed. If possible,
yards.
handling of corpses is left to professional Zoroastrian corpse
HISTORICAL ASPECTS. Zoroastrianism was brought onto the
cleaners and bearers. Until the funeral service commences,
Iranian plateau by tribes migrating southward from Central
a prayer vigil is maintained to safeguard the deceased’s body
Asia around 1500 BCE. It became established as the domi-
and soul from demonic forces thought to be lurking in the
nant faith among the Medes, Persians, Scythians, and other
vicinity. At the commencement of each period of the day,
Iranian groups who took up residence in various locations
a rite known as sagd¯ıd ([ritually] seen by the dog) is per-
on that plateau. Through the Persians, Zoroastrianism
formed. The actual funeral service, termed G¯eh Sa¯rna¯
spread to the indigenous Elamites of southwestern Iran as ev-
(Chanting of the Ga¯tha¯s) by Parsis, occurs within twenty-
idenced by renditions of the names of Ahura Mazda¯ and vari-
four hours, during the three daylight periods, or morning,
ous yazatas preserved in Elamite ritual documents.
afternoon, and evening but not after sunset or after mid-
Ancient Iran. Median practice of Zoroastrianism is
night. The body is placed upon a metal (which like stone is
known from archaeological remains. At the citadel of Tepe
believe to withstand pollution) bier. The funeral service is
Nush-e Jan (c. mid-eighth century to sixth century BCE),
followed by sezdo (sijda¯) (last respects). Then the deceased’s
south of the northwest Iranian city of Hamadan, two rooms
face is covered with the shroud. The bier may be carried to
with ritual fire precincts have been excavated. Likewise, the
the funerary site with mourners following, after having recit-
capital city of Hagmata¯na (Ecbatana, now Hamadan) had at
ed the Sro¯sh Ba¯j and formed gender-specific pairs. Mourners
least one small, open-sided building with four corner col-
must be led by a pair of priests or one priest plus a dog to
umns supporting a domed ceiling that seems to be a precur-
ward off evil and pollution. Most often in the late twentieth
sor of the chaha¯r ta¯q–style of fire precinct. A relief carved
and early twenty-first centuries the corpse is placed in a
above the entrance to a late Median or early Achaemenian
hearse, which is followed to the funerary site by relatives and
rock tomb located at Qyzqapan in Iraqi Kurdistan depicts
friends in a motorcade.
a priest on the left and a warrior on the right, both in Median
In the early history of Zoroastrianism, human corpses
garb appropriate to their occupations, flanking a fire altar
were buried under the floors of disused buildings, following
with a stylized, semicircular flame.
a practice prevalent among the Late Bronze Age people of
Some modern scholars have questioned whether the Ac-
Central Asia. Later, interment took place in village cemeter-
haemenian rulers followed Zoroastrianism. Ku¯rush or Cyrus
ies. Achaemenian monarchs and their families were interred
II (r. 550–530 BCE), who founded the dynasty, had magi at
in rock sepulchers in the belief that the stone prevented the
his royal court, according to classical writers. An open-air rit-
spread of pollution created by corpses’ decay. Yet as praxis
ual precinct with stone fire plinths has been excavated at Par-
changed between the sixth and third centuries BCE, the origi-
sarga (Pasargadae), the royal capital. The plinths’ function
nal Avestan term dakhma for a grave or tomb came to desig-
is indicated by reliefs carved above the rock cliff tombs of
nate a place for exposure of corpses. As initially remote lo-
seven subsequent Achaemenian rulers, including that of Da-
cales came to be inhabited because of demographic growth,
rius I at Naqsh-e Rostam and that of Artakhshaça¯ or Artaxer-
dakhmas developed into walled enclosures or funerary towers
xes III (r. 359–338 BCE) at Persepolis. The king or a magus
that came to be called “Towers of Silence” in popular par-
climbed to the top of the southern plinth, faced the northern
lance. The practice of exposure prior to gathering and dispos-
plinth, which bore a fire altar with flame, and performed de-
al of the bones appears to have been introduced by the an-
votions before Zoroastrianism’s main icon. Implements such
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
10002 ZOROASTRIANISM
as mortars and pestles, whose dedicatory inscriptions con-
warahra¯n of antiquity were founded during that time: A¯dur
firm their ritual usage for pounding of haoma during the
Farro¯bay, considered the a¯dar warahra¯n of clergy and nobili-
Yasna ritual, have been excavated at Persepolis. While
ty, at the site of Kariyan; A¯dur Gushnasp, linked to rulers
Zarathushtra was not mentioned in imperial inscriptions,
as the a¯dar warahra¯n of warriors, at the site of Takht-e Sulay-
Ahura Mazda¯ was routinely praised in those writings. For in-
man southeast of Lake Urmiya (now in Iranian Azerbaijan);
stance, Darius I noted: “Ahura Mazda¯ is the great God who
and A¯dur Burze¯nmihr, regarded as the holy fire of farmers
created this earth, who created that sky, who created hu-
and pastoralists, on Revand mountain northwest of
mans, who created happiness for humanity, who made Dari-
Nishapur in Parthia (now Khorasan).
us king” (Naqsh-e Rostam inscription A 1–5). Following
Advent of the Sassanid dynasty witnessed Zoroastrian-
Egyptian depictions of Ra and Assyrian ones of Ashshur,
ism becoming the official religion of Iran. In addition to sup-
Ahura Mazda¯ seems to have been depicted on Achaemenian
porting the faith financially, Sassanid monarchs are credited
royal reliefs standing within a disk which had a bird’s wings,
by the magi as having commanded codification of the Avesta.
tail, and talons, although some scholars consider the symbol
Sacral kingship based on Zoroastrianism became normative.
to represent Khvarenah (glory) and modern Parsis regard it
So Sassanid rulers like Ardesh¯ır I (r. 224–240), Sha¯pu¯r I
as a farohar. Artaxerxes II (r. 404–359 BCE) and Artaxerxes
(r. 240–272), and Khusro¯ II (r. 591–628) had themselves de-
III honored Mithra and Ana¯hita¯ in conjunction with Ahura
picted on monumental rock reliefs at Naqsh-e Rostam,
Mazda¯—a practice that parallels Zoroastrian liturgies—as
Naqsh-e Rajab, and Taq-e Bostan receiving diadems of king-
evidenced by their official Old Persian inscriptions (Susa in-
ship from anthropomorphized images of Ahura Mazda¯ and
scriptions A 4–5, D 3–4; Hamadan inscriptions A 5–6, B; and
Ana¯hita¯. Every Sassanid monarch referred to himself or her-
Persepolis inscription A 25). No form of Mazda¯ worship other
self as ma¯zd¯esn bay (Mazda¯-worshipping Lord) on their
than Zoroastrianism has ever been identified. It is safe, there-
coins. That coinage routinely depicted monarchs—for exam-
fore, to regard the Achaemenian rulers and many of their Ira-
ple, Hormizd II (r. 302–309)—performing worship in front
nian subjects as Zoroastrians, even though a range of other
of fire altars. Magian ranks were regularized. Fire temples
religions—such as Judaism and Babylonian cults—were
and seminaries were funded by the state and by private foun-
practiced within the empire and Cyrus II honored other di-
dations. Committing apostasy was forbidden. As a result,
vinities like Yahweh and Marduk when he was among their
under the Sassanian dynasty, Zoroastrianism became the po-
followers.
litically and demographically dominant faith on the Iranian
Religiosity during the Seleucid period was characterized
plateau and in western Central Asia.
by an amalgamation of Greek, Mesopotamian, and Iranian
Conversion to Christianity and Islam. Yet as Chris-
divinities. On the Iranian plateau and in Armenia,
tian missionaries began proselytizing among Zoroastrians,
Ana¯hita¯—whose name was Hellenized as Anaitis and whose
and individuals from the latter groups began to adopt Chris-
attributes were augmented by those of other feminine divini-
tianity, Zoroastrian fire temples were transformed into
ties, such as Artemis and Inanna-Ishtar—became the focus
churches at locales like Ejmiacin and Dvin in Armenia after
of an extensive temple cult with statuary and votive offerings.
the year 300. In Sassanid Iran itself, converts to Nestorian-
Among the residents of Commagene in southeastern Anato-
ism deliberately extinguished holy fires on occasion while re-
lia, Ahura Mazda¯ was fused with Zeus as Zeus Oromasdes.
fusing to return to Zoroastrianism—resulting in their mar-
Mithra was fused with Apollo Helios Hermes, and
tyrdom at the hands of magi as documented in the Syriac
Verethraghna (called Artagnes by the people of Anatolia) was
martyrologies.
conjoined with Hercules Ares. Colossal images of all those
composite divinities were placed on a platform in an open
Confessional realignment gained momentum with the
air Zoroastrian temple at the site of Nimrud Dagh in south-
Arab Muslim conquest of the Sassanid Empire during the
eastern Anatolia during the reign of Antiochus I (c. 69–34
seventh century. The Arab conquest came to be associated
with prophetic and apocalyptic expectations. It gave rise to
BCE), a king of the regional Orontid dynasty (c. 163 BCE–
literature that presented claims of propitious birth, flourish-
CE 72) who had descended from Achaemenian satraps. Anti-
ochus also had images carved of him clasping the hands of
ing of a new religion and its followers, and disintegration of
divinities (Greek: dekhio¯sis).
older dynasties and faiths. Islamic prophecy alluded to tri-
umph, Zoroastrian apocalypticism to doom. The prophet
Such syncretism continued during the Parthian period.
Muh:ammad and the Muslim caliphs were presented as suc-
Women, for example, served as professional mourners at fu-
cessors to Zarathushtra and the Sassanid monarchs. These
nerals. Augmentation of the ritual role of fire occurred be-
stories were construed to cast a veil of mystery over ordinary
tween middle Achaemenian and early Parthian times with
events involving the fall of one empire with its state religion
the construction of monumental temples. Holy fires of the
and the rise of another empire with its new faith. Since peo-
highest ritual grade, called the fires of Verethraghna, (Parthi-
ple believed these statements, they acted on those beliefs.
an: a¯dar warahra¯n, Middle Persian: a¯takhsh wahra¯m, New
Many despondent Zoroastrians, concluding that a true deity
Persian and Parsi Gujarati: a¯tesh behra¯m) the yazata of victo-
would not have forsaken their religion or them, eventually
ry, were placed in fire temples. The most famous a¯dar
chose to accept the new Islamic faith, which they felt had
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZOROASTRIANISM 10003
demonstrated its ascendance through political victory.
Timurids (1370–1507) resulted in violence against Zoroas-
Urban Irani Zoroastrians adopted Islam from the eighth
trians producing even further conversion to Islam.
through tenth centuries, and that faith spread among rural
folk from the tenth through thirteenth centuries. Most Zoro-
Institutionalization of Shiism under the Safavids (1501–
astrian ecclesiastical institutions were either transformed into
1722) did little to strengthen relations between the Muslim
Islamic mosques and Sunni madrasahs or else destroyed or
and Zoroastrian communities, for the latter increasingly
abandoned by the fourteenth century. The chaha¯r ta¯q style
feared the specter of forced conversion to Islam under the re-
of fire precinct with its domed roof was assimilated into
ligious zealousness of specific Sh¯ıE¯ı clerics or molla¯s. Zoroas-
Muslim religious architecture as domed mosques. Moreover,
trians living in the Yazd and Kerma¯n areas bore the brunt
as residents’ confessional alliance shifted to Islam, there was
of religious persecution, resulting in adoption of Shiism by
gradual diminishment in contributions to pious foundations
some villagers, the transformation of associated fire temples
that supported the magi.
into mosques, and desecration or even demolishment of
nearby funerary towers. A New Persian designation, gabr
Zoroastrian leaders turned to canon law in a futile at-
(hollow, empty), hence “one lacking faith, infidel,” came to
tempt to circumscribe contact of their followers with Mus-
be used by Muslims to scorn Zoroastrians as nonbelievers in
lims, for they rightly perceived interaction as a conveyor of
God despite the claim of the latter that the Avesta was a holy
religious and social changes that threatened their traditional
book just like the Qur Da¯n. Likewise, the term a¯tashparast (fire
way of life. The magi outlawed marriage, sexual intercourse,
worshipper) became a slur directed against Zoroastrians by
and procreation with Muslims, encouraging all Zoroastrians
Sh¯ıE¯ı Iranians, despite the former’s protestations that they
to ostracize those who violated these bans. Muslim elites
worshipped God and not fire. Forcible relocation of Zoroas-
were, however, often in positions to stifle such endeavors and
trians occurred during the reign of Sha¯h EAbba¯s I (r. 1587–
encourage conversion to Islam by the people whom they re-
1629) from Yazd and Kerma¯n to the capital city, Isfahan, as
ferred to generically as the ma¯gu¯s (so named by Muslims after
laborers. In other cities of Safavid Iran, they also served as
the priesthood).
manual workers and textile weavers. Outside the cities, they
Medieval migrations. The Arab Muslim occupation of
toiled on farmland owned by Muslims.
Iran triggered migrations by Zoroastrians. Zoroastrianism
European eyewitness accounts suggest that the Zoroas-
had already reached China during the early sixth century,
trian community of Iran was at its nadir during the Qajar
where the religion came to be known as Hsien. During and
period (1779–1921). Since Zoroastrians were considered
after the seventh century, there were many small, poorly doc-
najes (unclean) by the Sh¯ıEah, they experienced hostility from
umented migrations away from Iran over both land and sea.
the Muslim majority populace. Conversion to Islam was en-
Some Zoroastrians, especially Sassanid nobles and military
forced periodically with transformation of fire temples to
personnel, immigrated eastward through Central Asia to
mosques. In the middle of the nineteenth century, Zoroastri-
northern China. Other groups of Zoroastrians probably
ans feared that their homes would be raided and religious
sailed from Iran to join expatriate communities already pres-
texts burned. Religious rites were performed indoors, out of
ent in southern Chinese port cities like Canton. From China,
view of Muslims, so as not to attract the latter’s attention.
small groups even relocated to Japan. From fifteen to eigh-
Only after intercession by Parsi Zoroastrians from British
teen fire temples functioned in China until Zoroastrianism,
India was religious freedom enhanced and the jizya abolished
together with other foreign faiths, was proscribed there in
by Qajar royal decree in 1882. Zoroastrian anjomans (associ-
845. However, Zoroastrians survived in China as late as the
ations) were established thereafter, as were women’s societies
mid-fourteenth century, after which they were completely
and orphanages. More than three dozen schools for Zoroas-
assimilated into the local population. The situation proved
trian boys and girls were founded with Parsi and Irani
different for other groups of immigrants, specifically those
money. The curricula at such institutions combined Western
who went to India and formed the Parsi (Persian) communi-
secular knowledge and traditional religious instruction,
ty that flourishes into the twenty-first century. Those Zoro-
stressing English as a language for societal advancement.
astrians who remained in Iran sought refuge from Muslim
Irani magi began traveling to and residing in India for clerical
lifestyles by moving to out-of-the-way locales within Fars,
training—a trend that lasted until the latter part of the twen-
Yazd, and Kerma¯n provinces.
tieth century, when the priesthood within Iran was able to
Medieval and premodern minorities in Iran. Between
strengthen its organizational and didactic bases. Zoroastri-
the fourteenth and seventeenth centuries, the lives of Zoroas-
ans, hoping for more equitable treatment under a secular na-
trians as a dhimm¯ı (minority) community were governed by
tional government, participated actively in the Constitution-
religious tenets and a sectarian society dominated by Muslim
al Reform movement. Eventually, the community was
men. All followers of Zoroastrianism had to pay the jizya
allocated its own seat in the majles (national consultative as-
(poll tax) to the Sunni Muslim authorities, and the Zoroas-
sembly, parliament). Although the 1906 Constitution
trians’ standing under Islamic law was secondary to members
claimed “all citizens are equal before the law,” the legal stand-
of the new confessional majority. Invasion and rule of Iran
ing of Zoroastrians vis-à-vis Muslims remained unequal as
by the Mongols (1219–1256), Ilkhanids (1256–1335), and
evidenced by Article 8 of that Constitution, where Zoroastri-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
10004 ZOROASTRIANISM
ans were assigned a legal status no different from that which
The advent of the Islamic Republic of Iran witnessed a
they held previously as a dhimm¯ı community. Therefore,
return to strict socioreligious minority status for Zoroastri-
during the nineteenth and early twentieth centuries, more
ans. Technically protected under Article 13 of the 1979
Zoroastrians relocated from Iran to British India to live
Constitution, the community is allocated one elected repre-
amidst the Parsis. Carving out a distinctive economic niche
sentative position among the two hundred and seventy mem-
in India, they became restaurateurs and liquor merchants.
bers or national representatives of the legislative branch of
government, the majles. Despite being officially recognized
Modern Iran. A brief period of respite for Zoroastrians
as a minority and represented in public settings, Zoroastrians
in Iran from socioeconomic hardship and pressure to adopt
in Iran often are offered only limited protection on a daily
Islam was experienced under the Pahlavi dynasty (1925–
basis from their Muslim neighbors. As a result, they sporadi-
1979). Attempts to secularize and westernize Iranian society
cally have been targets for persecution. Community records
resulted in citizens generally being regarded as equal under
list cases of Zoroastrian women being compelled to marry
the law. The EAyn na¯me (Uniform Legal Code) for Zoroastri-
Muslim men in the presence of Sh¯ıE¯ı clerics or molla¯s and
ans was put into practice during the mid-1930s, establishing
to publicly adopt Islam. On a daily basis, more important
a nationally approved framework for their rights in personal
are the legal distinctions between Muslims and Zoroastrians,
matters such as marriage, divorce, and inheritance. The Fam-
which echo, in large part, ordinances that Zoroastrians have
ily Protection Law of 1967 and its revisions of 1975 were an-
experienced under many Islamic regimes since the middle of
other central part of the restructuring of the community’s
the seventh century. Thus, for instance, a Zoroastrian who
legal relationship with the nation. Glorification of Iran’s pre-
converts to Islam is regarded by Iranian law as the sole inheri-
Islamic past for sociopolitical reasons by the state, including
tor of his or her family’s assets. Likewise, a Zoroastrian who
introduction into the official calendar in 1925 of Zoroastrian
even accidentally causes the demise of a Muslim faces the
names for the months, also raised the status of Zoroastrians
possibility of capital punishment, but not vice versa. The
in the eyes of many Muslim Iranians. The Pahlavi era was
concept that Zoroastrians are najes has been revived, affect-
marked by rapid urbanization and reform for the Zoroastrian
ing their socioeconomic lives in daily interactions with Mus-
community as educational, employment, and business op-
lims, since items the former touch, especially food, may be
portunities burgeoned. Westernization, urbanization, and
regarded as unclean by the latter. The insults gabr and
secular education led to religious change, spread in part
a¯tashparast have once again been used against them. Chronic
through elementary, middle, and high schools founded by
unemployment has become prevalent among members of
Irani Zoroastrians for edification of their children during the
both genders. One major cause appears to be discrimination
Pahlavi period plus those schools that had been established
by the government in access to state jobs. While employment
earlier. Irani Zoroastrian communal leaders championed
opportunities are withheld, Zoroastrians feel they have been
their religion as an early form of monotheism, brought about
targeted for especially hazardous assignments when perform-
calendrical reform, and simplified or replaced rites deemed
ing the military service required of all young men in Iran.
antiquated in favor of ones regarded as more suitable for a
Therefore, yet again Zoroastrians have begun leaving Iran.
community with newfound societal and economic aspira-
Globalization of the faith. The initial modern exodus
tions. Even conversion to Zoroastrianism by Muslims was
from Iran was during the 1980s by elite families who had
tacitly permitted. Reform gradually spread from the commu-
been associated with the Pahlavi state and therefore feared
nity in Tehran to other urban settings such as the cities of
retribution. Relocations since then have been by young men
Kerma¯n and Yazd. Due to state pressure on behalf of its secu-
and women who are growing increasingly pessimistic about
larization program, access to most fire temples in Iran was
the possibility of a viable socioeconomic future for their fam-
opened in the 1960s to members of all faiths—although they
ilies and themselves in Iran. Some of the migrants, fleeing
were requested (but not required) to cover their heads and
Iran overland to Turkey, Pakistan, and India, then spending
remove footwear as signs of respect for the holy fires. Togeth-
many months or a few years in refugee camps or under the
er with open access, yet another change occurred wherein the
protective welfare of Parsi communities, eventually settle in
Pa¯dya¯b purificatory ritual and koshti (cord rite) came to be
North America and in Europe. Globalization of the Zoroas-
ever-less-frequently performed prior to entering the presence
trian community has also occurred through emigration of
of a holy fire. Thus, an attenuation in notions of purity and
Parsis from the Indian subcontinent. During the British Raj,
pollution took place. By the mid-1970s, the community was
Parsi trading families settled in Burma (now Myanmar); Sin-
finally confident that its lot had genuinely changed for the
gapore; Malaysia; Hong Kong (now united with the People’s
better in a secularizing Iranian state. Hence, leading mem-
Republic of China) and mainland China; Taiwan; the Sey-
bers of the community at Tehran, Yazd, and Kerma¯n still re-
chelles; and African countries such as Zaire, Tanzania (on the
count that Iran’s reversal in 1979 to a political system in
island of Zanzibar), and South Africa. Some Parsis relocated
which Islam predominated once more deeply shook the
to England, Scotland, and Wales during the nineteenth and
foundational psyche of the Zoroastrian community and
twentieth centuries, seeking better educational and economic
brought back a collective, multigenerational memory of
opportunities. Beginning in the 1960s, yet other Parsis left
harsh times from centuries past.
to unite with relatives in Australia, New Zealand, Europe,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZOROASTRIANISM 10005
and North America as a consequence of nationalism and reli-
Ireland; 4,500 in the other countries of the European Union;
gious fundamentalism in India, Pakistan, and Sri Lanka.
2,800 in Pakistan; 2,100 in Australia; 1,200 in the United
Since the 1970s, Parsi immigrants have settled in the United
Arab Emirates; 250 in New Zealand; 190 in Hong Kong;
States and Canada after gaining education and employment
150 in Singapore; 130 in Bahrain; 110 in Zaire; 75 in South
there.
Africa; 70 in Sri Lanka; 50 in Myanmar; 30 in Japan; 30 in
Malaysia; 30 in the Seychelles; 20 in Bermuda; 10 in Vene-
Many among the first generation of recent Irani immi-
zuela; 10 in the Peoples Republic of China; and even smaller
grants have settled in ethnic clusters—forming large commu-
numbers in Armenia, Azerbaijan, Belarus, Yemen, Tanzania
nities in cities like Los Angeles, Toronto, and London—
(on the island of Zanzibar), Zambia, Mozambique, Mexico,
where they continue many of their native customs and speak
and Brazil.
New Persian. However, their children, the second genera-
tion, being born in Western countries, have tended to be-
SEE ALSO Ahura Mazda¯ and Angra Mainyu; Ahuras; Airy-
come better acculturated as native speakers of the English
ana Vae¯jah; Amesha Spentas; Ana¯hita¯; Ateshgah; Avesta;
language. For them, Iran is a cultural legacy of their parents.
Chinvat Bridge; Daivas; Frashokereti; Fravashis; Gender and
While the first generation of Parsi immigrants remains bilin-
Religion, article on Gender and Zoroastrianism; Haoma;
gual in the Gujarati and English languages, maintaining cus-
Khvarenah; Magi; Parsis; Saoshyant; Yazatas; Zarathushtra;
toms from the Indian subcontinent, their children have lim-
Zurvanism.
ited facility in Gujarati and have integrated fully with local
Western populations. Differences of language and custom
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(izinyanga) also treat disease and provide protective medi-
JAMSHEED K. CHOKSY (2005)
cines but, because they are not possessed by the spirits, they
lack powers of divination.
ZULU COSMOLOGY AND THE NATURAL ORDER. The Zulu
say that in the beginning there was uMvelinqangi, literally
ZULU RELIGION. After nearly 150 years of mission-
the first “comer-out,” who broke off from a reed bed fol-
ary activity the majority of the some 5.5 million Zulu-
lowed by human beings, animals, and nature as a whole. He
speaking South Africans are Christians. For many, however,
sent a chameleon to humanity with the message that they
the amadlozi (ancestors or shades of dead kin) who once
would live forever. Later, growing impatient with the chame-
dominated Zulu religion are still a force to be reckoned with
leon’s slowness, he sent a lizard with the message that all hu-
and propitiated. The acceptance of the power of the amadlozi
mans would die, and because it was the faster animal, the liz-
to intervene in the lives of their descendants and to help
ard arrived first. In some tales uMvelinqangi is portrayed as
them is manifested in the beliefs and rituals of most of the
the source of the known social order, for he gave human be-
African independent churches to which, indeed, over a quar-
ings their ancestors and decided how the ancestors should be
ter of all Zulu Christians belong. The basic concerns of tradi-
approached and placated. There is, however, little evidence
tional Zulu religion—the pursuit of health, fertility, and a
that uMvelinqangi was worshiped directly. Ideas about him
balance between man and man and between man and na-
probably served largely as explanatory constructs for the nat-
ture—are as relevant today as ever. Since these are the very
ural order (and some features of the social order), and in tra-
areas in which the ancestors are thought to be most powerful,
ditional times such ideas would have played a minor role in
offerings to the amadlozi occur in many contexts both tradi-
everyday religious practice. Another name for uMvelinqangi
tional and Christian. These offerings take place both in the
was uNkulunkulu (“the old, old one”), a term that missiona-
far-flung areas of rural KwaZulu (the geographical area situ-
ries used for “God,” thus causing some confusion by conflat-
ated on the east coast of South Africa between 28° and 31°
ing Zulu ideas of a pure creator with Christian notions of
south latitude from which most Zulu originated even if they
a creator and supreme being to whom regular worship must
have no ties there today) as well as in cosmopolitan urban
be directed. Distinct from uMvelinqangi is iNkosi yeZulu,
centers where Zulu mingle with other South Africans as resi-
the lord of the sky and personification of heaven. He is asso-
dents and work-seekers.
ciated with thunder and lightning, which are greatly feared
Attention is focused here upon the major enduring fea-
and against which specially trained herbalists offer pro-
tures of Zulu religion as first reported in the writings of early
tection.
travelers and missionaries, and later in contemporary anthro-
Linked also with the sky or the “above” (ezulwini—a
pological work in KwaZulu, notably that of Harriet Ngu-
critical concept that contrasts with phansi, the “below,”
bane, whose study of the Nyuswa-Zulu provides a picture of
where the dead go before becoming ancestors) is iNkosazana
how Zulu religion is practiced today and highlights the pre-
yeZulu, or merely iNkosazana, the princess of heaven (uN-
viously neglected role of women in belief and ritual.
omkhubulwana). The latter term is derived from khubula
In Zulu thought the ancestors are only one part of a
(“to sow again after rain or sun has destroyed crops”), and
more extensive system of beliefs. Within this system, the nat-
this female deity is closely associated with abundance and
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZULU RELIGION 10009
sufficient (but not too much) rain. She bestows fertility on
the world, and all those who are temporarily in a weakened
crops, cattle, and human beings and is often actively placated
state, known as umnyama. This last category includes the be-
in times of drought and searing heat. The patron of women
reaved, newly delivered mothers, homicides, and menstruat-
and particularly of young girls, iNkosazana is said to appear
ing women. Although all people should be strengthened
in the fructifying mists of spring and to stand on the thresh-
from time to time against alien environmental influences,
old of summer like a girl whose puberty ceremonies mark her
these people must be given specific treatments, often both
entry to marriage and procreation. The same songs are sung
medicinal and ritual, aimed not only at strengthening them
both at girls’ puberty ceremonies and at ceremonies held in
but also at achieving or restoring order or symmetry between
honor of iNkosazana; in both cases the songs are thought to
them and their environment. The word commonly used to
promote fertility and good rains. Before hoeing begins,
describe such treatment is ukuzilungisa (from lunga, “to be
women sometimes plant a small field for iNkosazana near a
as should be,” and isa, “to come to be”), which implies the
river, and a libation of beer is poured on the ground to the
restitution of balance not only between man and nature but
accompaniment of a prayer for a fruitful harvest. Other cere-
sometimes between man and man or between man and his
monies connected with the goddess are aimed at warding off
ancestors.
pests that affect crops, cattle diseases, and maladies common
Certain natural processes are thought to weaken the in-
in spring and summer such as malaria and gastroenteritis.
dividual. The most important and general is umnyama, to
The word ukushweleza (“to make an apology”), which is used
which reference was made above, and which may be literally
in connection with these rituals, suggests the placation of iN-
translated as “darkness,” “blackness,” or “heaviness.” This
kosazana’s anger and the setting of things in order so that the
state results from contact with death or birth, which renders
season will proceed without mishap. Because of its conceptu-
the individual open to sorcery, other malign influences, bad
al links with fertility and girls’ puberty ceremonials, the cult
luck, and misfortune, and also makes him or her a danger
of iNkosazana must be seen against the background of the
to others. Women are extremely vulnerable to umnyama be-
widespread emphasis upon fertility in African cosmological
cause of their biological association with procreation and be-
systems. Her cult has a counterpart in the uyali-vuhwera fer-
cause the chief mourners at funerals are always women. In-
tility cult and the gomana drum cult of the northeastern
deed, Ngubane argues that because of this dual association
Transvaal Lowveld, but the Zulu are unique among Bantu-
with the beginning and end of life, women occupy a “mar-
speaking peoples in southern Africa in their conception of
ginal” position in Zulu cosmology and serve as a symbolic
a female deity associated with fertility who is worshiped even
bridge between “this world” (the world of the living) and the
today.
“otherworld” (that of the spirits). Women, however, not
The natural order impinges on life in other ways which
only link this world and the otherworld, but in their roles
affect health and well-being. In contrast to illnesses caused
as daughter in one kinship group and mother in another they
by sorcery or ancestral anger, there is an extremely wide range
form a bridge between two distinct patrilineages. Zulu soci-
of diseases stretching from the common cold to more serious
ety is strongly patrilineal, and marriage may occur only out-
epidemics like smallpox or measles, which are said to “just
side the clan. A bride is thus an outsider in her affinal home,
happen.” These maladies may be due to natural causes such
yet it is only through her that her husband’s group can repro-
as the changing of the seasons or the inevitable processes of
duce itself. This social marginality is indicated by certain lin-
aging and maturation. Many are treated with medicines
guistic avoidances or restrictions (hlonipha) placed upon a
which are potent in themselves and do not necessarily require
bride and also by the fear that married women are potential
ritual or religious accompaniment, although protection
sorcerers in their husband’s homestead. Since the bearer of
against certain seasonal illnesses may be sought from iNkosa-
children is thus paradoxically also a threat to continuity of
zana. Another important class of natural illnesses are thought
the patriline, Zulu social structure places married women in
to result inevitably from imbalances in nature. All living
an ambiguous position which complements the marginality
things are believed to leave behind something of themselves
they derive from their biological and cultural association
and absorb something of the atmosphere through which they
with birth and death. Diviners are also seen to be marginal
move. Such influences, called imikhondo (“tracks”), may be
in that they intercede between the living and the dead, be-
detrimental to the individual. Treatment, while bringing re-
tween this world and the otherworld, and it is significant that
lief to one person, may release the dangerous element to af-
most diviners are women and that men who are called to this
fect others. To keep the immediate environment pure, peo-
position are transvestites.
ple seek to discard imikhondo in public places such as
ANCESTORS AND SOCIAL LIFE. As Eileen Jensen Krige has
highways and crossroads, where they are thought to mix with
pointed out, “the real vital religion of the Zulus is their an-
other noxious substances placed there by sorcerers; these
cestor worship” (Krige, 1936). Indeed, when things are going
areas are thus extremely dangerous to travelers. Moving into
well, the Zulu say that their ancestors are “with them,” but
a new environment may in itself be dangerous, as one is not
when misfortune strikes, they say that the ancestors are “fac-
yet attuned to its influences. Several categories of people are
ing away.” Revelations are made in dreams and visions as
particularly at risk from environmental influences including
well as through misfortune, and what angers the ancestors
newcomers to an area, infants who have only recently entered
most is neglect and failure to fulfill kinship obligations. Dif-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
10010 ZULU RELIGION
ferent aspects of the overall conception of the ancestors are
that sacrificial meat is placed for the ancestors to share. Indi-
indicated in the various Zulu words used for the dead.
vidual social identities are often fixed unambiguously by call-
Amadlozi is derived from dloza, meaning “to care for, keep
ing on the ancestors. Thus a baby is placed formally under
an eye on,” but because the spirit world is thought to be situ-
the control of the ancestors to whose line it belongs by the
ated “below” (phansi), the ancestors are often referred to sim-
sacrifice of a goat known as imbeleko, the skin of which is
ply as abaphansi, “those of the below.” Another word frequent-
used to secure the baby on its mother’s back. This ceremony
ly used is amathongo, from ubuthongo, “deep sleep,” a
is usually performed by the child’s father or father’s father,
reference to one of the ways in which the ancestors contact
but in the case of an unmarried woman, the responsibility
the living. Diviners address their ancestors as makhosi, from
lies with her father and his umndeni to which the child
inkhosi, “chief,” and ubukhosi, “authority, power, glory,”
belongs.
thus emphasizing the major nuances of the unique relation-
In former times abandoned children were adopted by
ship between them and the spirits which possess them. The
an imbeleko sacrifice, thus demonstrating that it is social rath-
word isithunzi, from umthunzi, “shadow,” refers to the force
er than biological paternity which is important. By the same
or personality that leaves the body at death and wanders aim-
token, one of the objectives of wedding ceremonies is to in-
lessly until it is “brought home” (buyisa) by a special ceremo-
troduce the bride, who comes from another descent group,
ny designed to integrate it (as an idlozi, or ancestor proper)
to her husband’s ancestors and to put her under their care.
into the body of powerful ancestors who have control over
Neglect of this formality may result in failure on the part of
the living. Since the spirits are dependent upon their descen-
her affinal ancestors to recognize and protect her and her
dants to perform this and other ancestral rituals, the relation-
children. Barrenness is sometimes, however, attributed to a
ship between the living and the dead is one of mutuality
married woman’s own ancestors who may, for instance, be
which excludes non-kin and reflects the major emphases of
angry that the correct puberty ceremonies were not per-
Zulu kinship and particularly patrilineal organization.
formed for her. They may also make her ill if they want her
A man’s most important ancestors are his father, moth-
to become a diviner. In both cases it is her father’s responsi-
er, father’s father, and father’s mother, as well as the father’s
bility to set matters in order. The fact that a married woman
brothers who act with and share sacrifices offered to deceased
can be affected by her own ancestors as well as those of her
parents and grandparents. Among the Nyuswa-Zulu, about
husband serves both to underline the separate identity of affi-
whom we have recent knowledge from the work of Ngubane,
nal groups linked by marriage and to indicate the married
amadlozi more than three generations removed from a home-
woman’s role as a bridge between the two patrilineages. With
stead head are not thought to be dangerous. They are said,
time and the birth of children she is effectively transferred
however, to come to sacrifices along with closer ancestors,
from the one descent group to the other. After menopause
and may even possess a diviner as a supporting spirit. The
she may eat those parts of ancestral sacrifices reserved for
members of her affinal kin group, and she may even call on
living kin who gather for ancestral rituals largely include the
the ancestors if no suitable male is present. At death she is
patrilineal descendants of a grandfather, and the women who
fully incorporated into her affinal group when she is brought
have married these men. At sacrifices, it is the genealogically
back by her son as one of his patrilineal ancestors. She has
senior male (umnumzane) who officiates. Among the
then completed the “long journey” (udwendwe) that she
Nyuswa-Zulu the married men of this cluster or segment
began as a bride, and in so doing she had mediated between
(umndeni) of two or three generations often live close to each
the conflicting interests of patriliny and exogamy in Zulu
other and, under the headship of the umnumzane, act as a
society.
corporate group in the control and management of common
resources (such as land) and in the settlement of internal dis-
SPIRIT POSSESSION. Spirit possession is an important and
putes. The authority of the umnumzane is bolstered by his
dynamic aspect of Zulu life. The call to be a diviner takes
ritual position and the fact that younger agnates can ap-
the form of recognized mental and physical affliction, the
proach the ancestors only through him. The rituals of the an-
cure for which are initiation and professional training. The
cestor cult therefore both demonstrate and, in the
traditional isangoma (and her counterpart in many Christian
Durkhemian sense, promote the corporate character and so-
sects) is a pivotal force for order and rapprochement between
cial continuity of the umndeni. On the political level, the an-
man and the spirit world. There are, however, new forms of
cestors of the king guard and protect the whole society and
spirit possession that were first reported at the turn of the
are sacrificed to at national festivals. Prior to the defeat of
century, which have intensified since the 1930s. These are
the Zulu nation and the disbanding of the army by the Brit-
destructive and anarchic; Ngubane relates them to the dis-
ish, the king’s ancestors were always called upon before war-
ruptive effects of social and industrial change. Indiki and ufu-
riors went into battle.
funyane (or iziwe) are the most prevalent types, resulting
from possession by the deceased spirits of foreigners, which
The ancestor cult reflects a number of other important
have not been integrated into the body of the ancestors. In-
aspects of Zulu social life. The role of the chief wife who
diki are possessed by male spirits who enter the individual’s
bears the heir is emphasized, for it is on the umsamo of her
chest by chance and manifest themselves in a deep bellowing
hut (the rear part of the dwelling associated with the spirits)
voice which speaks in a foreign tongue. Treatment often in-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZURVANISM 10011
volves replacing the alien spirit with an ancestral spirit, and
cine (London, 1977). The first work offers an exhaustive
the indiki may become a diviner. Ufufunyane is diagnosed as
compilation of detail, which provides some important in-
due to sorcery and is a particularly intractable form, for the
sights, and also discusses a number of problematic conceptu-
alien spirit becomes violent when challenged. The possessed
al issues. However, for scholars and laymen alike, Ngubane’s
individuals become hysterical and may attempt suicide in a
book is the best starting point; an ethnographic study of one
frenzy. Treatment involves dispelling the alien spirit—or
community, it is written lucidly and with the insight of a
Zulu anthropologist. For doctors and those involved in the
often hordes of spirits of different race groups—and replac-
medical field, it is a sine qua non as it examines religious be-
ing them by spirits controlled by the doctor and referred to
liefs as part of Zulu ideas about the causation and treatment
as a regiment (amabutho). The image is one of war against
of disease.
the sorcerer’s evil medicine; no attempt is made to call an an-
Researchers seeking to become conversant with the details of Zulu
cestral spirit, and no cult membership or professionalization
thought patterns should consult Otto F. Raum’s The Social
results.
Functions of Avoidances and Taboos among the Zulu (Berlin
T
and New York, 1973), as it presents fascinating but very de-
RADITIONAL BELIEF AND ZULU CHRISTIANITY. Zulu cos-
mological ideas have been incorporated into Zulu Christian
tailed data on a wide range of beliefs and their associated
avoidances. The writings of Katesa Schlosser will also be of
thought in a number of subtle ways. The word for “breath”
interest, especially Zauberei im Zululand: Manuskripte des
(umoya) is translated as “Holy Spirit,” and people said to be
Blitz-Zauberers Laduma Madela (Kiel, 1972), a study of Zulu
filled with the Holy Spirit become leaders in African inde-
mythology as told by a lightning doctor. Although the latter
pendent churches that have split off from orthodox congre-
work shows how one Zulu philosopher has rethought and to
gations. In these churches Christian beliefs coexist with as-
some extent reinterpreted and expanded traditional Zulu
pects of traditional Zulu belief, and leadership reveals
cosmological notions, none of the above works concentrate
striking similarities to traditional divination in that the
specifically on change. Those interested in this aspect should
prophet, with the help of the Holy Spirit, explains misfor-
consult Bengt Sundkler’s Bantu Prophets in South Africa, 2d
tune and prescribes remedies. These may include ancestral
ed. (Oxford, 1961), and his more recent Zulu Zion and Some
offerings as well as orthodox Christian prayer. Protection
Swazi Zionists (Lund and Oxford, 1976). The sociological
and welfare concomitants of many African independent
against sorcery and misfortune is given by prayer and also
churches are discussed in the work of James P. Kiernan; see
medicine, and the blend of the two religious systems is basic
in particular “Pure and Puritan: An Attempt to View Zion-
to the vibrancy of African Christianity as it has developed,
ism as a Collective Response to Urban Poverty,” African
not only in the independent churches, but recently in ortho-
Studies 36 (1977): 31–41. The continuing influence of the
dox congregations as well. Healing, purification, and the
conception of the ancestors in literature and worldview is
search for fertility are major issues in African Christianity,
demonstrated by a recent collection of poems by the Zulu
and many of the sects and churches that have proliferated in
poet Mazisi Kunene, The Ancestors and the Sacred Mountain
town and country serve not only the spiritual needs of their
(Exeter, N. H., 1982).
members but perform important social and welfare functions
New Sources
in the context of the chronic poverty and political subordina-
Berglund, Axel-Iver. Zulu Thought-Patterns and Symbolism.
tion that has characterized the lives of many Zulu in the
Bloomington, 1989.
twentieth century.
Canocini, Noverino N. Zulu Oral Traditions. Durban, 1996.
Hexham, Irving, ed. Texts on Zulu Religion: Traditional Zulu Ideas
BIBLIOGRAPHY
About God. Lewiston, N.Y., 1987.
The most important of the early works on Zulu religion is the
Morris, Donald R. The Washing of Spears: A History of the Rise of
Reverend Henry Callaway’s The Religious System of the
the Zulu Nation Under Shaka and Its Fall in the Zulu War
Amazulu (1870; reprint, Cape Town, 1970), which presents
of 1879. New York, 1998.
original texts by Zulu informants together with translations
and notes. A. T. Bryant’s article “The Zulu Cult of the
Mountain, Alan. The Rise and Fall of Zulu Empire. Constantia,
Dead,” Man 17 (September 1917): 140–145, and his book
South Africa, 1999.
The Zulu People (1948; New York, 1970), which gives details
ELEANOR M. PRESTON-WHYTE (1987)
on Nomkhubulwane beliefs and ceremonies, provide a useful
Revised Bibliography
summary of what may be considered the main elements of
the traditional belief system as described to early travelers and
missionaries. An anthropological analysis, built up largely
from these sources, but placing both belief and practice in
ZURVANISM. It is difficult to determine whether ven-
their wider social context, is to be found in Eileen Jensen
eration of a deity of time and fate, literally a father “time”
Krige’s The Social System of the Zulus (Pietermaritzburg,
figure, named Zurvan (Avestan, Zrvan; Pahlavi,
1936), pp. 280–296.
Zurwa¯n—variant form, Zama¯n) developed chronologically
Two studies that deal with the present situation, both based on
or spatially into a distinct religious movement in ancient and
detailed anthropological research, are the Reverend Axel-Ivar
medieval Iran that competed with Zoroastrianism or Mazda-
Berglund’s Zulu Thought-Patterns and Symbolism (London,
ism. Nevertheless, Zurvanism is attested in Iranian belief
1976), and Harriet Ngubane’s Body and Mind in Zulu Medi-
generally, and Zoroastrianism specifically, from at least mid-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
10012 ZURVANISM
Achaemenian times (late fifth century BCE). By the Sasanian
time) on his Greek inscription at Nimrud Dagh in Anato-
period (224–651 CE), Zurvanite theology and mythology
lia—a document containing allusions to Iranian beliefs syn-
seems to have gained substantial followers among the magi
cretized with Hellenistic ones. The broad dates for those doc-
or Zoroastrian priests along with Iranian nobles and scholars,
uments have led to scholarly suggestions that chronological
possibly exerting influence on doctrines at times when fatal-
speculation may have culminated in a time-based cosmogony
ism seemed appropriate. As a monist sect, it possibly was one
within the multinational, multireligious empire of the Ac-
form of early medieval orthodoxy in southwestern Iran,
haemenians. Doctrinal augmentation could have occurred
among other locales. Yet there are no Iranian temples that
through confluence of Near Eastern, Greek, Iranian, and In-
can be associated specifically with worship of Zurvan. Nei-
dian notions of cosmic progenitors—such as Ra, Kronos,
ther are there images that can be identified clearly as repre-
Zrvan, and Ka¯la, respectively—with the mythological Indo-
senting Zurvan, not even the leontocephalic, or lion-headed,
European primal twins represented in the Old Avestan devo-
spirit (later known to be associated with western Mithraism).
tional poems as Spenta Mainyu and Angra Mainyu (Gathas
Nor can any particular rituals be attributed to the ration of
30.3, 45.2).
Zurvan. The entire performative dimension of religiosity ap-
Zurvanism and medieval Zoroastrianism. Medieval
pears to be have been absent in the case of Zurvan.
Zoroastrian theology drew upon the Avesta to describe Zur-
SOURCES AND PRINCIPLES. The Persepolis Fortification Tab-
van in two forms: as Zurwa¯n ¯ı akana¯rag (infinite time) and
lets (fifth century BCE) preserve the theophoric name Iz-
as Zurwa¯n ¯ı de¯rang khwada¯y (time of the long dominion)—
rudukma (*Zru[va]taukhma, “of Zurvan’s seed” [2084.4]) as
an epithet shared with Vayu or Way—alternately termed
an early reference to the importance of time in ancient Irani-
Zurwa¯n ¯ı kana¯rago¯mand or Zurwa¯n ¯ı br¯ıno¯mand (finite
an society. Other ancient-to-medieval Iranian and Armenian
time). Such was the case in the Greater Bundahishn ([Book
names like Zrovandukht (daughter of Zurvan), Zarwanda¯d
of] primal creation) (especially 3.14—on which see figure 1,
(created or given by Zurvan), and Zrvandasht (preserved by
Codex TD1 folio 14 verso, the oldest extant manuscript
Zurvan) also reflect devotees’ association with this deity.
copy dating to 1531 CE, lines 2–3—and 3.6, 26.31), a text
whose redactions spanned the Sassanian Empire and the
The Zoroastrian scripture, or Abesta¯g (Avesta; Praise),
Umayyad (661–750 CE) and Abbasid (750–1258 CE)
places only limited emphasis on Zurvan, mentioning him in-
caliphates.
frequently. One passage in the Young Avesta (composed be-
tween 900–400
In those forms, Zurvanite ideas are present in the M¯eno¯g
BCE, with canonization lasting into the third
century
¯ı Khrad (Spirit of wisdom), a Pahlavi or Middle Persian exe-
BCE) notes that after death the souls of the “confused
ones and the orderly ones all journey along the road created
getical text from the sixth century CE, where Ahura Mazda¯
by Zurvan to the bridge of the compiler created by [Ahura]
is said to have created the universe with the “blessing of infi-
Mazda¯” (Vid¯evda¯d, “Code to Ward Off Evil Spirits,” 19.29).
nite time,” who is “infinite, ageless, undying, painless, un-
Another passage claims that Spenta Mainyu (holy spirit; the
feeling, incorruptible, and unassailable” (8.8, 8.9). More-
hypostasis of Ahura Mazda¯), created Manthra Spenta (holy
over, Zurvan was equated to Vayu as a weapon of Ahura
word)in Zurvan—that is, during time (Vid¯evda¯d 19.9).
Mazda¯ against falsehood (Greater Bundahishn 26.34).
Other Young Avestan references to Zurvan distinguish be-
In the ninth century CE, Zurvan was associated by Zoro-
tween Zrvan akarana (infinite or unlimited time) and Zrvan
astrians with the divine spirits Ra¯m (peace), Spihr (sky), Ma¯h
daregho¯-khva-dha¯ta (time of the long dominion) (Vid¯evda¯d
(moon), and Go¯sh (cow) in assisting the Amesha Spenta
19.13, 19.16; Yasna, “Worship, Sacrifice” 72.10; S¯ıro¯za,
named Vohu Manah (Wahman; “good mind”; Greater Bun-
“[Invocations for] the Thirty Days of the Month,” 1.21,
dahishn 3.14). Likewise, the Wiz¯ıdag¯ıha¯ (Selections) of
2.21; Niya¯yishn, “Litany,” 1.8). In these scriptural passages,
Za¯dspram, a ninth-century CE h¯erbed (theologian) living at
Zurvan is associated with a range of divine spirits such as the
Sirkan, presented Ahura Mazda¯’s creative power as linked to
Amesha Spentas (holy immortals), Dae¯na (religion, con-
Zurvan, who determines the course of the cosmic conflict be-
science), Ra¯man (peace), Vayu (wind or air), Thwasha
tween order and confusion (1.27–28, 2.19, 34.35). So, ulti-
(space), and Tishtrya (Sirius.) However, Zurvan is not pres-
mately, these medieval sources do not clarify the degree of
ented as a preexisting deity, independent of Ahura Mazda¯.
Zurvan’s independence, in theology and ritual, from a Zoro-
astrian pantheon headed by Ahura Mazda¯. However, even
Clearer attestation of Zurvan’s independent status
when not adopting an extreme monism of Zurvan with its
comes from the reign of Artaxerxes or Artakhshaça¯ II (r.
ascription of the origin of all other entities to the actions of
404–359/8 BCE), through the writing of Theopompos (fl.
time, medieval Zoroastrianism in most sectarian forms em-
fourth century BCE) as cited by Plutarch (c. 46–after 119 CE,
ployed a millenarian system of two, eternal, dualistic spirits
where a millenary scheme of time—when Ohrmazd and
in conflict during time (compare the standard account of
Ahreman do battle—is the result of actions by a god who
cosmogony in the Greater Bundahishn 1.1–1a.14).
having “brought this to pass is quiet and at rest for a time”
(Isis and Osiris 47). A few other classical sources, preserved
Christian and Muslim sources. Perhaps because of
in later redactions, also cite Zurvan. Antiochus I (c. 69–34
tensions within Zoroastrianism of reconciling Ahura Mazda¯
BCE) of Commagene referred to Kronos apeiros (unlimited
and Zurvan as progenitor spirits, the major extant textual
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ZURVANISM 10013
F IGURE 1 . Reproduced by permission of the archive of J. K.Choksy.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
10014 ZURVANISM
sources for Zurvanism are those by Christian and Muslim
Muslims as well. The text of the critique itself preserves a
writers. Armenian Christian authors who mentioned the
variant of Zurvanite cosmogony. Even later, Iranian heresio-
Zurvanite creation myth include Eznik of Kołb (fl. fifth cen-
grapher Abu¯ Dl-Fath: Muh:ammad al-Shahrasta¯n¯ı (d. 1153
tury CE) and Ełishe¯ Vardapet (d. 480 CE). There are Syriac
CE) would categorize the Zurwa¯niyya as a specific sect.
accounts, such as those by the Arab Christian bishop Theo-
Function of the Zurvanite myth. Marda¯nfarrokh’s and
dore Abu¯ Qurra (c. 740–820 CE), Theodore bar Ko¯nai (fl.
Shahrasta¯n¯ı’s comments reveal the central function of Zur-
ninth century CE), and the Nestorian monk Yohanna¯n bar
van for certain ancient and medieval Zoroastrians. It appears
Penkaye¯ (fl. c. seventh to ninth century CE). The Syriac doc-
Zurvanism’s teachings sought to reconcile the origins and
uments mention divinities named Asho¯qar, Frasho¯qar, and
functions of the dualism between Zoroastrianism’s chief di-
Zaro¯qar—whose names derive from Iranian words—as exist-
vinity Ahura Mazda¯ and chief demon Angra Mainyu
ing alongside Zurvan. All of the above-named writers may
through an entity whose actions created both. Zurvanism
have utilized a common source, a work by the Cappadocian
bishop Theodore of Mopsuestia (c. 350–428/9
thus seems to have served as a theological and philosophical
CE), in addi-
tion to drawing upon each others’ writings when possible.
means of speculating about the origins, functions, and effects
Syriac martyrologies of Nestorians, such as that of a woman
of the passage of time, the role of fate, the nature of duality,
named Ana¯h¯ıd (d. c. 446
and the dilemmas of human existence within religiously con-
CE), mention portions of Zurvanite
theology as well.
structed chronological frameworks. In other words, the Zur-
vanite myth provided those persons who accepted it with an
According to extant versions of the Zurvanite creation
explanation of how and why cosmogony occurred, stressing
myth, as preserved by these authors, Ohrmazd (Ahura
the roles of time as both medium and framework for cre-
Mazda¯, variously rendered as Ohrmizd, Ormizd, Hormizd,
ation. It proffered a theological explanation for the origins,
and Hormuz in the documents of Zurvanism) was conceived
purposes, interrelatedness, and interdependence of good and
as the result of a rite that Zurvan had performed for a millen-
evil (Ohrmazd and Ahreman) and of their functions within
nium to be granted a son who could create the universe.
human and cosmic frameworks of time. It also focused atten-
Ahreman (often written in those same sources as Ahriman,
tion on the importance of performing rituals properly, for
Ahrimen, Ahrman, Arhmn) was conceived unexpectedly,
the case of Zurvan implied that if any aspect of a rite—
though not surprisingly within the ritual context, because
thought, word, or deed—deviated, pandemonium could
Zurvan had doubted the efficacy of his devotive actions. Re-
occur. Ultimately, the creation story would have been an at-
alizing that his wife would give birth to twins, Zurvan sup-
tempt to overcome—through common origins, interrelated
posedly decided that the firstborn would rule the universe.
functions, and shared destinies that were linked and mediat-
Ahreman, upon learning of Zurvan’s decision from a rather
ed by time—dilemmas posed by the creativeness and de-
naïve Ohrmazd, ripped his way out of the womb and de-
structiveness ascribed in Zoroastrianism to spiritual forces
manded his birthright. Zurvan, repulsed by this son’s vile-
and by the effects of those on human lives.
ness, sought to restrict the evil twin’s power by establishing
a finite period of nine thousand years during which Ahreman
Manichaeism and Mandaeism. Other Iranian faiths
would be in charge. Zurvan deemed that thereafter, his other
also experienced the effect of time as a doctrinal force. Mani-
son, Ohrmazd, would gain absolute power and appropriately
chaeism drew upon Iranian beliefs in Zurvan, postulating a
determine the trajectory of events. Having set into motion
high god variously named Zurwa¯n, Pidar Ro¯shn (Father of
the cosmic cycle and predetermined its outcome, Zurvan’s
Light), and Pidar ¯ı Wuzurg¯ıh (Father of Greatness), who was
relevance largely ended. No mention was made specifically
“righteous” and dwelled “among the lights” (M 10R 11).
of the origins of time or its female spouse, nor of the recipi-
Manichaeans believed that Zurvan was forced into conflict
ent of ritual, perhaps because it was assumed both that time
by an attacking Ahrimen and had created Ohrmizd to battle
in all its facets was eternal and that ritual could occur either
against the evil spirit but that the counteroffensive failed to
for its own sake without a recipient or be directed at the per-
stop evil at the beginning of time. As a result, life and death
former.
occur, Manichaeans had to strive toward purification of their
spirits, and purity would set the stage for the final days of
Interestingly, a ninth-century CE Zoroastrian denuncia-
humanity. Manichaeism taught that eventually, and having
tion of this story is found in the D¯enkard (Acts of the reli-
enjoyed the assistance of devotees over the centuries, Zurvan
gion; 9.30.4–5), where it is attributed to “the ranting of the
would defeat Ahriman and purify all aspects of spirit or light
demon Arashka” (Arashk or Areshk, “envy”). More impor-
from matter or darkness at the end of time (M 473, M 475,
tant, Marda¯nfarrokh, the son of Ohrmazdda¯d (fl. ninth cen-
M 477, M 482, M 472, M 470). Likewise, Mandaean belief
tury CE), author of the Shkand Guma¯n¯ıg Wiza¯r (Doubt dis-
regarding the origins of both the good spirit and the evil spir-
pelling exposition), condemned persons who subscribed to
it from a singular source, Pira¯ Rabba¯, may bear an echo of
doctrines of time, referring to them as Dahar¯ı (6.2–3). This
Zurvanism. Both Manichaeism and Mandaeism may have
classification probably reflects a confluence of Islamic and
assimilated aspects of Zurvanism through intercommunal
Zoroastrian thought, because the Dahriyya (from the Arabic
contacts within southern and western Iran and in Iraq during
dahr, “time”) were regarded as a heterodox sect by Sunni
the early Middle Ages.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZWINGLI, HULDRYCH 10015
DECLINE. Zurvanism’s waning in Zoroastrianism is evi-
Gnoli, Gherardo. “L’évolution du dualisme iranien et le problème
denced by very gradual omission of Zurvanite ideas in the
zurvanite.” Revue de l’Histoire des Religions 201 (1984): 115–
writings of magi after the thirteenth century, perhaps because
138.
social turmoil created by the Mongol conquests facilitated
Gray, Louis H. The Foundations of the Iranian Religions. Bombay,
the slow spread among the Zoroastrian minority of starker
1929.
dualist ideas. The Muslim population of Iran, by then an ab-
Menasce, Jean de. “Reflexions sur Zurva¯n.” In A Locust’s Leg:
solute demographic majority, had little theological need for
Studies in Honour of S. H. Taqizadeh, edited by W. B. Hen-
a figure such as Zurvan, because all aspects of life could be
ning and Ehsan Yarshater, pp. 182–188. London, 1962.
reconciled with the attributes of its monotheistic deity Allah.
Molé, Marijan. “Le problème zurvanite.” Journal asiatique 247
So entrenched was the notion of time as a creator spirit that
(1959): 431–469.
doctrinal change appears to have been slow. Even texts con-
Nyberg, Henrik S. “Questions de cosmogonie et de cosmologie
tained in the Reva¯yats (Treatises)—compiled by Iranian magi
mazdéennes.” Journal asiatique 214 (1929): 193–310 and
for their counterparts in India from 1478 to 1773—while
219 (1931): 1–34, 193–244.
referring to time in the more generic sense of zama¯n, which
Shaked, Shaul. Dualism in Transformation: Varieties of Religion in
had preceded corporeal creation and in which the material
Sasanian Iran. London, 1994.
universe exists (EUlama¯D-e Isla¯m, 2, pp. 72–80), also preserves
Widengren, Geo. Die Religionen Irans. Stuttgart, Germany, 1965.
the idea that “Zama¯n is the creator. . . . It created fire and
Zaehner, Robert C. Zurvan: A Zoroastrian Dilemma. Oxford,
water; once these combined, Ohrmazd came into existence”
1955; reprint, New York, 1972.
and goes on to echo the Zurvanite creation story (EUlama¯D-e
JAMSHEED K. CHOKSY (2005)
Isla¯m, 2, pp. 80–81). When the Gujarati Rehbar-e Din-e
Jarthushti (Guide to the Zoroastrian religion) was composed
by dastur Erachji Sohrabji Meherjirana in 1869 at Bombay
(later Mumbai) in India, time had faded in importance. As
ZWINGLI, HULDRYCH (1484–1531), Swiss Prot-
veneration of time lapsed, Ahura Mazda¯ begun to emerge in
estant theologian. Born in Wildhaus, Switzerland, Zwingli
Zoroastrian belief—especially under colonial, Christian, in-
was educated in Vienna (1500–1502) and later in Basel
fluences in the nineteenth and twentieth centuries—as a mo-
(1502–1506), where he studied under Thomas Wyttenbach.
notheistic god par excellence, the creator of all other spiritual
He read Erasmus during his first pastorate in Glarus (1506–
entities, whether evil ones like Angra Mainyu or aloof ones
1516). During his second pastorate in Einsiedeln (1516–
like Zurvan.
1518), he began to preach against indulgences. In 1518
Zwingli became preacher in the Zurich Cathedral, a post he
SEE ALSO Zoroastrianism.
retained until his death in 1531. He married Anna Reinhart
in 1524.
BIBLIOGRAPHY
Benveniste, Émile. The Persian Religion according to the Chief
From the beginning of his work in Zurich, Zwingli de-
Greek Texts. Paris, 1929.
clared scripture to be the sole ultimate authority for the life
Bianchi, Ugo. Zama¯n i O
¯ hrmazd: Lo zoroastrismo nelle sue origini
and teaching of the church, thereby repudiating hierarchical
e nella sua essenza. Turin, Italy, 1958.
authority. He preached against indulgences, stating that
Boyce, Mary. “Some Reflections on Zurvanism.” Bulletin of the
Christ’s sacrifice is sufficient to remit all penalties for sin. He
School of Oriental and African Studies 19 (1957): 304–316.
also preached against ascetic religious orders, fasting, the in-
Boyce, Mary. “Some Further Reflections on Zurvanism.” In Irani-
vocation of the saints, and the doctrine of purgatory. As a
ca Varia: Papers in Honor of Professor Ehsan Yarshater,
fervent Swiss patriot, Zwingli opposed Pope Leo X’s recruit-
pp. 20–29. Leiden, 1990.
ment of Swiss mercenaries.
Boyce, Mary, et al. A History of Zoroastrianism. 3 vols. to date. Lei-
In 1522 the civil authority of the canton of Zurich de-
den, 1975–1991.
clared that a disputation should take place between those
Choksy, Jamsheed K. “Doctrinal Variation within Zoroastrian-
who advocated and those who opposed the Reformation
ism: The Notion of Dualism.” In K. R. Cama Oriental Insti-
principle that scripture alone should be the ultimate norm
tute: Second International Congress Proceedings, pp. 96–110.
of church life and teaching. In preparation for this disputa-
Bombay, 1996.
tion, Zwingli, the leader of the Reformation group, wrote his
Choksy, Jamsheed K. “Zurvan.” In Late Antiquity: A Guide to the
lengthy Sixty-Seven Conclusions, in which he repudiated the
Postclassical World, edited by G. W. Bowersock, Peter
authority of the pope, the transubstantiation of bread and
Brown, and Oleg Grabar, p. 757. Cambridge, Mass., 1999.
wine, the veneration of the saints, the existence of purgatory,
Christensen, Arthur. L’Iran sous les Sassanides. 2d ed. Copenhagen,
and the necessity of fasting. The disputation was held on 29
1944.
January 1523; the council of Zurich decided in favor of the
Duchesne-Guillemin, Jacques. “Notes on Zervanism in the Light
Reformation, and Zurich became a canton of the Refor-
of Zaehner’s Zurvan, with Additional References.” Journal of
Near Eastern Studies 15 (1956): 106–112.
mation.
Frye, Richard N. “Zurvanism Again.” Harvard Theological Review
Zwingli’s attention then turned toward a radical Refor-
52 (1959): 63–73.
mation group, the Anabaptists, which had begun to flourish
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
10016 ZWINGLI, HULDRYCH
in Zurich during the early 1520s. The Anabaptists opposed
LORD’S SUPPER. For Zwingli, the Lord’s Supper could not
the baptism of infants and denied the validity of such bap-
be understood in isolation but only as a moment in Christ’s
tisms. They opposed any jurisdiction of the civil authorities
calling and gathering of his saints. The Lord’s Supper is a
in church life. They placed ultimate church authority in the
pledge of loyalty by God’s people made to their Lord, who
local congregation rather than in larger church or civil coun-
commands this of them. It is one moment, but a central mo-
cils. They aspired to establish “sinless congregations.” In
ment, of Christ’s calling and gathering activity; it is not a
1526 the government of Zurich, with Zwingli’s support,
moment in which Christ becomes suddenly present. Rather,
suppressed the Anabaptists. The government also suppressed
Christ is understood to be present in the whole of that calling
Catholicism in the canton. In retaliation the papal forces
and gathering activity, which is the church. Zwingli does not
made war on Zurich. In a battle at Kappel on 11 October
deny that transubstantiation takes place in the Lord’s Sup-
1531, Zwingli fell and was executed on the battlefield.
per. He declares, however, that it is not the elements of bread
and wine but rather the people who are changed; they are
While Zwingli, Luther, and Calvin had in common
changed into saints by the calling and gathering activity of
such great Reformation themes as the justification of the sin-
Christ. Luther and Calvin differed with Zwingli; both, in
ner by faith rather than by works and the acknowledgment
different ways, continued the tradition of the church that fo-
that the church in all of its teaching is subject to the greater
cuses attention upon the elements of bread and wine. Zwing-
authority of scripture, there were also disagreements among
li and Luther quarreled about this focus at the Marburg Col-
them, principally in their understandings of the church, the
loquy of 1529.
Lord’s Supper, and the relationship between church and civil
authority. Zwingli’s influence on subsequent Protestant
CHURCH AND CIVIL GOVERNMENT. According to Zwingli,
teaching is apparent chiefly in these areas.
Christ not only gathers a church, he also ordains the exis-
tence of the civil community, a body of free citizens. The au-
DOCTRINE OF THE CHURCH. Luther and Calvin identify the
thority of the civil community, while ultimately Christ’s,
church with the preaching of the word and the administra-
rests derivatively in the consent of the citizenry. The church
tion of the sacraments. Zwingli agrees but offers a more de-
and civil society each has responsibilities toward the other.
veloped understanding of the church as community. He does
The civil rulers are to keep the peace and rule according to
so by identifying three meanings of the word church and then
a concept of justice derived from scripture. Preachers are,
interrelating those meanings. He defines the church as (1)
therefore, to proclaim not only the gospel but also the de-
the communion of saints, the heavenly church called and
mands of human justice that are derived from the gospel an-
gathered by Christ, (2) the historical church, made up of
nounced in scripture. The members of the civil community
those who throughout the world confess Christ as Lord, and
are guided away from self-interest by such preaching. The
(3) the local congregation. It is Christ who chooses the mem-
civil rulers, then, have the power and responsibility to protect
bers of his church and gathers them into a fellowship with
the church’s preaching of justice and the responsibility to be
him. This is the heavenly church that must exist here and
guided by it. The church and its preachers have no direct
now as the historical church, the means by which Christ
power to rule in civil affairs, but they have the responsibility
makes himself visible in the world.
of preaching human justice to citizens and civil rulers.
There is no historical church, however, except as it com-
Zwingli’s emphasis on the preaching of God’s justice as
prises the many local congregations. The unity of the histori-
the basis of the human justice of the civil community and
cal church exists not by the mere assertion that all these local
on the importance of the consent of the governed distin-
congregations belong to it but rather by the fact, known
guishes his teaching from Luther’s. Luther taught that the
through faith, that all local congregations have been chosen
function of civil rulers is, primarily, to restrain disorder.
and gathered by the same Lord. Moreover, this unity is em-
Zwingli’s emphasis on the preacher as the people’s tribune
phasized by the fact that every congregation has the same
before the civil rulers and his willingness to accept some civil
pattern of life to emulate. The earthly Jesus chose and gath-
jurisdiction over church life distinguish his teaching from
ered a local congregation, the apostles. Now the risen Lord,
Calvin’s. Calvin advocated a stronger separation between the
by the power of the Holy Spirit, continues to call and gather
ecclesiastical and the civil authorities.
local congregations and commands them to emulate the pat-
tern of the first congregation, as it is described in the New
BIBLIOGRAPHY
Testament. Zwingli, through his interrelation of these three
Works by Zwingli
meanings of church, represents Christ’s choosing and gather-
Huldreich Zwinglis Sämtliche Werke. 14 vols. Corpus Reforma-
ing of his saints as the basic meaning of the church. He then
torum, vols. 88–101. Berlin, Leipzig, Zurich, 1905–1959.
explains preaching and the sacraments as means by which
Translations into English
Christ calls and gathers his people into fellowship with him.
Bromiley, Geoffrey W., ed. Zwingli and Bullinger. Library of
These same means are to be used by his people to gather
Christian Classics, vol. 24. Philadelphia, 1953. Selected texts
themselves around their invisible Lord, thereby making him
of Zwingli and Bullinger translated into English with a
visible. The invisible “being gathered” and the visible “gath-
good, short introduction to the life, works, and theology of
ering” constitute Zwingli’s church.
Zwingli.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
ZWINGLI, HULDRYCH 10017
Hadidian, Dikran, ed. Huldrych Zwingli Writings. 2 vols. Allison
Köhler, Walther. Huldrych Zwingli. Leipzig, 1943. Part of the
Park, Pa., 1984.
foundation of twentieth-century Zwingli scholarship.
Works about Zwingli
Locher, G. W. Die Zwinglische Reformation im Rahmen der euro-
Courvoisier, Jaques. Zwingli, a Reformed Theologian. Richmond,
päischen Kirchengeschichte. Göttingen, 1979. A comprehen-
Va., 1963. A brief, competent introduction to Zwingli’s the-
sive and scholarly examination of Zwingli’s theology.
ology.
Furcha, E. J., and H. Wayne Pipkin, eds. Prophet, Pastor, Protes-
Locher, G. W. Zwingli’s Thought: New Perspectives. Leiden, 1981.
tant: The World of Huldrych Zwingli after Five Hundred
An excellent, medium-length survey of Zwingli’s thought.
Years. Pittsburgh, Pa., 1984. Essays by ten able Zwingli
scholars.
Potter, G. R. Zwingli. New York, 1976. An accurate and thorough
intellectual biography.
Gäbler, Ulrich. Huldrych Zwingli im 20. Jahrhundert: Forschungs-
bericht und annotierte Bibliographie, 1897–1972. Zurich,
Stephens, W.P. Zwingli: An Introduction to His Thought. Oxford,
1975. Authoritative Zwingli bibliography.
1984. A readable and reliable introduction to Zwingli’s
Gäbler, Ulrich. Huldrych Zwingli: His Life and Work. Translated
thought.
by Ruth C. L. Gritsch. Philadelphia, 1986. An intellectual
biography by a leading Zwingli scholar.
DAVID E. DEMSON (1987 AND 2005)
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N